Form D · Biotechnology
SEELOS THERAPEUTICS, INC.
New York, NY · CIK 0001017491
Offering snapshot reported Jul 30, 2024 · SEC filing
- Reported sold
- $0 Offering amount: $1.15M
- Investors reported
- 3 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Jul 11, 2024 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 30, 2024 | Initial | $0 | No comparison | 3 | SEC filing |
| May 31, 2024 | Initial | $0 | No comparison | 2 | SEC filing |
| Feb 14, 2024 | Initial | $0 | No comparison | 3 | SEC filing |
| Sep 14, 2020 | Initial | $0 | No comparison | 13 | SEC filing |
| Aug 30, 2019 | Initial | $0 | No comparison | 9 | SEC filing |
| Sep 27, 2017 | Initial | $3,691,000 | No comparison | 9 | SEC filing |
| Oct 13, 2016 | Initial | $3,653,106 | No comparison | 2 | SEC filing |
| Mar 18, 2010 | Initial | $4,000,000 | No comparison | 3 | SEC filing |
| Mar 10, 2010 | Initial | $2,300,000 | No comparison | 3 | SEC filing |
| Jan 5, 2007 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Feb 10, 2006 | Paper | Not reported | No comparison | Not reported | SEC filing |
| May 27, 2005 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Jan 4, 2005 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Option to acquire, Security to be acquired
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $48.7K
- Finders' fees
- $0
- Form D file number
- 021-520127
The total offering amount reflects the total gross proceeds to be received by the company assuming cash exercise of all warrants issued to the accredited investors in the private placements under Rule 506(b).
In connection with the offering, the placement agent received $48,725, and warrants to purchase up to 65,782 shares of common stock exercisable at $0.7625 per share, among other items.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| H.C. Wainwright & Co., LLC | 000000375 |
Source: Form D, filed Jul 30, 2024. 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 |
|---|---|
| Richard Berman | Director |
| Catherine Bovenizer | Executive |
| Edward Cox | Executive |
| Roberto Crea | Director |
| Margaret Dalesandro | Director |
| Bassam B. Damaj | Director, Executive |
| Brian Dorsey | Executive |
| Judith Dunn | Director |
| Henry J. Esber | Director, Executive |
| Michael Golembiewski | Executive |
| Brian Lian | Director |
| Vivian Liu | Director, Executive |
| Paul V. Maier | Director |
| Raj Mehra | Executive |
| Neil Morton | Executive |
| Daniel J. O'connor | Director |
| Leonard A Oppenheim | Director |
| Richard W. Pascoe | Director |
| Rusty Ray | Director |
| Sandford D. Smith | Director |
| Robin L. Smith | Director |
| Mark Westgate | Executive |
| Wendell Wierenga | Director |
| Kleanthis G. Xanthopoulos | Director |
Issuer details
Industry: Biotechnology (See others in industry)
Address:
300 Park Avenue 2 Nd Floor
New York, NY, 10022
New York, NY, 10022