Form D · Biotechnology
Calidi Biotherapeutics, Inc.
San Diego, CA · CIK 0001855485
Offering snapshot reported Jun 6, 2024 · SEC filing
- Reported sold
- $5.55M Offering amount: $5.55M
- Investors reported
- 9 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Jun 3, 2024 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 |
|---|---|---|---|---|---|
| Jun 6, 2024 | Initial | $5,549,588 | No comparison | 9 | SEC filing |
| Mar 21, 2024 | Initial | $32,500 | No comparison | 1 | SEC filing |
| Mar 21, 2024 | Initial | $3,500,000 | No comparison | 1 | SEC filing |
| Mar 21, 2024 | Initial | $195,000 | No comparison | 1 | SEC filing |
| Mar 21, 2024 | Initial | $10,000 | No comparison | 1 | SEC filing |
| Mar 21, 2024 | Initial | $1,000,000 | No comparison | 1 | SEC filing |
Offering details
- Securities
- Option to acquire, Security to be acquired
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $393K
- Finders' fees
- $0
- Form D file number
- 021-515263
Based on reduced exercise price of $0.20 of 10698000 existing warrants exercised, common stock issuable upon exercise of 10698000 inducement warrants at $0.30/share, common stock issuable upon exercise of 534900 placement agent warrants at $0.375/share.
Represents fee of 8% and management fee of 1% of gross proceeds received from exercise of existing warrants, and warrants to purchase up to 5% of common stock underlying the inducement warrants at exercise price of $0.375/share.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| LADENBURG THALMANN & CO. INC. | 505 |
Source: Form D, filed Jun 6, 2024. 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 |
|---|---|
| Allan Camaisa | Director, Executive |
| Andrew Jackson | Executive |
| David La Pre | Director |
| Scott Leftwich | Director |
| Boris Minev | Executive |
| George Ng | Director |
| Wendy Pizarro | Executive |
| James A. Schoeneck | Director |
| Alan R. Stewart | Director |
Issuer details
Industry: Biotechnology (See others in industry)
Address:
4475 Executive Drive Suite 200
San Diego, CA, 92121
San Diego, CA, 92121