Form D · Biotechnology
ATHERSYS, INC / NEW
Cleveland, OH · CIK 0001368148
Offering snapshot reported May 1, 2023 · SEC filing
- Reported sold
- $3.54M Offering amount: $3.54M
- Investors reported
- 4 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Apr 18, 2023 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 |
|---|---|---|---|---|---|
| May 1, 2023 | Initial | $3,537,600 | No comparison | 4 | SEC filing |
| Mar 22, 2012 | Initial | $9,000,002 | No comparison | 20 | SEC filing |
| Jun 22, 2007 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Jun 22, 2007 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Option to acquire, Security to be acquired
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $240K (estimated)
- Finders' fees
- $0
- Form D file number
- 021-480481
WARRANTS TO PURCHASE UP TO 3,685,000 SHARES OF COMMON STOCK, AT AN EXERCISE PRICE EQUAL TO $0.96 PER SHARE, WERE ISSUED FOR NO ADDITIONAL CONSIDERATION CONCURRENTLY WITH A REGISTERED DIRECT OFFERING OF 3,685,000 SHARES OF COMMON STOCK
ATHERSYS, INC WILL PAY A.G.P./ALLIANCE GLOBAL PARTNERS A CASH FEE EQUAL TO 6.5% OF THE AGGREGATE PROCEEDS FROM THE SALE OF COMMON STOCK AND THE WARRANTS, PLUS UP TO AN ADDITIONAL $65,000 IN OTHER ACCOUNTABLE AND NON-ACCOUNTABLE EXPENSES.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| A.G.P/ALLIANCE GLOBAL PARTNERS | 8361 |
Source: Form D, filed May 1, 2023. 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 |
|---|---|
| Lee E. Babiss | Director |
| Daniel Camardo | Director, Executive |
| Laura K. Campbell | Executive |
| Maia Hansen | Executive |
| John J. Harrington | Director, Executive |
| Ismail Kola | Director |
| William Lehmann | Executive |
| George M. Milne | Director |
| Joseph Nolan | Director |
| Lorin J. Randall | Director |
| Kasey Rosado | Executive |
| Gil Van Bokkelen | Director, Executive |
| Jane Wasman | Director |
| Jack Wyszomierski | Director |
| Jack L. Wyszomlerski | Director |
Issuer details
Industry: Biotechnology (See others in industry)
Address:
3201 Carnegie Avenue
Cleveland, OH, 44115-2634
Cleveland, OH, 44115-2634