Form D · Pharmaceuticals
AEOLUS PHARMACEUTICALS, INC.
Mission Viejo, CA · CIK 0001261734
Offering snapshot reported Dec 18, 2015 · SEC filing
- Reported sold
- $6.75M Offering amount: $6.75M
- Investors reported
- 43 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Dec 10, 2015 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 |
|---|---|---|---|---|---|
| Dec 18, 2015 | Initial | $6,747,360 | No comparison | 43 | SEC filing |
| Mar 6, 2013 | Initial | $3,615,500 | No comparison | 17 | SEC filing |
| Apr 18, 2012 | Initial | $690,050 | No comparison | 8 | SEC filing |
| Aug 19, 2010 | Initial | $1,000,000 | No comparison | 2 | SEC filing |
| Aug 9, 2010 | Amendment | $3,300,000 | $1,650,000vs Nov 23, 2009 | 3 | SEC filing |
| Nov 23, 2009 | Amendment | $1,650,000 | $0vs Oct 9, 2009 | 3 | SEC filing |
| Oct 9, 2009 | Initial | $1,650,000 | No comparison | 3 | SEC filing |
| Apr 6, 2009 | Initial | $1,500,000 | No comparison | Not reported | SEC filing |
| Aug 6, 2008 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Jun 8, 2007 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Jul 18, 2006 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Jun 16, 2006 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Dec 5, 2005 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Equity, Option to acquire, Security to be acquired
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $195K (estimated)
- Finders' fees
- $0
- Form D file number
- 021-253346
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Laidlaw & Company (UK) Ltd. | 119037 | Laidlaw & Company (UK) Ltd. · CRD 119037 |
| Newport Coast Securities, Inc. | 16944 | Newport Coast Securities, Inc. · CRD 16944 |
Source: Form D, filed Dec 18, 2015. 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 |
|---|---|
| Ken Bright | Executive |
| David C. Cavalier | Director, Executive |
| John M. Clerici | Director |
| Brian Day | Executive |
| John Farah | Director |
| John M. Farah, Jr. | Director |
| Mitchell D. Kaye | Director |
| Joseph J. Krivulka | Director |
| Amit Kumar | Director |
| Michael E. Lewis | Director |
| Michael Mcmanus | Executive |
| John L. Mcmanus | Executive |
| Michael Mc Manus | Executive |
| John Mc Manus | Executive |
| Chris A. Rallis | Director |
| Jeffrey A. Scott | Director |
| Russell Skibsted | Executive |
| Peter Suzdak | Director |
| Peter D. Suzkak | Director |
Issuer details
Industry: Pharmaceuticals (See others in industry)
Address:
26361 Crown Valley Parkway, Suite 150
Mission Viejo, CA, 92691
Mission Viejo, CA, 92691