Form D · Biotechnology

Aptorum Group Ltd

Hong Kong, K3 · CIK 0001734005

Offering snapshot reported May 25, 2018 · SEC filing

Reported sold
$1.6M
Offering amount: $10M
Investors reported
1
Form D · investor count
Minimum accepted
$10K
Reported outside-investor minimum
First sale
May 14, 2018
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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FiledFiling typeReported soldChange vs linked filingInvestorsSource
May 25, 2018Initial$1,600,400No comparison1SEC filing

Offering details

Securities
Other
Exemptions
06b
Duration over one year
No
Business combination
No
Sales commissions
$68.5K
Finders' fees
$0
Form D file number
021-313300
$150,000 of the Offering was sold pursuant to Regulation D; $1,450,400 was sold pursuant to Regulation S.
Convertible Note into Ordinary Shares
Warrants to purchase a number of Class A Ordinary Shares equal to 5.5% of the number of Class A Ordinary Shares issuable upon conversion of the Series A Notes issued in the offering.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Boustead Securities, LLC141391
China Renaissance Securities (Hong Kong) Limited166318China Renaissance Securities (Hong Kong) Limited · CRD 166318

Source: Form D, filed May 25, 2018. 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
Douglas Arner Director
Charles Bathurst Director
Keith Chan Executive
Clark Cheng Director
Ian Huen Director, Executive
Sabrina Khan Executive
Darren Lui Director, Executive
Mirko Scherer Director
Justin Wu Director

Issuer details

Industry: Biotechnology (See others in industry)

Address:
17 Th Floor, Guangdong Investment Tower 148 Connaught Road Central
Hong Kong, K3, 000000