Form D · Pharmaceuticals
PUTNEY INC
Portland, ME · CIK 0001397602
Offering snapshot reported Jun 19, 2014 · SEC filing
- Reported sold
- $16.1M Offering amount: $16.1M
- Investors reported
- 39 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Jun 6, 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 |
|---|---|---|---|---|---|
| Jun 19, 2014 | Initial | $16,056,308 | No comparison | 39 | SEC filing |
| Apr 24, 2014 | Initial | $3,000,000 | No comparison | 2 | SEC filing |
| Oct 13, 2011 | Initial | $20,724,360 | No comparison | 28 | SEC filing |
| Nov 5, 2010 | Initial | $2,843,756 | No comparison | 22 | SEC filing |
| Nov 10, 2009 | Initial | $6,643,142 | No comparison | 25 | SEC filing |
| Mar 6, 2009 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Apr 18, 2007 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Equity, Security to be acquired
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $321K
- Finders' fees
- $0
- Form D file number
- 021-219514
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| First Analysis Securities Corporation | 10446 | First Analysis Securities Corporation · CRD 10446 |
Source: Form D, filed Jun 19, 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 |
|---|---|
| John Berry | Executive |
| Shyam S. Bhartia | Director |
| E. Thomas Corcoran | Director |
| James A. Datin | Director |
| Bruce L. Downey | Director |
| Barry R. Edwards | Director |
| Jean Hoffman | Director, Executive |
| Christopher Lewis | Executive |
| B. Lance Sauerteig | Director |
| Brian Stolz | Director |
| Stephen T. Zarrilli | Director |
Issuer details
Industry: Pharmaceuticals (See others in industry)
Address:
One Monument Square Suite 400
Portland, ME, 04101
Portland, ME, 04101