Form D · Pharmaceuticals
DIFFUSION PHARMACEUTICALS LLC
Charlottesville, VA · CIK 0001171623
Offering snapshot reported Dec 22, 2015 · SEC filing
- Reported sold
- $2.4M Offering amount: $5M
- Investors reported
- 28 Form D · investor count
- Minimum accepted
- $5K Reported outside-investor minimum
- First sale
- Dec 4, 2015 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
Scroll to see all columns →
| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Dec 22, 2015 | Initial | $2,401,602 | No comparison | 28 | SEC filing |
| Jun 18, 2015 | Initial | $1,029,908 | No comparison | 15 | SEC filing |
| Jun 18, 2015 | Amendment | $4,531,250 | $1,475,000vs Jun 18, 2015 | 39 | SEC filing |
| Jun 18, 2015 | Amendment | $3,056,250 | $2,437,500vs Jun 18, 2015 | 30 | SEC filing |
| Jun 18, 2015 | Initial | $618,750 | No comparison | 6 | SEC filing |
| Sep 4, 2014 | Initial | $3,472,000 | No comparison | 30 | SEC filing |
| Jun 21, 2013 | Initial | $5,000,700 | No comparison | 19 | SEC filing |
| Oct 1, 2012 | Initial | $4,950,000 | No comparison | 34 | SEC filing |
| Apr 27, 2011 | Initial | $2,197,479 | No comparison | 31 | SEC filing |
| Dec 29, 2009 | Initial | $3,853,990 | No comparison | 15 | SEC filing |
| Aug 26, 2009 | Initial | $1,803,728 | No comparison | 14 | SEC filing |
| Sep 14, 2005 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Jul 5, 2005 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Debt, Option to acquire, Security to be acquired, Other
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $0
- Finders' fees
- $0
- Form D file number
- 021-253581
Each convertible note bears interest of 1.0% for four years and is convertible into membership units of the issuer at a conversion price of $2.00 per unit.
Source: Form D, filed Dec 22, 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.
| Name | Reported role |
|---|---|
| Robert W. Adams | Director |
| Thomas E. Byrne | Director |
| John L. Gainer | Director, Executive |
| Mark T. Giles | Director |
| Mark T. G Iles | Director |
| Matthew Hantzmon | Executive |
| David R. Jones | Executive |
| David G. Kalergis | Director, Executive |
| Alan Levin | Director |
| Ben L. Shealy | Executive |
| Kim Whitten | Executive |
Issuer details
Industry: Pharmaceuticals (See others in industry)
Address:
2020 Avon Court, #4
Charlottesville, VA, 22902
Charlottesville, VA, 22902