Form D · Biotechnology

Caelum Biosciences, Inc.

New York, NY · CIK 0001714429

Offering snapshot reported Sep 28, 2017 · SEC filing

Reported sold
$9.91M
Offering amount: $10M
Investors reported
167
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Sep 15, 2017
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$4.96M$9.91MAug 11, 2017: $1,000,000.00Aug 11, 2017Sep 14, 2017: $7,800,000.00Sep 14, 2017Sep 28, 2017: $9,914,000.00Sep 28, 2017

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 sold$7,800,000 → $9,914,000
  • Reported investors137 → 167

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Sep 28, 2017Amendment$9,914,000$2,114,000vs Sep 14, 2017167SEC filing
Sep 14, 2017Amendment$7,800,000$6,800,000vs Aug 11, 2017137SEC filing
Aug 11, 2017Initial$1,000,000No comparison2SEC filing

Offering details

Securities
Debt, Option to acquire
Exemptions
06b
Duration over one year
No
Business combination
No
Sales commissions
$991K
Finders' fees
$0
Form D file number
021-292630
In addition to the cash commission above, Issuer also issued warrants to purchase a number of shares of the Issuer's Common Stock equal to 10% of the aggregate amount of shares into which the Notes sold in the offering eventually convert.

Sales compensation recipients

Scroll to see all columns →

RecipientCRDAssociated broker-dealer
National Securities Corporation7569National Securities Corporation · CRD 7569

Source: Form D, filed Sep 28, 2017. 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
Kenneth W. Cappell Director
Martin Goldman Director
David Horin Executive
William Natbony Director
Jeffrey Paley Director
Lindsay A. Rosenwald Director
Michael Spector Director, Executive
Michael S. Weiss Director

Issuer details

Industry: Biotechnology (See others in industry)

Address:
2 Gansevoort Street 9 Th Floor
New York, NY, 10014