Form D · Other Health Care

Cephea Valve Technologies, Inc.

San Jose, CA · CIK 0001620667

Offering snapshot reported Jan 12, 2015 · SEC filing

Reported sold
$14.7M
Offering amount: $16.3M
Investors reported
154
Form D · investor count
Minimum accepted
$1
Reported outside-investor minimum
First sale
Sep 18, 2014
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$7.35M$14.7MSep 30, 2014: $6,499,332.00Sep 30, 2014Jan 12, 2015: $14,708,647.00Jan 12, 2015

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$6,499,332 → $14,708,647
  • Reported investors59 → 154

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jan 12, 2015Amendment$14,708,647$8,209,315vs Sep 30, 2014154SEC filing
Sep 30, 2014Initial$6,499,332No comparison59SEC filing

Offering details

Securities
Equity, Option to acquire, Security to be acquired
Exemptions
06b
Duration over one year
No
Business combination
No
Sales commissions
$1.02M (estimated)
Finders' fees
$0
Form D file number
021-225503
In connection with the offering, (x) 954,590 shares of common stock were issued upon the conversion of convertible notes held by certain of the investors and (y), the company will issue warrants to purchase up to 1,512,000 shares Series A Preferred Stock.
National Securities will be issued warrants to purchase 1,512,000 shares of Series A Preferred Stock.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
National Securities Corporation7569

Source: Form D, filed Jan 12, 2015. 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
Christopher Dewey Director
Juan Granada Director
Aldo Maccari Director
Fred Moll Director
Thierry Thaure Director, Executive

Issuer details

Industry: Other Health Care (See others in industry)

Address:
3050 Three Springs Court
San Jose, CA, 95140