Form D · Other Health Care
Certa Dose, Inc.
Denver, CO · CIK 0001582843
Offering snapshot reported Dec 2, 2019 · SEC filing
- Reported sold
- $8.1M Offering amount: $8.1M
- Investors reported
- 38 Form D · investor count
- Minimum accepted
- $25K Reported outside-investor minimum
- First sale
- Nov 15, 2019 As reported in this filing
Fundraising history
Reported soldDates 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.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Dec 2, 2019 | Initial | $8,100,025 | No comparison | 38 | SEC filing |
| Dec 2, 2019 | Amendment | $8,100,025 | $0vs Dec 2, 2019 | 38 | SEC filing |
| Mar 20, 2019 | Initial | $481,000 | No comparison | 1 | SEC filing |
| Jul 17, 2018 | Initial | $2,600,000 | No comparison | 20 | SEC filing |
| Jan 18, 2018 | Initial | $50,000 | No comparison | 4 | SEC filing |
| Dec 29, 2017 | Amendment | $3,500,000 | $2,650,000vs Mar 22, 2017 | 23 | SEC filing |
| Mar 22, 2017 | Initial | $850,000 | No comparison | 4 | SEC filing |
| Jun 9, 2016 | Initial | $550,001 | No comparison | 4 | SEC filing |
| Dec 31, 2014 | Initial | $500,000 | No comparison | 1 | SEC filing |
| Jul 31, 2013 | Initial | $5,000 | No comparison | 2 | SEC filing |
Offering details
- Securities
- Other
- Exemptions
- 06c
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $0
- Finders' fees
- $0
- Form D file number
- 021-354564
The transaction was the conversion of the notes previously sold, as referenced in the prior Form D filings concerning the notes, into preferred stock. The price paid for all of the notes had been 8,100,000. The conversion investment was $25,000.
This was an automatic conversion of the promissory notes that had been identified in prior Form D Filings. They converted on 11/15/19, and 15 days later was a Saturday 11/30/19. This filing is on the first business day since.
There were no sales commissions or finders' fees involved. The transaction was merely a conversion of the notes that had previously been sold.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| None (Not Applicable) | None |
Source: Form D, filed Dec 2, 2019. 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 |
|---|---|
| John Blood | Executive |
| Eric Eisbrenner | Executive |
| Sarah L. Hanssen | Executive |
| Caleb S. Hernandez | Director, Executive |
| Stephen R Hoffenberg | Director |
| Daniel Hoffman | Director, Executive |
| Larry Miller | Director, Executive |
| Steven A. Rubin | Director |
| Steve Rubin | Director |
Issuer details
Industry: Other Health Care (See others in industry)
Address:Denver, CO, 80230