Form D · Biotechnology
ProMIS Neurosciences Inc.
Toronto, A6 · CIK 0001374339
Offering snapshot reported Oct 21, 2022 · SEC filing
- Reported sold
- $7.47M Offering amount: $10.1M
- Investors reported
- 23 Form D · investor count
- Minimum accepted
- $27K Reported outside-investor minimum
- First sale
- Oct 11, 2022 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 |
|---|---|---|---|---|---|
| Oct 21, 2022 | Initial | $7,472,282 | No comparison | 23 | SEC filing |
| Sep 9, 2021 | Initial | $18,107,000 | No comparison | 34 | SEC filing |
| Mar 30, 2021 | Initial | $7,000,000 | No comparison | 7 | SEC filing |
| Nov 16, 2020 | Initial | $62,989 | No comparison | 3 | SEC filing |
| Nov 20, 2019 | Initial | $99,999 | No comparison | 1 | SEC filing |
| Jan 31, 2019 | Initial | $119,409 | No comparison | 4 | SEC filing |
| May 3, 2018 | Initial | $1,735,160 | No comparison | 18 | SEC filing |
| Sep 11, 2017 | Amendment | $704,061 | $60,000vs Aug 18, 2017 | 15 | SEC filing |
| Aug 18, 2017 | Initial | $644,061 | No comparison | 13 | SEC filing |
| Mar 27, 2017 | Initial | $209,858 | No comparison | 5 | SEC filing |
| Mar 8, 2017 | Initial | $44,694 | No comparison | 2 | SEC filing |
| Nov 22, 2016 | Amendment | $206,310 | $0vs Sep 22, 2016 | 8 | SEC filing |
| Sep 22, 2016 | Initial | $206,310 | No comparison | 7 | SEC filing |
| Aug 24, 2016 | Initial | $158,461 | No comparison | 6 | SEC filing |
| Jun 15, 2016 | Amendment | $460,000 | $225,000vs Apr 14, 2016 | 5 | SEC filing |
| Apr 14, 2016 | Initial | $235,000 | No comparison | 5 | SEC filing |
| Aug 17, 2015 | Initial | $150,341 | No comparison | 7 | SEC filing |
| Jul 24, 2015 | Initial | $434,164 | No comparison | 6 | SEC filing |
| Nov 3, 2014 | Initial | $312,849 | No comparison | 2 | SEC filing |
| Mar 13, 2014 | Initial | $379,233 | No comparison | 2 | SEC filing |
| Feb 11, 2014 | Initial | $251,821 | No comparison | 1 | SEC filing |
| Jan 22, 2014 | Initial | $256,082 | No comparison | 4 | SEC filing |
| May 2, 2013 | Initial | $113,991 | No comparison | 2 | SEC filing |
| Apr 11, 2013 | Initial | $128,218 | No comparison | 2 | SEC filing |
| Mar 5, 2013 | Initial | $39,273 | No comparison | 1 | SEC filing |
| May 29, 2012 | Initial | $20,000 | No comparison | 1 | SEC filing |
| Mar 16, 2012 | Initial | $25,220 | No comparison | 1 | SEC filing |
| Jan 26, 2012 | Initial | $100,474 | No comparison | 2 | SEC filing |
| Mar 9, 2011 | Initial | $350,000 | No comparison | 3 | SEC filing |
| Jun 15, 2009 | Initial | $41,626 | No comparison | 1 | SEC filing |
| Jan 21, 2009 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Dec 16, 2008 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Mar 20, 2007 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Aug 29, 2006 | Paper | Not reported | No comparison | Not reported | 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
- $598K (estimated)
- Finders' fees
- $0
- Form D file number
- 021-462506
The additional $2,594,541.00 may be received upon the exercise of share purchase warrants sold inside or outside the U.S.
Each unit consists of one common share and one-quarter of one common share purchase warrant. Each full warrant is exercisable for one common share at an exercise price of $7.50 per common share starting April 11, 2023 until April 11, 2028.
Compensation also includes warrants to purchase 69,188 common shares at $6.10 per share exercisable April 11, 2023 until April 11, 2028, and legal fees of $80,000.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| CEROS FINANCIAL SERVICES, INC. | 37869 |
Source: Form D, filed Oct 21, 2022. 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 |
|---|---|
| George Adams | Director, Executive |
| Larry Altstiel | Executive |
| Hans Black | Director |
| Neil Cashman | Director, Executive |
| Meryl Chertoff | Director |
| Janet Clennett | Executive |
| William Copeland | Director |
| Phillipe Couillard | Director |
| Gail M. Farfel | Executive |
| Daniel Geffken | Executive |
| Daniel E. Geffken | Executive |
| Anthony Giovinazzo | Director |
| Elliot Goldstein | Executive |
| Richard Gregory | Director |
| Robert Gundel | Director, Executive |
| Johanne Kaplan | Executive |
| Patrick Kirwin | Director |
| Patrick D. Kirwin | Director |
| James Kupiec | Executive |
| William A. Lambert | Director |
| Gavin T. Malenfant | Executive |
| Josh Mandel Brehm | Director |
| Aziz Mekouar | Director |
| James Parsons | Executive |
| Steven Plotkin | Executive |
| Johannes Roth | Director |
| Maggie Shafmaster | Director |
| Michael Sonnenreich | Director |
| Graham Strachan | Director |
| Walter Von Wartburg | Director |
| Neil K. Warma | Director |
| Warren Whitehead | Executive |
| Eugene Williams | Director |
| William Wyman | Director |
Issuer details
Industry: Biotechnology (See others in industry)
Address:
Suite 200, 1920 Yonge Street
Toronto, A6, M4S 3E2
Toronto, A6, M4S 3E2