Form D · Biotechnology
Oncternal Therapeutics, Inc.
San Diego, CA · CIK 0001260990
Offering snapshot reported Dec 22, 2020 · SEC filing
- Reported sold
- $6.47M Offering amount: $6.47M
- Investors reported
- 4 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Dec 14, 2020 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 |
|---|---|---|---|---|---|
| Dec 22, 2020 | Initial | $6,467,063 | No comparison | 4 | SEC filing |
| Nov 24, 2020 | Initial | $1,687,501 | No comparison | 4 | SEC filing |
| Sep 9, 2020 | Initial | $382,549 | No comparison | 4 | SEC filing |
| Aug 3, 2020 | Initial | $3,456,308 | No comparison | 12 | SEC filing |
| Jun 3, 2020 | Initial | $2,814,260 | No comparison | 7 | SEC filing |
| Oct 12, 2017 | Initial | $48,499,965 | No comparison | 8 | SEC filing |
| Nov 24, 2014 | Initial | $43,410,000 | No comparison | 9 | SEC filing |
| Mar 7, 2014 | Amendment | $21,272,455 | $0vs Mar 6, 2014 | 2 | SEC filing |
| Mar 6, 2014 | Initial | $21,272,455 | No comparison | 2 | SEC filing |
Offering details
- Securities
- Option to acquire, Security to be acquired
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $0
- Finders' fees
- $0
- Form D file number
- 021-383955
Represents warrants issued to H.C. Wainwright Co., LLC and Rodman & Renshaw, LLC to purchase up to 1,149,700 common shares at $5.625 per share, in connection with underwriter compensation related to underwritten offering.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| H.C. Wainwright & Co., LLC | 375 | |
| Rodman & Renshaw, LLC | 281264 |
Source: Form D, filed Dec 22, 2020. 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 |
|---|---|
| Haxel M. Aker | Executive |
| Hazel M. Aker | Executive |
| Igor Bilinsky, Ph.D. | Executive |
| James B. Breitmeyer, M.D., Ph.D. | Director, Executive |
| Michael G. Carter | Director |
| Michael G. Carter, M.D., Ch B, Frcp | Director |
| Michael G. Carter, M.D., Ch.B., F.R.C.P. | Director |
| Man Cho | Director |
| James T. Dalton | Executive |
| Henry P. Doggrell | Executive |
| Barrington J.A. Furr | Director |
| J. Kenneth Glass | Director |
| David F. Hale | Director |
| Marc S. Hanover | Director, Executive |
| Frank Hsu, M.D. | Executive |
| J. R. Hyde, Iii | Director |
| Gunnar F. Kaufmann | Executive |
| Daniel Kisner, M.D. | Director |
| William R. La Rue | Director |
| Xin Nakanishi, Ph.D. | Director |
| Garry A. Neil, M.D. | Director |
| Kenneth S. Robinson | Director |
| Kenneth S. Robinson, M.D., M.Div. | Director |
| Jason T. Shackelford | Executive |
| Mitchell S. Steiner | Director, Executive |
| Charles Theuer | Director |
| Richard Vincent | Executive |
| Robert Wills, Ph.D. | Director |
| Diane C. Young, M.D. | Executive |
Issuer details
Industry: Biotechnology (See others in industry)
Address:
12230 El Camino Real Suite 300
San Diego, CA, 92130
San Diego, CA, 92130