Form D · Biotechnology
WaferGen Bio-systems, Inc.
Fremont, CA · CIK 0001368993
Offering snapshot reported Sep 10, 2013 · SEC filing
- Reported sold
- $13.7M Offering amount: $15M
- Investors reported
- 179 Form D · investor count
- Minimum accepted
- $50K Reported outside-investor minimum
- First sale
- Aug 27, 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 |
|---|---|---|---|---|---|
| Sep 10, 2013 | Initial | $13,668,500 | No comparison | 179 | SEC filing |
| Jun 1, 2011 | Initial | $30,550,000 | No comparison | 22 | SEC filing |
| Feb 24, 2010 | Initial | $5,085,500 | No comparison | 37 | SEC filing |
| Sep 15, 2009 | Amendment | $6,261,250 | $2,130,000vs Jul 6, 2009 | 32 | SEC filing |
| Jul 6, 2009 | Initial | $4,131,250 | No comparison | 11 | SEC filing |
| Jun 18, 2008 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Jun 15, 2007 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Equity, Option to acquire, Security to be acquired
- Exemptions
- 06
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $1.17M (estimated)
- Finders' fees
- $0
- Form D file number
- 021-202636
Minimum investment amount may be waived. Total offering amount may be increased by up to $2,250,000 to cover over-allotments, if any.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| National Securities Corporation | 7569 |
Source: Form D, filed Sep 10, 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 |
|---|---|
| Mona Chadha | Executive |
| Robert Coradini | Director |
| Scott Davidson | Director |
| Robert J. Hariri | Director |
| John Harland | Executive |
| R. Dean Hautamaki | Director |
| Raymond Dean Hautamaki | Director |
| Donald Huffman | Executive |
| Makoto Kaneshiro | Director |
| Joel Kanter | Director |
| Joseph Pesce | Director |
| Alnoor Shivji | Director |
| Timothy Triche | Director |
| Ivan Trifunovich | Director, Executive |
Issuer details
Industry: Biotechnology (See others in industry)
Address:
7400 Paseo Padre Parkway
Fremont, CA, 94555
Fremont, CA, 94555