Form D · Biotechnology
SOPHIRIS BIO INC.
La Jolla, CA · CIK 0001563855
Offering snapshot reported Sep 6, 2019 · SEC filing
- Reported sold
- $5.07M Offering amount: $5.07M
- Investors reported
- 1 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Aug 29, 2019 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 6, 2019 | Initial | $5,066,667 | No comparison | 1 | SEC filing |
Offering details
- Securities
- Option to acquire, Security to be acquired
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $240K
- Finders' fees
- $0
- Form D file number
- 021-348192
Represents amounts receivable upon exercise of warrants; such warrants have not yet been exercised.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| H.C. Wainwright & Co., LLC | 375 |
Source: Form D, filed Sep 6, 2019. 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 |
|---|---|
| Lars E. Ekman | Director |
| John E Geltosky | Director |
| Jim E. Heppell | Director |
| Allison E. Hulme | Director, Executive |
| Gerald T Proehl | Director |
| Peter T. Slover | Executive |
| Randall E. Woods | Director, Executive |
Issuer details
Industry: Biotechnology (See others in industry)
Address:
1258 Prospect Street
La Jolla, CA, 92037
La Jolla, CA, 92037