Form D · Pharmaceuticals
Aeterna Zentaris Inc.
Summerville, SC · CIK 0001113423
Offering snapshot reported Mar 2, 2020 · SEC filing
- Reported sold
- $4.5M Offering amount: $4.5M
- Investors reported
- 3 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Feb 19, 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 |
|---|---|---|---|---|---|
| Mar 2, 2020 | Initial | $4,500,000 | No comparison | 3 | SEC filing |
| Oct 1, 2019 | Initial | $4,987,500 | No comparison | 4 | SEC filing |
Offering details
- Securities
- Option to acquire, Security to be acquired
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $371K
- Finders' fees
- $0
- Form D file number
- 021-361690
The issuer received gross proceeds of $4,500,000 from the issuance of 3,478,261 common shares in a registered directoffering and a concurrent private placement to purchase 0.75 common shares for each share purchased for cash in theoffering.
The commissions were based on gross proceeds of the registered direct offering of common shares that was concurrentwith the private placement of unregistered warrants and includes a management fee.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| H.C. Wainwright & Co., LLC | 375 |
Source: Form D, filed Mar 2, 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 |
|---|---|
| Nicola Ammer | Executive |
| Leslie Auld | Executive |
| Carolyn Egbert | Director |
| Gilles Gagnon | Director |
| Gerard Limoges | Director |
| Brent Norton | Director |
| Klaus Paulini | Director, Executive |
| Robin Smith Hoke | Director |
| Michael V. Ward | Executive |
Issuer details
Industry: Pharmaceuticals (See others in industry)
Address:
315 Sigma Drive
Summerville, SC, 29486
Summerville, SC, 29486