Form D · Biotechnology
Aequus Pharmaceuticals Inc.
Vancouver, A1 · CIK 0001664767
Offering snapshot reported Aug 21, 2020 · SEC filing
- Reported sold
- $489K Offering amount: $1.9M
- Investors reported
- 2 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Aug 6, 2020 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 |
|---|---|---|---|---|---|
| Aug 21, 2020 | Initial | $489,016 | No comparison | 2 | SEC filing |
| Jan 26, 2016 | Initial | $628,828 | No comparison | 7 | SEC filing |
Offering details
- Securities
- Equity, Option to acquire, Security to be acquired, Other
- Exemptions
- 06b
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $24.5K (estimated)
- Finders' fees
- $0
- Form D file number
- 021-373814
The additional $1,410,623 may be received upon the exercise of share purchase warrants sold inside or outside the U.S. The U.S. dollar amounts are based on the Bank of Canada average rate of exchange reported on 8/6/2020, which was Cdn$1.3292=USD$1.00.
Each unit consists of one common share and one-half common share purchase warrant. Each whole warrant is exercisable for one common share at an exercise price of $0.12 per common share for a period of 36 months.
In connection to the offering, broker warrants were issued.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Cormark Securities (USA) Limited | 101000 |
Source: Form D, filed Aug 21, 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 |
|---|---|
| Ian Ball | Executive |
| Chris Clark | Director |
| Ann Fehr | Executive |
| Jason Flowerday | Director |
| Stu Fowler | Director |
| Doug Janzen | Director, Executive |
| Donald Mc Afee | Executive |
| Rodoula Plakogiannis | Director |
| Fotios Plakogiannis | Director |
| Hamed Shahbazi | Director |
| Anne Stevens | Director, Executive |
| Christina Yip | Executive |
Issuer details
Industry: Biotechnology (See others in industry)
Address:
2820 200 Granville Street
Vancouver, A1, V6C 1S4
Vancouver, A1, V6C 1S4