Sponsor Check › Issuer
Corporation · organized in WASHINGTON · formed more than five years before filing · GLEN ALLEN, VA · SEC CIK 921114 · formerly Xenogen Corporation; TARGETED GENETICS CORP /WA/
Data last updated: Oct 23, 2026, 5:45 PM ET · Latest filing by this issuer: Mar 30, 2015 · Courts (RECAP) last checked: Oct 23, 2026, 11:54 PM ET · SEC enforcement last checked: not yet
The five facts investors ask about first. Each section states what was searched and when. Items still in human review are not shown.
None found in sources searched.
Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30) — federal district + bankruptcy courts; live RECAP re-check pending. State courts: not yet searched. PACER: not searched. · Last checked Oct 23, 2026, 11:54 PM ET.
State courts: not yet searched. No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.
SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — not yet searched; State securities regulators searched: AZ (Corporation Commission Securities Division), CA (DFPI — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE (DOJ Investor Protection Unit), TX (State Securities Board), WA (DFI) — last crawled Oct 23, 2026, 9:57 PM ET. Other states: not yet searched.
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None found in sources searched.
Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not yet searched. PACER: not searched (RECAP only). · Last checked Oct 23, 2026, 11:54 PM ET.
State courts: not yet searched. No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.
No public statement by this issuer has been collected yet, so there is nothing to compare. Sources compared: the sponsor's own website (known from the issuer's own filings — Form C issuer website, EDGAR company profile — an approved profile claim or Form ADV Item 1.I of its matched adviser) · SEC Form D · SEC Form ADV (IAPD) · Internet Archive · No website is on file for this issuer yet.
3 of 4 offerings report sales commissions totalling $2,199,705; 0 report finder's fees; 0 report proceeds to related persons.
| Source | Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it |
|---|---|---|---|---|---|
| EDGAR ↗ | Mar 30, 2015 D File 021-236859 | $789,600 | $0 | $0 | Griffin Securities, Inc. BrokerCheck CRD 43229 ↗ via Griffin Securities, Inc. (CRD 43229 ↗) Roth Capital Partners, LLC BrokerCheck CRD 15407 ↗ via Roth Capital Partners, LLC (CRD 15407 ↗) |
| EDGAR ↗ | Jan 2, 2014 D File 021-209109 | $1,080,105 | $0 | $0 | Griffin Securities, Inc. BrokerCheck CRD 43229 ↗ via Griffin Securities, Inc. (CRD 43229 ↗) Roth Capital Partners, LLC BrokerCheck CRD 15407 ↗ via Roth Capital Partners, LLC (CRD 15407 ↗) |
| EDGAR ↗ | Aug 8, 2013 D/A File 021-199282 | $330,000 | $0 | $0 | Griffin Securities, Inc. BrokerCheck CRD 43229 ↗ via Griffin Securities, Inc. (CRD 43229 ↗) Philip Capital Ltd. no CRD number reported via Philip Capital Ltd. |
| EDGAR ↗ | Feb 25, 2013 D File 021-192346 | $0 | $0 | $0 | None listed on this filing |
As reported by the issuer on Form D (Items 12–15), latest filing per offering (one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.
0 recorded documents and 0 ownership records matched to AmpliPhi Biosciences Corp in the sources searched.
Not found in sources searched as of Oct 23, 2026, 8:59 PM ET: Hillsborough County FL Clerk of Court Official Records daily index (publicrec.hillsclerk.com D/P/M files), 2 daily files (Oct 14, 2026 to Oct 15, 2026) — loaded Oct 23, 2026, 8:59 PM ET; Florida DOR NAL roll (Hillsborough 39) roll year 2026 — loaded Oct 23, 2026, 8:54 PM ET; Florida DOR NAL roll (Dade 23) roll year 2026 — loaded Oct 23, 2026, 8:58 PM ET; Harris County Appraisal District real_acct.txt roll year 2026 — loaded Oct 23, 2026, 8:58 PM ET; Dallas Central Appraisal District ACCOUNT_INFO.CSV roll year 2026 — loaded Oct 23, 2026, 8:58 PM ET. Not yet searched for this issuer (queued): NYC ACRIS via NYC Open Data (Real Property Parties 636b-3b5g, Master bnx9-e6tj, Legals 8h5j-fqxa, Document Control Codes 7isb-wh4c) · NYC PLUTO ownership via NYC Open Data (64uk-42ks) · Cook County IL Assessor via Cook County Open Data (Parcel Sales wvhk-k5uv; Parcel Addresses 3723-97qp). Records in other counties, and recorder indexes we do not yet cover, were not searched.
Property records coverage: New York City (ACRIS recorded documents and PLUTO ownership, looked up per issuer when its page is viewed; re-checked when the page is viewed again more than 30 days after the last check); Hillsborough County FL (recorded documents from Oct 14, 2026 forward; ownership from FL DOR roll 2026); Cook County IL (assessor ownership and deed/sale records, looked up per issuer when its page is viewed); Harris County TX and Dallas County TX (assessor ownership rolls only, 2026 roll; no deed, mortgage or sale records); Miami-Dade County FL (ownership from FL DOR roll only; Clerk recorded documents not yet searched). Recorder indexes for TX, AZ, IL and WA counties, mortgages and liens outside NYC and FL, lis pendens and foreclosure notices everywhere, Miami-Dade County FL recorded documents, Maricopa County AZ, King County WA, Salt Lake County UT, and all other counties are not yet searched. Last refresh by source: Hillsborough County FL Clerk daily index Oct 23, 2026, 8:59 PM ET; Dallas Central Appraisal District ACCOUNT_INFO.CSV Oct 23, 2026, 8:58 PM ET; Harris County Appraisal District real_acct.txt Oct 23, 2026, 8:58 PM ET; Florida DOR NAL roll (Dade 23) Oct 23, 2026, 8:58 PM ET; Florida DOR NAL roll (Hillsborough 39) Oct 23, 2026, 8:54 PM ET. NYC and Cook County are looked up per issuer when its page is viewed; the most recent such lookup on this site finished Oct 24, 2026, 1:49 AM ET. Parties are named as the recorder's index names them (role suffixes as recorded); no address, account number or trust date is shown for an individual, and individual owners of record (home ownership) are not matched or shown. Items still in human review are not shown.
Each filing as reported by the issuer, newest first. Open a row for the full plain-English detail. D = original notice, D/A = amendment.
| File no. | Original Form D | Latest filing | Amendments | Offered (latest) | Sold (latest) | Industry (latest) |
|---|---|---|---|---|---|---|
| 021-236859 | Mar 30, 2015 EDGAR ↗ | Mar 30, 2015 D EDGAR ↗ | 0 | $13,000,000 | $13,000,000 | Biotechnology |
| 021-209109 | Jan 2, 2014 EDGAR ↗ | Jan 2, 2014 D EDGAR ↗ | 0 | $18,001,750 | $18,001,750 | Biotechnology |
| 021-199282 | Jul 10, 2013 EDGAR ↗ | Aug 8, 2013 D/A EDGAR ↗ | 2 latest Aug 8, 2013 | $13,320,276 | $13,320,276 | Biotechnology |
| 021-192346 | Feb 25, 2013 EDGAR ↗ | Feb 25, 2013 D EDGAR ↗ | 0 | $7,500,000 | $500,000 | Biotechnology |
Offerings are grouped by SEC file number; rows without a file number (not yet retrieved from EDGAR) are shown as their own offering until the link is fetched.
| Filing | Form D filed Mar 30, 2015 SEC file no. 021-236859 · accession 0000921114-15-000001 |
|---|---|
| Raise progress | $13,000,000 sold of $13,000,000 offered (100%) · $0 remaining · first sale Mar 16, 2015 |
| Filing timing | Date of first sale: Mar 16, 2015 · Form D filed: Mar 30, 2015 (14 days after first sale) Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
| Time since first sale | 4,240 days (11.6 years) |
| Annual amendments | Issuer reported the offering is not expected to last more than one year. No amendment for this offering in our index (filings 2008 → Oct 22, 2026; checked Oct 23, 2026, 5:45 PM ET). Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 21 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506(b) — no general advertising; up to 35 non-accredited investors allowed |
| Minimum investment accepted | $0 as filed (no minimum reported) |
| Securities offered | Equity; Option, warrant or other right to acquire; Security to be acquired upon exercise |
| Entity details | Organized in WASHINGTON · formed more than five years before filing · revenue range: Decline to Disclose (state and year as reported on the issuer's latest filing) As reported by the issuer on Form D (Items 1–2 and 5). |
| Industry | Biotechnology |
| Who is paid to sell it | Griffin Securities, Inc. — FINRA BrokerCheck CRD 43229 ↗ · associated broker-dealer: Griffin Securities, Inc. (CRD 43229 ↗) Solicits in: CA, CT, FL, MA, MD, NJ, NY, TX Roth Capital Partners, LLC — FINRA BrokerCheck CRD 15407 ↗ · associated broker-dealer: Roth Capital Partners, LLC (CRD 15407 ↗) Solicits in: CA, CT, FL, MA, MD, NJ, NY, TX |
| Money to insiders | Sales commissions: $789,600 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | David E. Bosher, Chief Financial Officer (Mar 27, 2015) |
| Market context | Minimum investment: $0 as filed (no minimum reported). Typical range for similar offerings: $10,000–$50,000. Offering size: $13,000,000. Typical range: $2,000,000–$19,999,994. Investors: 21. Typical range: 2–16. "Similar" = Biotechnology, Rule 506(b). Based on 3,253 Form D filings 2021–2026 in the same industry and exemption (Biotechnology, Rule 506(b); original Form D notices, one per offering) (Form D data, SEC). Ranges are the middle half (25th–75th percentile) of the filings that reported each value: minimum investment 704, offering size 3,078, investors 3,148. Computed by PartnerFacts as of Oct 23, 2026, 5:45 PM ET. No ranking or score. Source: PartnerFacts data & coverage. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET |
| Filing | Form D filed Jan 2, 2014 SEC file no. 021-209109 · accession 0000921114-14-000001 |
|---|---|
| Raise progress | $18,001,750 sold of $18,001,750 offered (100%) · $0 remaining · first sale Dec 19, 2013 |
| Filing timing | Date of first sale: Dec 19, 2013 · Form D filed: Jan 2, 2014 (14 days after first sale) Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
| Time since first sale | 4,692 days (12.9 years) |
| Annual amendments | Issuer reported the offering is not expected to last more than one year. No amendment for this offering in our index (filings 2008 → Oct 22, 2026; checked Oct 23, 2026, 5:45 PM ET). Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 26 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506(b) — no general advertising; up to 35 non-accredited investors allowed |
| Minimum investment accepted | $0 as filed (no minimum reported) |
| Securities offered | Equity |
| Entity details | Organized in WASHINGTON · formed more than five years before filing · revenue range: Decline to Disclose (state and year as reported on the issuer's latest filing) As reported by the issuer on Form D (Items 1–2 and 5). |
| Industry | Biotechnology |
| Who is paid to sell it | Griffin Securities, Inc. — FINRA BrokerCheck CRD 43229 ↗ · associated broker-dealer: Griffin Securities, Inc. (CRD 43229 ↗) Solicits in: CA, CT, MD, NJ, NY, TX, VA Roth Capital Partners, LLC — FINRA BrokerCheck CRD 15407 ↗ · associated broker-dealer: Roth Capital Partners, LLC (CRD 15407 ↗) Solicits in: CA, CT, MD, NJ, NY, TX, VA |
| Money to insiders | Sales commissions: $1,080,105 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | Kelley Wendt, Chief Financial Officer (Jan 2, 2014) |
| Market context | Minimum investment: $0 as filed (no minimum reported). Typical range for similar offerings: $10,000–$50,000. Offering size: $18,001,750. Typical range: $2,000,000–$19,999,994. Investors: 26. Typical range: 2–16. "Similar" = Biotechnology, Rule 506(b). Based on 3,253 Form D filings 2021–2026 in the same industry and exemption (Biotechnology, Rule 506(b); original Form D notices, one per offering) (Form D data, SEC). Ranges are the middle half (25th–75th percentile) of the filings that reported each value: minimum investment 704, offering size 3,078, investors 3,148. Computed by PartnerFacts as of Oct 23, 2026, 5:45 PM ET. No ranking or score. Source: PartnerFacts data & coverage. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET |
| Filing | Form D/A (amendment) filed Aug 8, 2013 · amends 0000921114-13-000006 ↗ SEC file no. 021-199282 · accession 0000921114-13-000008 · filing 3 of 3 in this offering |
|---|---|
| Raise progress | $13,320,276 sold of $13,320,276 offered (100%) · $0 remaining · first sale Jun 26, 2013 |
| Filing timing | Date of first sale: Jun 26, 2013 · Original Form D filed: Jul 10, 2013 (14 days after first sale) · This amendment (Form D/A) filed: Aug 8, 2013 This row is an amendment. Rule: the original Form D is generally due within 15 days after the first sale; the rule sets no deadline measured from an amendment. Dates shown as reported; no conclusion is drawn. |
| Time since first sale | 4,868 days (13.3 years) |
| Annual amendments | Issuer reported the offering is not expected to last more than one year. This filing is an amendment dated Aug 8, 2013. Most recent amendment for this offering in our index: this filing, Aug 8, 2013. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 27 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506 (filed before Sept 2013, when 506 was split into 506(b) and 506(c)) |
| Minimum investment accepted | $0 as filed (no minimum reported) |
| Securities offered | Equity; Option, warrant or other right to acquire |
| Entity details | Organized in WASHINGTON · formed more than five years before filing · revenue range: Decline to Disclose (state and year as reported on the issuer's latest filing) As reported by the issuer on Form D (Items 1–2 and 5). |
| Industry | Biotechnology |
| Who is paid to sell it | Griffin Securities, Inc. — FINRA BrokerCheck CRD 43229 ↗ · associated broker-dealer: Griffin Securities, Inc. (CRD 43229 ↗) Solicits in: MA, VA Philip Capital Ltd. — no CRD number reported · associated broker-dealer: Philip Capital Ltd. |
| Money to insiders | Sales commissions: $330,000 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | Kelley Wendt, Chief Financial Officer (Aug 7, 2013) |
| Changes vs previous filing |
Compared with the D/A filed Jul 31, 2013 (EDGAR ↗). Fields compared: total sold, total offering, remaining, investors, non-accredited investors (count), non-accredited investors reported, minimum investment, sales commissions, finder's fees, proceeds to insiders, date of first sale, industry, fund type, exemption, revenue range, net asset value range, securities offered, may last more than one year, related persons, sales-compensation recipients. Amendment history as filed; no conclusion is drawn. |
| Market context | Not computed — the exemption as filed is Rule 506 before the Sept 2013 split into 506(b) and 506(c) (see Exemption claimed); ranges are computed only for offerings claiming Rule 506(b) or 506(c), compared with the last 5 years of filings. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET |
| Filing | Form D/A (amendment) filed Jul 31, 2013 · amends 0000921114-13-000005 ↗ SEC file no. 021-199282 · accession 0000921114-13-000006 · filing 2 of 3 in this offering |
|---|---|
| Raise progress | $13,320,276 sold of $13,320,276 offered (100%) · $0 remaining · first sale Jun 26, 2013 |
| Filing timing | Date of first sale: Jun 26, 2013 · Original Form D filed: Jul 10, 2013 (14 days after first sale) · This amendment (Form D/A) filed: Jul 31, 2013 This row is an amendment. Rule: the original Form D is generally due within 15 days after the first sale; the rule sets no deadline measured from an amendment. Dates shown as reported; no conclusion is drawn. |
| Time since first sale | 4,868 days (13.3 years) |
| Annual amendments | Issuer reported the offering is not expected to last more than one year. This filing is an amendment dated Jul 31, 2013. Most recent amendment for this offering in our index: Aug 8, 2013 (EDGAR ↗). Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 27 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506 (filed before Sept 2013, when 506 was split into 506(b) and 506(c)) |
| Minimum investment accepted | $0 as filed (no minimum reported) |
| Securities offered | Equity; Option, warrant or other right to acquire |
| Entity details | Organized in WASHINGTON · formed more than five years before filing · revenue range: Decline to Disclose (state and year as reported on the issuer's latest filing) As reported by the issuer on Form D (Items 1–2 and 5). |
| Industry | Biotechnology |
| Who is paid to sell it | No sales compensation recipients listed on this filing. |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | Kelley Wendt, Chief Financial Officer (Jul 31, 2013) |
| Changes vs previous filing |
Compared with the D filed Jul 10, 2013 (EDGAR ↗). Fields compared: total sold, total offering, remaining, investors, non-accredited investors (count), non-accredited investors reported, minimum investment, sales commissions, finder's fees, proceeds to insiders, date of first sale, industry, fund type, exemption, revenue range, net asset value range, securities offered, may last more than one year, related persons, sales-compensation recipients. Amendment history as filed; no conclusion is drawn. |
| Market context | Not computed — the exemption as filed is Rule 506 before the Sept 2013 split into 506(b) and 506(c) (see Exemption claimed); ranges are computed only for offerings claiming Rule 506(b) or 506(c), compared with the last 5 years of filings. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET |
| Filing | Form D filed Jul 10, 2013 SEC file no. 021-199282 · accession 0000921114-13-000005 · filing 1 of 3 in this offering |
|---|---|
| Raise progress | $12,490,999 sold of $12,490,999 offered (100%) · $0 remaining · first sale Jun 26, 2013 |
| Filing timing | Date of first sale: Jun 26, 2013 · Form D filed: Jul 10, 2013 (14 days after first sale) Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
| Time since first sale | 4,868 days (13.3 years) |
| Annual amendments | Issuer reported the offering is not expected to last more than one year. Most recent amendment for this offering in our index: Aug 8, 2013 (EDGAR ↗). Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 8 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506 (filed before Sept 2013, when 506 was split into 506(b) and 506(c)) |
| Minimum investment accepted | $0 as filed (no minimum reported) |
| Securities offered | Equity; Option, warrant or other right to acquire |
| Entity details | Organized in WASHINGTON · formed more than five years before filing · revenue range: Decline to Disclose (state and year as reported on the issuer's latest filing) As reported by the issuer on Form D (Items 1–2 and 5). |
| Industry | Biotechnology |
| Who is paid to sell it | No sales compensation recipients listed on this filing. |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | Kelley Wendt, Chief Financial Officer (Jul 9, 2013) |
| Market context | Not computed — the exemption as filed is Rule 506 before the Sept 2013 split into 506(b) and 506(c) (see Exemption claimed); ranges are computed only for offerings claiming Rule 506(b) or 506(c), compared with the last 5 years of filings. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET |
| Filing | Form D filed Feb 25, 2013 SEC file no. 021-192346 · accession 0000921114-13-000004 |
|---|---|
| Raise progress | $500,000 sold of $7,500,000 offered (7%) · $7,000,000 remaining · first sale Feb 5, 2013 |
| Filing timing | Date of first sale: Feb 5, 2013 · Form D filed: Feb 25, 2013 (20 days after first sale) Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
| Time since first sale | 5,009 days (13.7 years) |
| Annual amendments | Issuer reported the offering is not expected to last more than one year. No amendment for this offering in our index (filings 2008 → Oct 22, 2026; checked Oct 23, 2026, 5:45 PM ET). Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 1 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506 (filed before Sept 2013, when 506 was split into 506(b) and 506(c)) |
| Minimum investment accepted | $0 as filed (no minimum reported) |
| Securities offered | Debt; Option, warrant or other right to acquire |
| Entity details | Organized in WASHINGTON · formed more than five years before filing · revenue range: Decline to Disclose (state and year as reported on the issuer's latest filing) As reported by the issuer on Form D (Items 1–2 and 5). |
| Industry | Biotechnology |
| Who is paid to sell it | No sales compensation recipients listed on this filing. |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | Kelley Wendt, Chief Financial Officer (Feb 20, 2013) |
| Market context | Not computed — the exemption as filed is Rule 506 before the Sept 2013 split into 506(b) and 506(c) (see Exemption claimed); ranges are computed only for offerings claiming Rule 506(b) or 506(c), compared with the last 5 years of filings. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET |
| Amendment filed | File no. | Compared with | What changed (both values as filed) |
|---|---|---|---|
| Aug 8, 2013 EDGAR ↗ | 021-199282 | Jul 31, 2013 D/A | sales commissions: $0 (Jul 31, 2013) → $330,000 (Aug 8, 2013) · sales-compensation recipients added (Aug 8, 2013): Griffin Securities, Inc., Philip Capital Ltd. |
| Jul 31, 2013 EDGAR ↗ | 021-199282 | Jul 10, 2013 D | total sold: $12,490,999 (Jul 10, 2013) → $13,320,276 (Jul 31, 2013) · total offering: $12,490,999 (Jul 10, 2013) → $13,320,276 (Jul 31, 2013) · investors: 8 (Jul 10, 2013) → 27 (Jul 31, 2013) |
Fields compared: total sold, total offering, remaining, investors, non-accredited investors (count), non-accredited investors reported, minimum investment, sales commissions, finder's fees, proceeds to insiders, date of first sale, industry, fund type, exemption, revenue range, net asset value range, securities offered, may last more than one year, related persons, sales-compensation recipients. Values as filed; no conclusion is drawn.
All Form D filings for this CIK on SEC EDGAR ↗. History: 0 new offerings in the last 12 months (new offering = a Form D that is not an amendment) · most recent filing Mar 30, 2015. Industry as reported, by offering: All 4 offerings reported: Biotechnology (2013–2015).
| Name | Relationship | Address state | On filings (first → last) | Also listed on |
|---|---|---|---|---|
| Anthony Smithyman | Director | VA | Feb 25, 2013 → Mar 30, 2015 on 6 of 6 filings listed on the latest filing | — |
| Baxter F. Phillips, III also filed as Baxter Phillips, III | Executive Officer | VA | Jan 2, 2014 → Mar 30, 2015 on 2 of 6 filings listed on the latest filing | — |
| David E. Bosher | Executive Officer | VA | Mar 30, 2015 on 1 of 6 filings listed on the latest filing | 2 other issuers |
| Jeremy Curnock Cook | Director, Executive Officer | VA | Feb 25, 2013 → Mar 30, 2015 on 6 of 6 filings listed on the latest filing | — |
| Julian P. Kirk also filed as Julian Kirk | Director | VA | Jan 2, 2014 → Mar 30, 2015 on 2 of 6 filings listed on the latest filing | 1 other issuer |
| Louis Drapeau | Director | VA | Feb 25, 2013 → Mar 30, 2015 on 6 of 6 filings listed on the latest filing | — |
| Michael S. Perry also filed as Michael Perry | Director | VA | Feb 25, 2013 → Mar 30, 2015 on 6 of 6 filings listed on the latest filing | — |
| Wendy S. Johnson | Executive Officer, Director | VA | Mar 30, 2015 on 1 of 6 filings listed on the latest filing | — |
| Kelley Wendt | Executive Officer | VA | Feb 25, 2013 → Jan 2, 2014 on 5 of 6 filings not listed on the latest filing (Mar 30, 2015) | 1 other issuer |
| Philip Young | Executive Officer, Director | VA | Feb 25, 2013 → Jan 2, 2014 on 5 of 6 filings not listed on the latest filing (Mar 30, 2015) | 3 other issuers |
| Anthony Gellert | Director | VA | Feb 25, 2013 → Aug 8, 2013 on 4 of 6 filings not listed on the latest filing (Mar 30, 2015) | — |
| Caroline Williams | Director | VA | Feb 25, 2013 → Aug 8, 2013 on 4 of 6 filings not listed on the latest filing (Mar 30, 2015) | — |
Executive officers, directors and promoters as self-reported by the issuer, one row per person. Spellings of the same name (same first and last name, or the same full name that EDGAR split differently into middle and last name) with no conflicting middle initial are shown on one row (none on this issuer); dates and counts come from the filings that list each name. Licensed persons: FINRA BrokerCheck ↗ · SEC IAPD ↗. Middle names: the SEC Form D data set (RELATEDPERSONS.tsv) repeats the previous person's middle name into later rows of the same filing; where that happened PartnerFacts shows the name without the repeated middle name and keeps the data-set spelling on record (Anthony S. Smithyman; Louis F. Drapeau) — the filing on EDGAR is the source.
Other issuers listing the same people:
Shared address: this business address appears on filings for 3 other issuers. Stated as a count only (suite numbers ignored) — many addresses are shared office buildings or registered agents. As of Oct 23, 2026, 5:45 PM ET.
None found in sources searched.
Sources searched: SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 · Last checked Oct 23, 2026, 8:41 PM ET.
Not yet searched. Sources to be searched: SEC Investment Adviser Information Reports — Form ADV data for SEC-registered advisers and exempt reporting advisers (file dated 2026-10-02); SEC Investment Adviser Public Disclosure (IAPD) firm search — registered and exempt reporting advisers · Search queued. Results are added automatically; check back later.
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Sources to be searched: the sponsor's website (none on record yet; a sponsor's website is known only from the issuer's own filings (Form C issuer website; EDGAR company profile), an approved profile claim or Form ADV Item 1.I of its matched adviser — we never look it up elsewhere) for Meta Pixel ids and Facebook / Instagram page links; Meta Ad Library API: not yet searched (API access pending). We never read facebook.com or instagram.com; readers get a link to Meta's public Ad Library instead.
Not found in sources searched.
Sources searched for a website: Form C data set (issuer websites as filed), Form ADV data set (Item 1.I of matched advisers) — as of Oct 23, 2026, 11:20 PM ET: none on file for this issuer. The sponsor website, the Internet Archive and GDELT news index are read only once a site is on file; a sponsor's website is known only from the issuer's own filings (Form C issuer website; EDGAR company profile), an approved profile claim or Form ADV Item 1.I of its matched adviser — we never look it up elsewhere. We never collect personal or family accounts.
Entity standing: not checked (no official programmatic source for VA yet).
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