Form D · Biotechnology
STEM CELL THERAPEUTICS CORP
Toronto, A6 · CIK 0001392333
Offering snapshot reported Dec 23, 2013 · SEC filing
- Reported sold
- $30.3M Offering amount: $60.7M
- Investors reported
- 22 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Dec 13, 2013 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 |
|---|---|---|---|---|---|
| Dec 23, 2013 | Initial | $30,298,825 | No comparison | 22 | SEC filing |
| Mar 2, 2007 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Equity, Option to acquire, Security to be acquired, Other
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $1.82M
- Finders' fees
- $0
- Form D file number
- 021-208615
Aggregate offering includes amout that may be received by Issuer upon exercise of warrants. Each whole warrant may be exercised for one common share at an exercise price of CDN$0.28 per share for a period of 5 years after Closing.
Offered Units = Units & Preferred Units; Units = 1 common share & 3/4 common share warrant; Preferred Units = 1 series I convertible preferred share & 3/4 common share warrant.
In addition to cash commission, agents may also receive up to 5,014,839 options. Each option may be exercised for one common share at a price of CDN$0.21 per share for a period of 24 months from Closing.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| ROTH Capital Partners, LLC | 15407 | |
| Bloom Burton & Co. Inc. | None |
Source: Form D, filed Dec 23, 2013. 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 Geoffrey Peter Allan | Director |
| James Michael De Mesa | Director |
| Henry G. Friesen | Director |
| Michael Moore | Director |
| James Todd Parsons | Executive |
| Ronald Dean Peterson | Director |
| Penka Petrova | Executive |
| Niclas Stiernholm | Director, Executive |
| Calvin Ralph Stiller | Director |
| Robert Uger | Executive |
Issuer details
Industry: Biotechnology (See others in industry)
Address:
96 Skyway Avenue
Toronto, A6, M9W 4Y9
Toronto, A6, M9W 4Y9