Form D · Biotechnology
Hancock Jaffe Laboratories, Inc.
Irvine, CA · CIK 0001661053
Offering snapshot reported Aug 4, 2020 · SEC filing
- Reported sold
- $1.56M Offering amount: $1.56M
- Investors reported
- 4 Form D · investor count
- Minimum accepted
- $100K Reported outside-investor minimum
- First sale
- Jul 21, 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 |
|---|---|---|---|---|---|
| Aug 4, 2020 | Initial | $1,556,000 | No comparison | 4 | SEC filing |
| Mar 10, 2020 | Initial | $650,000 | No comparison | 9 | SEC filing |
| May 3, 2019 | Amendment | $2,704,000 | $0vs Apr 16, 2019 | 105 | SEC filing |
| Apr 16, 2019 | Initial | $2,704,000 | No comparison | 105 | SEC filing |
| Jun 26, 2017 | Initial | $1,000,000 | No comparison | 4 | SEC filing |
| Mar 22, 2017 | Initial | $194,000 | No comparison | 4 | SEC filing |
| Dec 15, 2015 | Initial | $680,000 | No comparison | 10 | SEC filing |
Offering details
- Securities
- Equity, Option to acquire, Security to be acquired
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $103K
- Finders' fees
- $0
- Form D file number
- 021-372469
The Series C Convertible Preferred Stock and warrants were issued in a private placement that closed concurrently with an underwritten public offering, as disclosed on the issuer's Current Report on Form 8-K, filed with the SEC on July 21, 2020.
Placement agent fees.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Ladenburg Thalmann & Co. Inc., | 505 |
Source: Form D, filed Aug 4, 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 |
|---|---|
| William Abbott | Executive |
| Gennady Alferenko | Director |
| Robert Anderson | Director |
| Robert Andrew Berman | Director, Executive |
| Benedict Broennimann, Md | Executive |
| Robert Doyle | Director |
| Francis Duhay | Director |
| Francis Duhay, M.D. | Director |
| Mark H. Glickman | Executive |
| Marc Glickman, Md | Director, Executive |
| Marc H. Glickman, M.D. | Executive |
| Craig Glynn | Executive |
| Robert C. Gray | Director |
| Norman Jaffe | Director, Executive |
| Matthew M. Jenusaitis | Director |
| Susan Montoya | Executive |
| Robert Rankin | Executive |
| Sanjay Shrivastava | Director |
| Yuri Zhivilo | Director |
| Yury Zhivilo | Director, Executive |
Issuer details
Industry: Biotechnology (See others in industry)
Address:
70 Doppler
Irvine, CA, 92618
Irvine, CA, 92618