Form D · Pharmaceuticals
Diffusion Pharmaceuticals Inc.
Charlottesville, VA · CIK 0001053691
Offering snapshot reported May 27, 2020 · SEC filing
- Reported sold
- $750K Offering amount: $750K
- Investors reported
- 4 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- May 20, 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 |
|---|---|---|---|---|---|
| May 27, 2020 | Initial | $750,001 | No comparison | 4 | SEC filing |
| May 15, 2020 | Initial | $625,000 | No comparison | 1 | SEC filing |
| Dec 17, 2019 | Initial | $783,348 | No comparison | 3 | SEC filing |
| Jun 3, 2019 | Initial | $164,132 | No comparison | 3 | SEC filing |
| Mar 16, 2017 | Initial | $15,830,661 | No comparison | 145 | SEC filing |
| Jan 21, 2016 | Initial | $85,736,378 | No comparison | 181 | SEC filing |
| May 22, 2014 | Initial | $24,778,500 | No comparison | 146 | SEC filing |
| Jul 20, 2011 | Initial | $2,590,000 | No comparison | 73 | SEC filing |
| Jul 20, 2011 | Initial | $8,700,000 | No comparison | 8 | 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
- 021-367789
H.C. Wainwright & Co., LLC received warrants to purchase 571,429 shares of common stock as sales compensation. The offering amount includes amounts receivable upon exercise of the warrants, which have not yet been exercised.
H.C. Wainwright & Co. received warrants to purchase up to 571,429 shares of common stock, sales commissions and reimbursement of certain expenses in connection with the Issuer's registered direct offering of common stock.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| H.C. Wainwright & Co., LLC | 375 |
Source: Form D, filed May 27, 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 |
|---|---|
| Craig Abolin | Executive |
| Robert W. Adams | Director |
| Sol Barer | Director |
| Isaac Blech | Director |
| Timothy Boris | Executive |
| Rex Bright | Director |
| Thomas S. Byrne | Executive |
| Robert J. Cobuzzi | Director |
| Randall Cross | Director |
| Mike Dunleavy, Sr. | Director |
| Paul Feller | Director, Executive |
| John L. Gainer | Director |
| Mark T. Giles | Director |
| Glenn Golenberg | Director |
| William K. Hornung | Executive |
| David R. Jones | Executive |
| David G. Kalergis | Director, Executive |
| William Kelly | Executive |
| Alan G. Levin | Director |
| John Moynahan | Executive |
| Jerold Rubinstein | Director |
| Yael Schwartz | Director, Executive |
| Ben L. Shealy | Executive |
| David Sherris | Director, Executive |
| Stephen Simes | Director, Executive |
| Nelson Stacks | Director |
Issuer details
Industry: Pharmaceuticals (See others in industry)
Address:
1317 Carlton Avenue Suite 200
Charlottesville, VA, 22902
Charlottesville, VA, 22902