Form D · Pharmaceuticals
TFF Pharmaceuticals, Inc.
Fort Worth, TX · CIK 0001733413
Offering snapshot reported Apr 2, 2024 · SEC filing
- Reported sold
- $0 Offering amount: $1.18M
- Investors reported
- 2 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Mar 22, 2024 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 |
|---|---|---|---|---|---|
| Apr 2, 2024 | Initial | $0 | No comparison | 2 | SEC filing |
| Aug 19, 2020 | Initial | $25,913,560 | No comparison | 23 | SEC filing |
| Jul 24, 2019 | Initial | $8,170,000 | No comparison | 229 | SEC filing |
| Mar 27, 2018 | Initial | $14,155,000 | No comparison | 224 | SEC filing |
Offering details
- Securities
- Option to acquire, Security to be acquired
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $82.6K
- Finders' fees
- $0
- Form D file number
- 021-509405
Concurrent with a registered offering, warrants were issued to purchase up to an aggregate of 147,500 shares of common stock at $8.00 per share. Gross proceeds will come from the exercise of the warrants to the extent such warrants are exercised for cash.
Represents the 7% cash fee paid to the placement agent in the concurrent registered direct offering referenced in item 13.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| H.C. Wainwright & Co., LLC | 375 |
Source: Form D, filed Apr 2, 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 |
|---|---|
| Kirk Coleman | Executive |
| Malcolm Fairbairn | Director |
| Aaron Fletcher | Director |
| Thomas King | Director |
| Catherine Lee | Director |
| Glenn Mattes | Director, Executive |
| Zamaneh Mikhak | Executive |
| Robert S. Mills, Jr. | Director |
| Michael Patane | Director |
| Brandi Roberts | Director |
| Stephen Rocamboli | Director |
| Randy Thurman | Director |
| Harlan Weisman | Director, Executive |
| Brian Windsor | Director, Executive |
Issuer details
Industry: Pharmaceuticals (See others in industry)
Address:
1751 River Run Suite 400
Fort Worth, TX, 76107
Fort Worth, TX, 76107