Form D · Biotechnology

Alpha Orthopaedics, Inc.

Oakland, CA · CIK 0001496054

Offering snapshot reported Mar 18, 2011 · SEC filing

Reported sold
$3.09M
Indefinite offering
Investors reported
15
Form D · investor count
Minimum accepted
$25K
Reported outside-investor minimum
First sale
Jun 30, 2010
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$1.55M$3.09MJul 7, 2010Jul 15, 2010: $2,034,241.00Mar 18, 2011: $3,092,294.00Mar 18, 2011

Dates are filing dates, not cash receipt dates. Decreases are reported revisions, not evidence of withdrawals. Separate offering histories are not added together.

What changed?

Latest filing versus its linked predecessor, where available.

  • Reported investors13 → 15

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Mar 18, 2011Amendment$3,092,294No comparison15SEC filing
Jul 15, 2010Amendment$2,034,241No comparison13SEC filing
Jul 7, 2010InitialYet to sellNo comparison13SEC filing

Offering details

Securities
Equity, Security to be acquired, Other
Exemptions
06
Duration over one year
No
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-144513
$2,034,241 in notes converted, and $1,057,472 in cash for Series A P/S at $1.50/share(and some holders have also exercised P/S warrants at $0.001/share). An additional 668,000 shares of Series A to be issued to OEM in xchange for license and discount
Existing convertible bridge loan notes are being converted to Series A preferred stock and the warrants issued to note holders remain exercisable at the holders' election

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
No recipient of sales compensationNone

Source: Form D, filed Mar 18, 2011. 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.

People and organizations reported in Form D filings
NameReported role
Gina To Executive
Diana Villegas Executive

Issuer details

Industry: Biotechnology (See others in industry)

Address:
7700 Edgewater Bvd Suite 405
Oakland, CA, 94621