Form D · Biotechnology
Ocera Therapeutics, Inc.
Palo Alto, CA · CIK 0001274644
Offering snapshot reported Nov 21, 2013 · SEC filing
- Reported sold
- $28M Offering amount: $28M
- Investors reported
- 22 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Nov 8, 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 |
|---|---|---|---|---|---|
| Nov 21, 2013 | Initial | $28,000,000 | No comparison | 22 | SEC filing |
| Jul 24, 2013 | Initial | $0 | No comparison | 31 | SEC filing |
| Jul 16, 2013 | Amendment | $0 | $0vs Jul 16, 2013 | 25 | SEC filing |
| Jul 16, 2013 | Initial | $0 | No comparison | 25 | SEC filing |
| Jul 16, 2013 | Initial | $20,000,000 | No comparison | 18 | SEC filing |
| Jun 24, 2010 | Initial | $2,000,000 | No comparison | 1 | SEC filing |
| Oct 10, 2008 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Nov 20, 2007 | Paper | Not reported | No comparison | Not reported | SEC filing |
| May 31, 2005 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Equity, Security to be acquired
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $1.38M
- Finders' fees
- $0
- Form D file number
- 021-206724
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Stifel, Nicolaus & Company Incorporated | 793 | |
| Cowen & Company LLC | 7616 |
Source: Form D, filed Nov 21, 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 |
|---|---|
| Jean Paul Castaigne | Director |
| Donald F. Corcoran | Director |
| Aaron Davidson | Director |
| David J. Drutz | Director |
| Richard I. Eisenstadt | Executive |
| Lars G Ekman | Director |
| Vipin K. Garg | Director, Executive |
| Brenda D. Gavin | Director |
| Linda S Grais | Director |
| Jeryl L Hilleman | Executive |
| Nina Kjellson | Director |
| Dana S. Mc Gowan | Executive |
| David S Moore | Executive |
| Michael F Powell | Director |
| Franck S Rousseau | Director |
| Pratik Shah | Director |
| Anne M Van Lent | Director |
| Eckard Weber | Director |
| Alex Zisson | Director |
Issuer details
Industry: Biotechnology (See others in industry)
Address:
525 University Avenue Suite 610
Palo Alto, CA, 94301
Palo Alto, CA, 94301