Form D · Pharmaceuticals
EMMAUS LIFE SCIENCES, INC.
Torrance, CA · CIK 0001420031
Offering snapshot reported Apr 1, 2019 · SEC filing
- Reported sold
- $2.59M Indefinite offering
- Investors reported
- 7 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Feb 12, 2019 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 |
|---|---|---|---|---|---|
| Apr 1, 2019 | Initial | $2,585,000 | No comparison | 7 | SEC filing |
| Nov 1, 2018 | Initial | $12,200,000 | No comparison | 18 | SEC filing |
| Oct 14, 2016 | Initial | $20,000,000 | No comparison | 2 | SEC filing |
| Jan 20, 2016 | Initial | $1,700,000 | No comparison | 0 | SEC filing |
| Oct 2, 2013 | Amendment | $7,551,253 | $0vs Sep 24, 2013 | 36 | SEC filing |
| Sep 24, 2013 | Initial | $7,551,253 | No comparison | 36 | SEC filing |
| Oct 18, 2011 | Initial | $3,715,079 | No comparison | 13 | SEC filing |
| Sep 26, 2011 | Initial | $0 | No comparison | 318 | SEC filing |
| Apr 4, 2011 | Initial | $1,013,500 | No comparison | 61 | SEC filing |
Offering details
- Securities
- Equity, Option to acquire, Security to be acquired
- Exemptions
- 06c
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $600K (estimated)
- Finders' fees
- $0
- Form D file number
- 021-336122
We will pay our financing advisor a fee of 6% of the gross proceeds of the offering, but the advisor was not involved in soliciting sales in the offering.
Sales compensation recipients
Scroll to see all columns →
| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| N/A | None |
Source: Form D, filed Apr 1, 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 |
|---|---|
| Timothy Brasel | Director, Executive |
| Maurice J. De Wald | Director |
| Robert Dickey | Director |
| Tracey C. Doi | Director |
| Amir Heshmatpour | Director |
| Kurt Kruger | Executive |
| Jon Kuwahara | Director |
| Willis Lee | Director, Executive |
| Peter B Ludlum | Executive |
| Henry A. Mc Kinnell | Director |
| Yasushi Nagasaki | Executive |
| Yutaka Niihara | Director, Executive |
| Masaharu Osato | Director |
| Alfred E. Osborne Jr. | Director |
| Lan Tran | Executive |
| Wei Peu Zen | Director |
| Ian Zwicker | Director |
Issuer details
Industry: Pharmaceuticals (See others in industry)
Address:
21250 Hawthorne Blvd. Suite 800
Torrance, CA, 90503
Torrance, CA, 90503