Form D · Other
SOUTHWEST NANOTECHNOLOGIES INC
Norman, OK · CIK 0001458989
Offering snapshot reported Jul 10, 2014 · SEC filing
- Reported sold
- $1.65M Offering amount: $4M
- Investors reported
- 19 Form D · investor count
- Minimum accepted
- $1 Reported outside-investor minimum
- First sale
- Mar 18, 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 |
|---|---|---|---|---|---|
| Jul 10, 2014 | Initial | $1,651,391 | No comparison | 19 | SEC filing |
| Mar 23, 2009 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Debt, Option to acquire
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $44.4K (estimated)
- Finders' fees
- $0
- Form D file number
- 021-220697
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | 793 |
Source: Form D, filed Jul 10, 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 |
|---|---|
| David Arthur | Director, Executive |
| James Ashman | Director, Executive |
| Myron Bond | Director |
| Wilmer Bottoms | Director |
| James Bratton | Director |
| Rick Jansen | Executive |
| Dan Leven | Executive |
| Joseph Nathan | Director |
| Charles Nesser | Director |
| Ricardo Prada | Executive |
| John Whorton | Executive |
Issuer details
Industry: Other (See others in industry)
Address:
2501 Technology Place
Norman, OK, 73071
Norman, OK, 73071