Form D · Pharmaceuticals
Adhera Therapeutics, Inc.
Wake Forest, NC · CIK 0000737207
Offering snapshot reported Feb 19, 2020 · SEC filing
- Reported sold
- $500K Offering amount: $500K
- Investors reported
- 1 Form D · investor count
- Minimum accepted
- $500K Reported outside-investor minimum
- First sale
- Jun 28, 2019 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Feb 19, 2020 | Initial | $499,950 | No comparison | 1 | SEC filing |
| Jul 11, 2019 | Initial | $3,239,400 | No comparison | 45 | SEC filing |
| Jul 25, 2018 | Initial | $1,540,000 | No comparison | 9 | SEC filing |
| Apr 26, 2018 | Initial | $11,670,000 | No comparison | 97 | SEC filing |
| Nov 28, 2017 | Initial | $500,000 | No comparison | 1 | SEC filing |
| Jun 20, 2017 | Initial | $224,366 | No comparison | 8 | SEC filing |
| Jun 22, 2016 | Initial | $300,000 | No comparison | 2 | SEC filing |
| Aug 12, 2015 | Initial | $1,100,000 | No comparison | 3 | SEC filing |
| Mar 13, 2014 | Initial | $6,000,000 | No comparison | 2 | SEC filing |
| Jan 13, 2012 | Initial | $172,574 | No comparison | 1 | SEC filing |
| Aug 5, 2010 | Initial | $44,000,000 | No comparison | 25 | SEC filing |
Offering details
- Securities
- Debt, Option to acquire, Security to be acquired
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $50K (estimated)
- Finders' fees
- $0
- Form D file number
- 021-360856
The issuer intends to pay to Maxim Group LLC a placement fee equal to 10% of the aggregate gross proceeds of the offering.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Maxim Group LLC | 120708 |
Source: Form D, filed Feb 19, 2020. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Issac Blech | Director |
| Isaac Blech | Director |
| Tim Boris | Director |
| Philippe Calais | Director |
| Erik Emerson | Director |
| R. John Fletcher | Director |
| J. Michael French | Director, Executive |
| Peter S. Garcia | Executive |
| Uli Hacksell | Director |
| Richard T. Ho | Executive |
| James M. Karis | Director |
| Chiang J. Li | Director |
| Stefan Loren | Director |
| Robert C. Moscato | Director, Executive |
| Peter D. Parker | Director |
| Nancy Phelan | Director, Executive |
| Barry Polisky | Executive |
| Joseph W. Ramelli | Executive |
| Philip C. Ranker | Director |
| Gregory Sessler | Director |
| Amit Shah | Executive |
| Rhonda Stanley | Executive |
| Michael D. Taylor | Director |
| Vuong Trieu | Director |
| Donald A. Williams | Director |
Issuer details
Industry: Pharmaceuticals (See others in industry)
Address:
Box 2161
Wake Forest, NC, 27588
Wake Forest, NC, 27588