Form D · Pharmaceuticals
Panbela Therapeutics, Inc.
Waconia, MN · CIK 0001029125
Offering snapshot reported Jan 5, 2024 · SEC filing
- Reported sold
- $2M Indefinite offering
- Investors reported
- 2 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Dec 21, 2023 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 |
|---|---|---|---|---|---|
| Jan 5, 2024 | Initial | $2,000,000 | No comparison | 2 | SEC filing |
| Nov 17, 2023 | Initial | $3,322,800 | No comparison | 3 | SEC filing |
| Jun 29, 2022 | Initial | $8,800,000 | No comparison | 70 | SEC filing |
| Sep 9, 2019 | Initial | $2,500,000 | No comparison | 38 | SEC filing |
| Jan 4, 2019 | Initial | $1,358,638 | No comparison | 15 | SEC filing |
| Mar 6, 2018 | Initial | $840,000 | No comparison | 13 | SEC filing |
| Mar 6, 2017 | Initial | $1,495,000 | No comparison | 14 | SEC filing |
| Jun 27, 2016 | Initial | $1,951,000 | No comparison | 27 | SEC filing |
Offering details
- Securities
- Equity, Option to acquire
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $120K
- Finders' fees
- $0
- Form D file number
- 021-501697
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Roth Capital Partners, LLC | 15407 |
Source: Form D, filed Jan 5, 2024. 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 |
|---|---|
| Michael T. Cullen | Director |
| Daniel Donovan | Director |
| Arthur J. Fratamico | Director |
| Suzanne Gagnon | Director |
| Dalvir S. Gill | Director |
| Susan Horvath | Executive |
| Jeffrey E. Jacob | Director |
| David B. Kaysen | Director, Executive |
| Scott Kellen | Executive |
| Jeffrey S. Mathiesen | Director |
| J. Robert Paulson | Director |
| J. Robert Paulson, Jr. | Director |
| Paul W. Schaffer | Director |
| Robert Schemel | Director |
| D. Robert Schemel | Director |
| Jennifer K. Simpson | Director, Executive |
Issuer details
Industry: Pharmaceuticals (See others in industry)
Address:
712 Vista Blvd #305
Waconia, MN, 55387
Waconia, MN, 55387