Form D · Pharmaceuticals
9 METERS BIOPHARMA, INC.
Raleigh, NC · CIK 0001551986
Offering snapshot reported May 15, 2020 · SEC filing
- Reported sold
- $22.6M Offering amount: $22.6M
- Investors reported
- 149 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- May 4, 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 15, 2020 | Initial | $22,565,371 | No comparison | 149 | SEC filing |
| Jan 17, 2020 | Initial | $2,750,000 | No comparison | 1 | SEC filing |
| May 31, 2019 | Initial | $487,126 | No comparison | 17 | SEC filing |
| May 14, 2019 | Initial | $8,744,501 | No comparison | 3 | SEC filing |
| Apr 1, 2019 | Initial | $9,741,900 | No comparison | 17 | SEC filing |
| Mar 15, 2019 | Initial | $5,500,000 | No comparison | 1 | SEC filing |
| Oct 18, 2018 | Initial | $5,196,667 | No comparison | 1 | SEC filing |
| Feb 12, 2018 | Initial | $92,751,768 | No comparison | 194 | SEC filing |
| Dec 9, 2016 | Initial | $500,000 | No comparison | 1 | SEC filing |
| Dec 9, 2016 | Initial | $250,000 | No comparison | 1 | SEC filing |
| Apr 22, 2014 | Initial | $200,000 | No comparison | 3 | SEC filing |
| Jun 19, 2013 | Amendment | $5,331,500 | $3,961,500vs Jun 19, 2012 | 85 | SEC filing |
| Jun 19, 2012 | Initial | $1,370,000 | No comparison | 16 | SEC filing |
Offering details
- Securities
- Equity, Option to acquire
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $2.15M
- Finders' fees
- $0
- Form D file number
- 021-367052
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| William Blair & Company, L.L.C. | 1252 | William Blair & Company, LLC. · CRD 1252 |
| National Securities Corporation | 7569 | National Securities Corporation · CRD 7569 |
| Westpark Capital, Inc. | 39914 | Westpark Capital, Inc. · CRD 39914 |
| Wynston Hill Capital | 103811 | Wynston Hill Capital · CRD 103811 |
| GP Numenkari Inc. | 153480 | GP Numenkari Inc. · CRD 153480 |
Source: Form D, filed May 15, 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 |
|---|---|
| Steven C Barre | Director |
| Jonathan P. Clark | Director, Executive |
| David H. Clarke | Director, Executive |
| Nissim Darvish | Director |
| Lorin K. Johnson | Director |
| Anna Kazanchyan | Director |
| Sandeep Laumas | Director |
| Robert Machinist | Director |
| Jay Madan | Director, Executive |
| Anthony Maida | Director |
| Anthony E Maida Iii | Director |
| Marc S. Matejka | Executive |
| Christopher M. Miner | Director |
| David L. Olert | Executive |
| Christopher Prior | Director, Executive |
| Roy Proujansky | Director |
| Saira Ramasastry | Director |
| Michael Riddling | Executive |
| Mark Sirgo | Director |
| Edward J. Sitar | Executive |
| Vivek Tandon | Director |
| Devinder Tandon | Director |
| Jawahar Tandon | Director, Executive |
| John Temperato | Director, Executive |
Issuer details
Industry: Pharmaceuticals (See others in industry)
Address:
8480 Honeycutt Road Suite 120
Raleigh, NC, 27615
Raleigh, NC, 27615