Form D · Other Health Care
Great Basin Scientific, Inc.
Salt Lake City, UT · CIK 0001512138
Offering snapshot reported Jul 13, 2016 · SEC filing
- Reported sold
- $68M Offering amount: $189M
- Investors reported
- 9 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Jun 29, 2016 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 |
|---|---|---|---|---|---|
| Jul 13, 2016 | Initial | $68,000,000 | No comparison | 9 | SEC filing |
| Jan 14, 2016 | Amendment | $20,500,000 | $2,100,000vs Jan 13, 2016 | 7 | SEC filing |
| Jan 13, 2016 | Initial | $18,400,000 | No comparison | 7 | SEC filing |
| Apr 24, 2014 | Initial | $600,000 | No comparison | 2 | SEC filing |
| Dec 11, 2013 | Initial | $5,797,653 | No comparison | 9 | SEC filing |
| Feb 4, 2011 | Initial | $11,039,132 | No comparison | 16 | 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
- $4.76M
- Finders' fees
- $0
- Form D file number
- 021-266909
(b) represents discounted secured convertible notes with a principal aggregate amount of $75M; (c) represents exercise price of Series H warrants calculated at $2.08 per share.
Senior secured 0% interest convertible notes and Series H warrants; warrants may be exercised for common shares at $2.08 per share, subject to adjustment based on the issuer's stock price, with a floor of $1.70 per share.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Roth Capital Partners, LLC | 15407 |
Source: Form D, filed Jul 13, 2016. 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 |
|---|---|
| Stephen Aldous | Director |
| Ryan Ashton | Director, Executive |
| Kirk K. Calhoun | Director |
| Sam Chawla | Director |
| Walter Hammond | Executive |
| Robert D. Jenison | Executive |
| Ronald K. Labrum | Director |
| Wesley C. Lindsey | Executive |
| Sandra Nielsen | Executive |
| Andrew Olson | Executive |
| Laurence Rea | Executive |
| Jeffrey Rona | Executive |
| David Spafford | Director |
Issuer details
Industry: Other Health Care (See others in industry)
Address:
420 E. South Temple, Suite 520
Salt Lake City, UT, 84111
Salt Lake City, UT, 84111