Form D · Other Health Care
PALMAZ SCIENTIFIC INC
Dallas, TX · CIK 0001432568
Offering snapshot reported Sep 23, 2014 · SEC filing
- Reported sold
- $1.32M Offering amount: $4.2M
- Investors reported
- 7 Form D · investor count
- Minimum accepted
- $50K Reported outside-investor minimum
- First sale
- Sep 9, 2014 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 |
|---|---|---|---|---|---|
| Sep 23, 2014 | Initial | $1,315,000 | No comparison | 7 | SEC filing |
| Nov 26, 2013 | Amendment | $26,313,000 | $3,278,250vs Mar 20, 2013 | 261 | SEC filing |
| Mar 20, 2013 | Amendment | $23,034,750 | $0vs Mar 19, 2013 | 216 | SEC filing |
| Mar 19, 2013 | Amendment | $23,034,750 | $10,582,438vs Feb 9, 2012 | 216 | SEC filing |
| Feb 9, 2012 | Amendment | $12,452,312 | $4,687,312vs Nov 15, 2011 | 67 | SEC filing |
| Nov 15, 2011 | Amendment | $7,765,000 | $5,290,000vs Dec 10, 2010 | 41 | SEC filing |
| Dec 10, 2010 | Initial | $2,475,000 | No comparison | 14 | SEC filing |
| Feb 4, 2010 | Amendment | $800,000 | $700,000vs Dec 14, 2009 | 6 | SEC filing |
| Dec 14, 2009 | Initial | $100,000 | No comparison | 1 | SEC filing |
| May 15, 2009 | Initial | $700,000 | No comparison | Not reported | SEC filing |
| Apr 11, 2008 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Equity, Option to acquire
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $210K (estimated)
- Finders' fees
- $0
- Form D file number
- 021-225159
The Series A-1 Preferred Stock Offering is for $3,500,000 plus an over-allotment of $700,000 for a combined total of $4,200,000 being offered.
Assumes the entire $4.2 million is sold and the placement agents receive up to 5% cash commission. The placement agents may also receive warrants to purchase shares of common stock.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Emerson Equity LLC | 130032 | Brent Barton · CRD 1659916 |
| Merriman Capital, Inc. | 18296 | Jonathan Merriman · CRD 18296 |
| Titan Securities | 131392 | Gary Zimpelman · CRD 2025938 |
Source: Form D, filed Sep 23, 2014. 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 |
|---|---|
| Christopher Banas | Director |
| Julio C Palmaz | Director, Executive |
| Philip Romano | Director |
| Steven B Solomon | Director, Executive |
| Eugene A Sprague | Director |
Issuer details
Industry: Other Health Care (See others in industry)
Address:
2828 N. Harwood Suite 1700
Dallas, TX, 75201
Dallas, TX, 75201