PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 7:28 AM ET

Sponsor Check › Issuer

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NGM BIOPHARMACEUTICALS INC

Corporation · organized in Delaware · formed more than five years before filing · South San Francisco, CA

$106Mreported sold (max)
28investors (max)
4offerings
10Form D filings
2009–2015filing years
0new, last 12 mo
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Data last updated Oct 23, 2026, 5:45 PM ET · Latest filing by this issuer Mar 25, 2015 · Courts (RECAP) last checked: Oct 24, 2026, 2:11 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

NGM BIOPHARMACEUTICALS INC is a corporation organized in Delaware (formed more than five years before filing), based in South San Francisco, CA.

What this means A deal company is usually set up for one investment; its Form D is the notice it files after selling to investors.

It has filed 10 Form D filings (4 originals, 6 amendments) for 4 offerings between Nov 2009 and Mar 2015. The latest filing of each offering reports a combined $195.6M sold of $271.7M offered to 63 investors; industry as reported: biotechnology; latest exemption Rule 506(b).

What this means A repeat filer — 4 separate raises over about 6 years. Amendments are routine updates (an ongoing raise must update its Form D at least once a year).

Key people as listed: David Schnell (director), David V. Goeddel (director), Jin-Long Chen (executive officer and director), Mark Leschly (director), McHenry T. Tichenor, Jr. (director) and 9 more.

What this means These are the people the company itself named as running or promoting it. Tap a name to see every other deal they are on.

No sales commissions, finder's fees or proceeds to insiders are reported. No sales-compensation recipients are listed.

What this means No broker was paid — the sponsor sold it directly to investors.

Activity: 0 new offerings in the last 12 months; latest amendment Nov 7, 2011; latest filing Mar 25, 2015.

What this means No new raise filed in the past year — this deal company may be done raising, or simply quiet.

Searched SEC Form ADV bulk data (registered + exempt reporting advisers) (24,962 records as of Oct 2, 2026, 8:00 AM ET) — nothing matched NGM BIOPHARMACEUTICALS INC.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, OK, OR, PA, RI, SC, SD, TN, TX, VT, WA, WI, WV, WY), property records (NYC, FL, IL and TX counties) — 1 court case matching the name listed in Key records below.

What this means 1 record came back. Each one is listed below with a link to the original document and a line saying why it matched. A name match is not proof it is the same person or company — read the why line and the document. Being sued or named in a release is an accusation, not a finding.

We compared 10 public filings for NGM BIOPHARMACEUTICALS INC and found 14 differences, 3 worth asking the sponsor about: Amount sold went down between filings; Form D filed 138 days after the first sale; and more below.

What this means These are differences between the sponsor's own SEC filings — both values, dates and sources are listed in Key records, section 4. Most have ordinary explanations; ask the sponsor.

What the community is saying

Community search for NGM BIOPHARMACEUTICALS INC has not run yet — it is joining a line of 22,292 names; searches run around the clock at the hosts' allowed rate. Searched so far: 619 names.

Community comments are quoted as written by their authors. Sources searched: BiggerPockets forums (via DuckDuckGo, Brave, Bing and BiggerPockets search) and Reddit (search feed + public archive).

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

1 case: 1 closed (disposition not in docket feed)

Ader v. NGM Biopharmaceuticals, Inc. closed
District Court, N.D. California · No. 4:24-cv-01759 · Filed Mar 21, 2024 · Closed Apr 11, 2024 · Nature of suit: 850 Securities/Commodities · Cause: 15:78m(a) Securities Exchange Act
Role of NGM Biopharmaceuticals, Inc.: Defendant · Outcome: Terminated 2024-04-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; court in the issuer's state (CA)
What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:11 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

State courts: not covered (one-tap state court links under Look further). 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.

2. Regulatory actions

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: VA (crawled Oct 23, 2026)

What was searched

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. — Searched SEC litigation releases and administrative proceedings (1995→ / 2007→) (30,205 records as of Oct 24, 2026, 2:50 AM ET) — nothing matched NGM BIOPHARMACEUTICALS INC..

State securities regulators: Securities regulators searched (3,318 actions): AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002 — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE DOJ Investor Protection Unit (257 actions, 1987–2026), TX State Securities Board (586 actions, 2006–2026), WA DFI (2,039 actions, 2001–2026) — last crawled Oct 23, 2026, 9:57 PM ET. No machine-readable public listing today for CO, FL, IA, IN, MN, NE, NJ, NY, OH, UT, VA (see docs/state-regulators.md).

3. Bankruptcies

None found in sources searched — federal bankruptcy courts (CourtListener / RECAP), checked Oct 24, 2026

What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:11 AM ET.

State courts: not covered (one-tap state court links under Look further). 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.

4. Differences between public sources

No comparisons published

What is compared

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.

14 differences found between the filings for NGM BIOPHARMACEUTICALS INC — 3 worth asking about (compared 10 filings on Oct 24, 2026)

Worth asking · Dec 22, 2009 – Apr 5, 2010

Amount sold went down between filings — NGM BIOPHARMACEUTICALS INC

The Dec 22, 2009 filing says $26,550,000 sold; the Apr 5, 2010 Form D says $17,029,670 sold — $9,520,330 less.

What this means Amounts sold normally only go up as a raise continues. A drop can mean investors were refunded, a figure was corrected, or an earlier number was wrong. Ask the sponsor which it was.

Form D/A (earlier) · Dec 22, 2009 ↗Form D (later) · Apr 5, 2010 ↗NGM BIOPHARMACEUTICALS INC — PartnerFacts page ↗
Sources
Worth asking · Oct 9, 2014 – Feb 24, 2015

Form D filed 138 days after the first sale — NGM BIOPHARMACEUTICALS INC

The filing says the first sale was Oct 9, 2014. The Form D was filed Feb 24, 2015 — 138 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 123 days past that.

What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.

Form D · Feb 24, 2015 ↗NGM BIOPHARMACEUTICALS INC — PartnerFacts page ↗
Sources
Note · Apr 9, 2013 – May 3, 2013

Form D filed 24 days after the first sale — NGM BIOPHARMACEUTICALS INC

The filing says the first sale was Apr 9, 2013. The Form D was filed May 3, 2013 — 24 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 9 days past that.

What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.

Form D · May 3, 2013 ↗NGM BIOPHARMACEUTICALS INC — PartnerFacts page ↗
Sources
Note · Mar 10, 2010 – Apr 5, 2010

Form D filed 26 days after the first sale — NGM BIOPHARMACEUTICALS INC

The filing says the first sale was Mar 10, 2010. The Form D was filed Apr 5, 2010 — 26 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 11 days past that.

What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.

Form D · Apr 5, 2010 ↗NGM BIOPHARMACEUTICALS INC — PartnerFacts page ↗
Sources
Note · Oct 9, 2014 – Feb 24, 2015

No amendment in the last 12 months on an offering that may still be open — NGM BIOPHARMACEUTICALS INC (latest filing Feb 24, 2015)

The latest filing for this offering is dated Feb 24, 2015 (first sale Oct 9, 2014). It reports $20,710,000 sold of $60,000,000 offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Form D · Feb 24, 2015 ↗NGM BIOPHARMACEUTICALS INC — PartnerFacts page ↗
Sources
Note · Apr 9, 2013 – May 3, 2013

No amendment in the last 12 months on an offering that may still be open — NGM BIOPHARMACEUTICALS INC (latest filing May 3, 2013)

The latest filing for this offering is dated May 3, 2013 (first sale Apr 9, 2013). It reports $13,485,015 sold of $50,000,001 offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Form D · May 3, 2013 ↗NGM BIOPHARMACEUTICALS INC — PartnerFacts page ↗
Sources
Note · Jan 18, 2008 – Nov 7, 2011

No amendment in the last 12 months on an offering that may still be open — NGM BIOPHARMACEUTICALS INC (latest filing Nov 7, 2011)

The latest filing for this offering is dated Nov 7, 2011 (first sale Jan 18, 2008). It reports $55,389,000 sold of $55,664,000 offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Form D/A · Nov 7, 2011 ↗NGM BIOPHARMACEUTICALS INC — PartnerFacts page ↗
Sources
Worth asking · May 3, 2010 – Nov 3, 2011

Luis Bayol is no longer listed on the Nov 3, 2011 amendment — NGM BIOPHARMACEUTICALS INC

Luis Bayol appears on the May 3, 2010 Form D/A (executive officer) but not on the Nov 3, 2011 Form D/A for the same offering.

What this means People leave, and the issuer must list only current officers, directors and promoters. It is still worth asking why this person left and who replaced them.

Form D/A · May 3, 2010 ↗Form D/A · Nov 3, 2011 ↗Luis Bayol — PartnerFacts page ↗NGM BIOPHARMACEUTICALS INC — PartnerFacts page ↗
Sources
Note · Nov 3, 2011 – Nov 7, 2011

David Goeddel's role changed at NGM BIOPHARMACEUTICALS INC: executive officer, director → director

The Nov 3, 2011 filing lists David Goeddel as executive officer, director; the Nov 7, 2011 Form D/A lists director.

What this means Roles on Form D are self-reported by the issuer. A change can mean a real change in who runs the company, or just a different box ticked. Ask who makes decisions today.

Form D/A · Nov 3, 2011 ↗Form D/A · Nov 7, 2011 ↗David Goeddel — PartnerFacts page ↗NGM BIOPHARMACEUTICALS INC — PartnerFacts page ↗
Sources
Note · Apr 5, 2010 – May 3, 2010

Offering amount changed between filings — NGM BIOPHARMACEUTICALS INC

The Apr 5, 2010 filing says $51,139,000 offered; the May 3, 2010 Form D/A says $55,664,000.

What this means The target raise changed. Raising the cap is common when a deal grows; ask whether the extra money has the same terms and use.

Form D (earlier) · Apr 5, 2010 ↗Form D/A (later) · May 3, 2010 ↗NGM BIOPHARMACEUTICALS INC — PartnerFacts page ↗
Sources
Note · Dec 22, 2009 – Apr 5, 2010

Offering amount changed between filings — NGM BIOPHARMACEUTICALS INC

The Dec 22, 2009 filing says $26,550,000 offered; the Apr 5, 2010 Form D says $51,139,000.

What this means The target raise changed. Raising the cap is common when a deal grows; ask whether the extra money has the same terms and use.

Form D/A (earlier) · Dec 22, 2009 ↗Form D (later) · Apr 5, 2010 ↗NGM BIOPHARMACEUTICALS INC — PartnerFacts page ↗
Sources
Note · Nov 13, 2009 – May 3, 2013

ARTHUR LEVINSON is written 2 different ways on the filings

listed as "Arthur D. Levinson" on 7 filings (from Nov 13, 2009), and "Arthur Levinson" on the May 3, 2013 filing.

What this means Same person, written differently — a middle name or suffix left off, or spelled another way. It is normal, but check that the full legal name matches your subscription documents.

Form D/A · Nov 13, 2009 ↗Form D · May 3, 2013 ↗ARTHUR LEVINSON — PartnerFacts page ↗
Sources
Note · Nov 3, 2011 – May 3, 2013

William J. Rieflin is written 2 different ways on the filings

listed as "William Rieflin" on 2 filings (from Nov 3, 2011), and "William J. Rieflin" on 3 filings (from May 3, 2013).

What this means Same person, written differently — a middle name or suffix left off, or spelled another way. It is normal, but check that the full legal name matches your subscription documents.

Form D/A · Nov 3, 2011 ↗Form D · May 3, 2013 ↗William J. Rieflin — PartnerFacts page ↗
Sources
Note · Nov 13, 2009 – Dec 10, 2009

David Goeddel is written 2 different ways on the filings

listed as "David Goeddel" on the Nov 13, 2009 filing, and "David V. Goeddel" on 9 filings (from Dec 10, 2009).

What this means Same person, written differently — a middle name or suffix left off, or spelled another way. It is normal, but check that the full legal name matches your subscription documents.

Form D/A · Nov 13, 2009 ↗Form D/A · Dec 10, 2009 ↗David Goeddel — PartnerFacts page ↗
Sources
What is compared

What is compared: every Form D and D/A we hold for this subject, side by side — filing dates vs. first-sale dates (the 15-day rule), amendment timing on open offerings (the yearly-amendment expectation), amounts sold, investor counts, offering amounts and minimums across amendments, industry and size bands, addresses, how each person's name and role is written, paid sellers' CRD numbers, and (for groups) where the member companies were formed and sit. Everything is as filed by the issuer; the SEC does not check it. Differences are common and usually have ordinary explanations — we show both values, the dates, and the source so you can ask. As of Oct 24, 2026.

5. Money to insiders

None reported on 4 offerings — no sales commissions, finder's fees or proceeds to insiders

Per-offering detail
Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Mar 25, 2015 D
File 021-236650
$0$0$0None listed on this filingEDGAR ↗
Feb 24, 2015 D
File 021-234589
$0$0$0None listed on this filingEDGAR ↗
May 3, 2013 D
File 021-195932
$0$0$0None listed on this filingEDGAR ↗
Nov 7, 2011 D/A
File 021-114428
$0$0$0None listed on this filingEDGAR ↗

Counts come from Form D Items 12–15 on the filings in our index (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.

Property records 0 documents · 0 ownership records · last checked Oct 24, 2026, 7:27 AM ET · NYC and Cook County lookup still to run

0 recorded documents and 0 ownership records matched to NGM BIOPHARMACEUTICALS INC in the sources searched.

Not found in sources searched as of Oct 24, 2026, 7:27 AM 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; Harris County TX (HCAD ownership rolls 2015–2026) — 693,205 records, loaded Oct 24, 2026, 7:27 AM ET; Dallas County TX (DCAD ownership roll 2026) — 173,688 records, loaded Oct 23, 2026, 8:58 PM ET; Hillsborough County FL (FL DOR 2026 ownership roll + Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026), Miami-Dade County FL (FL DOR 2026 ownership roll) — 294,950 records, loaded Oct 23, 2026, 8:58 PM ET. Still to be looked up for this issuer: 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); Harris County TX (ownership only, no deed, mortgage or sale records; HCAD ownership rolls 2015–2026); Dallas County TX (ownership only, no deed, mortgage or sale records; DCAD ownership roll 2026); Hillsborough County FL (FL DOR 2026 ownership roll + Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026), Miami-Dade County FL (FL DOR 2026 ownership roll); Cook County IL (assessor ownership and deed/sale records, looked up per issuer when its page is viewed). Recorder indexes (party names on deeds, mortgages and liens) in TX, AZ, NV, CA and WA counties and outside the Clerk index in FL, mortgages and liens outside NYC and Hillsborough County, lis pendens and foreclosure notices everywhere, Los Angeles County CA, Clark County NV, King County WA (loader ready; first load not finished), Cook County IL bulk pass (not finished; per-issuer lookups only so far), New York City bulk pass (not finished; per-issuer lookups only so far), Maricopa County AZ (loader ready; commercial-purpose statement not yet filed), Salt Lake County UT, and all other counties are not covered — not searched. Last refresh by source: Harris County Appraisal District real_acct.txt Oct 24, 2026, 7:27 AM ET; 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; 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 also looked up per issuer when its page is viewed; the most recent such lookup on this site finished Oct 24, 2026, 3:30 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.

Offerings (SEC Form D)

Each filing as reported by the issuer, newest first. Open a row for the full plain-English detail. D = original notice, D/A = amendment.

Offerings at a glance — 4 offerings, 10 filings (one row per SEC file number)
File no.Original Form DLatest filingAmendmentsOffered (latest)Sold (latest)Industry (latest)
021-236650Mar 25, 2015 EDGAR ↗Mar 25, 2015 D EDGAR ↗0$105,999,996$105,999,996Biotechnology
021-234589Feb 24, 2015 EDGAR ↗Feb 24, 2015 D EDGAR ↗0$60,000,000$20,710,000Biotechnology
021-195932May 3, 2013 EDGAR ↗May 3, 2013 D EDGAR ↗0$50,000,001$13,485,015Biotechnology
021-114428Apr 5, 2010 EDGAR ↗Nov 7, 2011 D/A EDGAR ↗6
latest Nov 7, 2011
$55,664,000$55,389,000Biotechnology

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.

Mar 25, 2015 D Biotechnology — $105,999,996 sold of $105,999,996 · 1 investors EDGAR ↗
FilingForm D filed Mar 25, 2015
SEC file no. 021-236650 · accession 0001426332-15-000002
Raise progress$105,999,996 sold of $105,999,996 offered (100%) · $0 remaining · first sale Mar 20, 2015
Filing timingDate of first sale: Mar 20, 2015 · Form D filed: Mar 25, 2015 (5 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 sale4,236 days (11.6 years)
Annual amendmentsIssuer 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.
Investors1 total · issuer reported no non-accredited investors
Exemption claimedRule 506(b) — no general advertising; up to 35 non-accredited investors allowed
Minimum investment accepted$0 as filed (no minimum reported)
Securities offeredEquity; Other: Sale and issuance of Series E preferred stock and the underlying shares of common stock issuable upon conversion thereof.
Entity detailsOrganized in DELAWARE · 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).
IndustryBiotechnology
Who is paid to sell itNo sales compensation recipients listed on this filing.
Money to insidersSales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0
Signed byBarbara Kosacz, Secretary (Mar 25, 2015)
Market contextMinimum investment: $0 as filed (no minimum reported). Typical range for similar offerings: $10,000–$50,000.
Offering size: $105,999,996. Typical range: $2,000,000–$19,999,994.
Investors: 1. 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.
SourceThis filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET
Feb 24, 2015 D Biotechnology — $20,710,000 sold of $60,000,000 · 20 investors EDGAR ↗
FilingForm D filed Feb 24, 2015
SEC file no. 021-234589 · accession 0001426332-15-000001
Raise progress$20,710,000 sold of $60,000,000 offered (35%) · $39,290,000 remaining · first sale Oct 9, 2014
Filing timingDate of first sale: Oct 9, 2014 · Form D filed: Feb 24, 2015 (138 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 sale4,398 days (12.0 years)
Annual amendmentsIssuer 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.
Investors20 total · issuer reported no non-accredited investors
Exemption claimedRule 506(b) — no general advertising; up to 35 non-accredited investors allowed
Minimum investment accepted$0 as filed (no minimum reported)
Securities offeredEquity; Other: Sale and issuance of Series D preferred stock and the underlying shares of common stock issuable upon conversion thereof.
Entity detailsOrganized in DELAWARE · 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).
IndustryBiotechnology
Who is paid to sell itNo sales compensation recipients listed on this filing.
Money to insidersSales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0
Signed byBarbara Kosacz, Secretary (Feb 23, 2015)
Market contextMinimum investment: $0 as filed (no minimum reported). Typical range for similar offerings: $10,000–$50,000.
Offering size: $60,000,000. Typical range: $2,000,000–$19,999,994.
Investors: 20. 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.
SourceThis filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET
May 3, 2013 D Biotechnology — $13,485,015 sold of $50,000,001 · 14 investors EDGAR ↗
FilingForm D filed May 3, 2013
SEC file no. 021-195932 · accession 0001426332-13-000002
Raise progress$13,485,015 sold of $50,000,001 offered (27%) · $36,514,986 remaining · first sale Apr 9, 2013
Filing timingDate of first sale: Apr 9, 2013 · Form D filed: May 3, 2013 (24 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 sale4,946 days (13.6 years)
Annual amendmentsIssuer 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.
Investors14 total · issuer reported no non-accredited investors
Exemption claimedRule 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 offeredEquity; Other: Sale and issuance of Series C preferred stock and the underlying shares of common stock issuable upon conversion thereof.
Entity detailsOrganized in DELAWARE · 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).
IndustryBiotechnology
Who is paid to sell itNo sales compensation recipients listed on this filing.
Money to insidersSales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0
Signed byBarbara Kosacz, Secretary (May 2, 2013)
Market contextNot 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.
SourceThis filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET
Nov 7, 2011 D/A Biotechnology — $55,389,000 sold of $55,664,000 · 28 investors EDGAR ↗
FilingForm D/A (amendment) filed Nov 7, 2011 · amends 0001532585-11-000002 ↗
SEC file no. 021-114428 · accession 0001426332-11-000002 · filing 7 of 7 in this offering
Raise progress$55,389,000 sold of $55,664,000 offered (100%) · $275,000 remaining · first sale Mar 10, 2010
Filing timingDate of first sale: Mar 10, 2010 · Original Form D filed: Apr 5, 2010 (26 days after first sale) · This amendment (Form D/A) filed: Nov 7, 2011
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 sale6,072 days (16.6 years)
Annual amendmentsIssuer reported the offering may last more than one year. This filing is an amendment dated Nov 7, 2011. Most recent amendment for this offering in our index: this filing, Nov 7, 2011.
Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn.
Investors28 total · issuer reported no non-accredited investors
Exemption claimedRule 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 offeredEquity; Other: Sale and issuance of Series B preferrred stock and the underlying shares of common stock issuable upon conversion thereof.
Entity detailsOrganized in DELAWARE · 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).
IndustryBiotechnology
Who is paid to sell itNo sales compensation recipients listed on this filing.
Money to insidersSales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0
Signed bySuzanne Sawochka Hooper, Secretary (Nov 7, 2011)
Changes vs previous filing
  • total sold: $38,459,340 (Nov 3, 2011) → $55,389,000 (Nov 7, 2011)
  • remaining: $17,204,660 (Nov 3, 2011) → $275,000 (Nov 7, 2011)
Compared with the D/A filed Nov 3, 2011 (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 contextNot 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.
SourceThis filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET
Nov 3, 2011 D/A Biotechnology — $38,459,340 sold of $55,664,000 · 28 investors EDGAR ↗
FilingForm D/A (amendment) filed Nov 3, 2011 · amends 0001426332-10-000002 ↗
SEC file no. 021-114428 · accession 0001532585-11-000002 · filing 6 of 7 in this offering
Raise progress$38,459,340 sold of $55,664,000 offered (69%) · $17,204,660 remaining · first sale Mar 10, 2010
Filing timingDate of first sale: Mar 10, 2010 · Original Form D filed: Apr 5, 2010 (26 days after first sale) · This amendment (Form D/A) filed: Nov 3, 2011
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 sale6,072 days (16.6 years)
Annual amendmentsIssuer reported the offering may last more than one year. This filing is an amendment dated Nov 3, 2011. Most recent amendment for this offering in our index: Nov 7, 2011 (EDGAR ↗).
Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn.
Investors28 total · issuer reported no non-accredited investors
Exemption claimedRule 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 offeredEquity; Other: Sale and issuance of Series B preferrred stock and the underlying shares of common stock issuable upon conversion thereof.
Entity detailsOrganized in DELAWARE · 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).
IndustryBiotechnology
Who is paid to sell itNo sales compensation recipients listed on this filing.
Money to insidersSales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0
Signed bySuzanne Sawochka Hooper, Secretary (Nov 3, 2011)
Changes vs previous filing
  • total sold: $21,529,670 (May 3, 2010) → $38,459,340 (Nov 3, 2011)
  • remaining: $34,134,330 (May 3, 2010) → $17,204,660 (Nov 3, 2011)
  • investors: 20 (May 3, 2010) → 28 (Nov 3, 2011)
  • related persons added (Nov 3, 2011): William Rieflin
  • related persons no longer listed (Nov 3, 2011): Luis Bayol
Compared with the D/A filed May 3, 2010 (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 contextNot 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.
SourceThis filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET
May 3, 2010 D/A Biotechnology — $21,529,670 sold of $55,664,000 · 20 investors EDGAR ↗
FilingForm D/A (amendment) filed May 3, 2010 · amends 0001426332-10-000001 ↗
SEC file no. 021-114428 · accession 0001426332-10-000002 · filing 5 of 7 in this offering
Raise progress$21,529,670 sold of $55,664,000 offered (39%) · $34,134,330 remaining · first sale Mar 10, 2010
Filing timingDate of first sale: Mar 10, 2010 · Original Form D filed: Apr 5, 2010 (26 days after first sale) · This amendment (Form D/A) filed: May 3, 2010
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 sale6,072 days (16.6 years)
Annual amendmentsIssuer reported the offering may last more than one year. This filing is an amendment dated May 3, 2010. Most recent amendment for this offering in our index: Nov 7, 2011 (EDGAR ↗).
Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn.
Investors20 total · issuer reported no non-accredited investors
Exemption claimedRule 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 offeredEquity; Other: Sale and issuance of Series B preferrred stock and the underlying shares of common stock issuable upon conversion thereof.
Entity detailsOrganized in DELAWARE · 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).
IndustryBiotechnology
Who is paid to sell itNo sales compensation recipients listed on this filing.
Money to insidersSales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0
Signed byMichael E. Tenta, Assistant Secretary (Apr 26, 2010)
Changes vs previous filing
  • total sold: $17,029,670 (Apr 5, 2010) → $21,529,670 (May 3, 2010)
  • total offering: $51,139,000 (Apr 5, 2010) → $55,664,000 (May 3, 2010)
  • remaining: $34,109,330 (Apr 5, 2010) → $34,134,330 (May 3, 2010)
  • investors: 19 (Apr 5, 2010) → 20 (May 3, 2010)
Compared with the D filed Apr 5, 2010 (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 contextNot 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.
SourceThis filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET
Apr 5, 2010 D Biotechnology — $17,029,670 sold of $51,139,000 · 19 investors EDGAR ↗
FilingForm D filed Apr 5, 2010
SEC file no. 021-114428 · accession 0001426332-10-000001 · filing 4 of 7 in this offering
Raise progress$17,029,670 sold of $51,139,000 offered (33%) · $34,109,330 remaining · first sale Mar 10, 2010
Filing timingDate of first sale: Mar 10, 2010 · Form D filed: Apr 5, 2010 (26 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 sale6,072 days (16.6 years)
Annual amendmentsIssuer reported the offering may last more than one year. Most recent amendment for this offering in our index: Nov 7, 2011 (EDGAR ↗).
Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn.
Investors19 total · issuer reported no non-accredited investors
Exemption claimedRule 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 offeredEquity; Other: Sale and issuance of Series B preferrred stock and the underlying shares of common stock issuable upon conversion thereof.
Entity detailsOrganized in DELAWARE · 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).
IndustryBiotechnology
Who is paid to sell itNo sales compensation recipients listed on this filing.
Money to insidersSales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0
Signed byMichael E. Tenta, Assistant Secretary (Mar 30, 2010)
Changes vs previous filing
  • total sold: $26,550,000 (Dec 22, 2009) → $17,029,670 (Apr 5, 2010)
  • total offering: $26,550,000 (Dec 22, 2009) → $51,139,000 (Apr 5, 2010)
  • remaining: $0 (Dec 22, 2009) → $34,109,330 (Apr 5, 2010)
  • investors: 18 (Dec 22, 2009) → 19 (Apr 5, 2010)
  • date of first sale: Jan 18, 2008 (Dec 22, 2009) → Mar 10, 2010 (Apr 5, 2010)
  • securities offered: Equity; Other: Sale and issuance of Series A preferrred stock and the underlying shares of common stock issuable upon conversion thereof. (Dec 22, 2009) → Equity; Other: Sale and issuance of Series B preferrred stock and the underlying shares of common stock issuable upon conversion thereof. (Apr 5, 2010)
  • related persons added (Apr 5, 2010): McHenry T. Tichenor, Jr.
Compared with the D/A filed Dec 22, 2009 (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 contextNot 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.
SourceThis filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET
Dec 22, 2009 D/A Biotechnology — $26,550,000 sold of $26,550,000 · 18 investors EDGAR ↗
FilingForm D/A (amendment) filed Dec 22, 2009 · amends 0001426332-09-000003 ↗
SEC file no. 021-114428 · accession 0001426332-09-000004 · filing 3 of 7 in this offering
Raise progress$26,550,000 sold of $26,550,000 offered (100%) · $0 remaining · first sale Jan 18, 2008
Filing timingDate of first sale: Jan 18, 2008 · Original Form D filed: Apr 5, 2010 (808 days after first sale) · This amendment (Form D/A) filed: Dec 22, 2009
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 sale6,854 days (18.8 years)
Annual amendmentsIssuer reported the offering may last more than one year. This filing is an amendment dated Dec 22, 2009. Most recent amendment for this offering in our index: Nov 7, 2011 (EDGAR ↗).
Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn.
Investors18 total · issuer reported no non-accredited investors
Exemption claimedRule 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 offeredEquity; Other: Sale and issuance of Series A preferrred stock and the underlying shares of common stock issuable upon conversion thereof.
Entity detailsOrganized in DELAWARE · 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).
IndustryBiotechnology
Who is paid to sell itNo sales compensation recipients listed on this filing.
Money to insidersSales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0
Signed byMichael E. Tenta, Assistant Secretary (Dec 18, 2009)
Changes vs previous filing
  • total sold: $24,530,431 (Dec 10, 2009) → $26,550,000 (Dec 22, 2009)
  • remaining: $2,019,569 (Dec 10, 2009) → $0 (Dec 22, 2009)
Compared with the D/A filed Dec 10, 2009 (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 contextNot 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.
SourceThis filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET
Dec 10, 2009 D/A Biotechnology — $24,530,431 sold of $26,550,000 · 18 investors EDGAR ↗
FilingForm D/A (amendment) filed Dec 10, 2009 · amends 0001426332-09-000002 ↗
SEC file no. 021-114428 · accession 0001426332-09-000003 · filing 2 of 7 in this offering
Raise progress$24,530,431 sold of $26,550,000 offered (92%) · $2,019,569 remaining · first sale Jan 18, 2008
Filing timingDate of first sale: Jan 18, 2008 · Original Form D filed: Apr 5, 2010 (808 days after first sale) · This amendment (Form D/A) filed: Dec 10, 2009
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 sale6,854 days (18.8 years)
Annual amendmentsIssuer reported the offering may last more than one year. This filing is an amendment dated Dec 10, 2009. Most recent amendment for this offering in our index: Nov 7, 2011 (EDGAR ↗).
Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn.
Investors18 total · issuer reported no non-accredited investors
Exemption claimedRule 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 offeredEquity; Other: Sale and issuance of Series A preferrred stock and the underlying shares of common stock issuable upon conversion thereof.
Entity detailsOrganized in DELAWARE · 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).
IndustryBiotechnology
Who is paid to sell itNo sales compensation recipients listed on this filing.
Money to insidersSales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0
Signed byMichael E. Tenta, Assistant Secretary (Dec 8, 2009)
Changes vs previous filing
  • total sold: $17,616,665 (Nov 13, 2009) → $24,530,431 (Dec 10, 2009)
  • remaining: $8,933,335 (Nov 13, 2009) → $2,019,569 (Dec 10, 2009)
Compared with the D/A filed Nov 13, 2009 (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 contextNot 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.
SourceThis filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET
Nov 13, 2009 D/A Biotechnology — $17,616,665 sold of $26,550,000 · 18 investors EDGAR ↗
FilingForm D/A (amendment) filed Nov 13, 2009 · amends a pre-2008 paper filing (EDGAR accession 9999999997-09-006010, no electronic copy)
SEC file no. 021-114428 · accession 0001426332-09-000002 · filing 1 of 7 in this offering
Raise progress$17,616,665 sold of $26,550,000 offered (66%) · $8,933,335 remaining · first sale Jan 18, 2008
Filing timingDate of first sale: Jan 18, 2008 · Original Form D filed: Apr 5, 2010 (808 days after first sale) · This amendment (Form D/A) filed: Nov 13, 2009
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 sale6,854 days (18.8 years)
Annual amendmentsIssuer reported the offering may last more than one year. This filing is an amendment dated Nov 13, 2009. Most recent amendment for this offering in our index: Nov 7, 2011 (EDGAR ↗).
Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn.
Investors18 total · issuer reported no non-accredited investors
Exemption claimedRule 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 offeredEquity; Other: Sale and issuance of Series A preferrred stock and the underlying shares of common stock issuable upon conversion thereof.
Entity detailsOrganized in DELAWARE · 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).
IndustryBiotechnology
Who is paid to sell itNo sales compensation recipients listed on this filing.
Money to insidersSales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0
Signed byMichael E. Tenta, Assistant Secretary (Nov 12, 2009)
Changes vs previous filingPrevious filing in this offering: a pre-2008 paper filing that is not on EDGAR in electronic form. No comparison is shown.
Market contextNot 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.
SourceThis 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 history — 6 amendments on this page, each compared with the filing before it in the same offering
Amendment filedFile no.Compared withWhat changed (both values as filed)
Nov 7, 2011 EDGAR ↗021-114428Nov 3, 2011 D/Atotal sold: $38,459,340 (Nov 3, 2011) → $55,389,000 (Nov 7, 2011) · remaining: $17,204,660 (Nov 3, 2011) → $275,000 (Nov 7, 2011)
Nov 3, 2011 EDGAR ↗021-114428May 3, 2010 D/Atotal sold: $21,529,670 (May 3, 2010) → $38,459,340 (Nov 3, 2011) · remaining: $34,134,330 (May 3, 2010) → $17,204,660 (Nov 3, 2011) · investors: 20 (May 3, 2010) → 28 (Nov 3, 2011) · and 2 more (open the filing above)
May 3, 2010 EDGAR ↗021-114428Apr 5, 2010 Dtotal sold: $17,029,670 (Apr 5, 2010) → $21,529,670 (May 3, 2010) · total offering: $51,139,000 (Apr 5, 2010) → $55,664,000 (May 3, 2010) · remaining: $34,109,330 (Apr 5, 2010) → $34,134,330 (May 3, 2010) · and 1 more (open the filing above)
Dec 22, 2009 EDGAR ↗021-114428Dec 10, 2009 D/Atotal sold: $24,530,431 (Dec 10, 2009) → $26,550,000 (Dec 22, 2009) · remaining: $2,019,569 (Dec 10, 2009) → $0 (Dec 22, 2009)
Dec 10, 2009 EDGAR ↗021-114428Nov 13, 2009 D/Atotal sold: $17,616,665 (Nov 13, 2009) → $24,530,431 (Dec 10, 2009) · remaining: $8,933,335 (Nov 13, 2009) → $2,019,569 (Dec 10, 2009)
Nov 13, 2009 EDGAR ↗021-114428not in our indexNo comparison (previous filing not in our index)

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 25, 2015. Industry as reported, by offering: All 4 offerings reported: Biotechnology (2009–2015).

Key people 11

Officers, directors and promoters the issuer itself named on its Form D. Tap a name for every other deal they are on.

NameRelationshipAddress stateOn filings (first → last)Also listed on
DG David V. Goeddel
also filed as David Goeddel
Executive Officer, DirectorCANov 13, 2009 → Mar 25, 2015
on 10 of 10 filings
listed on the latest filing
19 other issuers
DS David SchnellDirectorCANov 13, 2009 → Mar 25, 2015
on 10 of 10 filings
listed on the latest filing
8 other issuers
JC Jin-Long ChenExecutive Officer, DirectorCANov 13, 2009 → Mar 25, 2015
on 10 of 10 filings
listed on the latest filing
—
ML Mark LeschlyDirectorCAMay 3, 2013 → Mar 25, 2015
on 3 of 10 filings
listed on the latest filing
10 other issuers
MT McHenry T. Tichenor, Jr.DirectorTXApr 5, 2010 → Mar 25, 2015
on 7 of 10 filings
listed on the latest filing
1 other issuer
PS Peter SvennilsonDirectorFLNov 13, 2009 → Mar 25, 2015
on 10 of 10 filings
listed on the latest filing
20 other issuers
WR William J. Rieflin
also filed as William Rieflin
Executive Officer, DirectorCANov 3, 2011 → Mar 25, 2015
on 5 of 10 filings
listed on the latest filing
6 other issuers
AL Arthur Levinson
also filed as Arthur D. Levinson
DirectorCANov 13, 2009 → May 3, 2013
on 8 of 10 filings
not listed on the latest filing (Mar 25, 2015)
1 other issuer
HK Helen KimExecutive OfficerCANov 13, 2009 → Nov 7, 2011
on 7 of 10 filings
not listed on the latest filing (Mar 25, 2015)
12 other issuers
ML Marc LeschlyDirectorCANov 13, 2009 → Nov 7, 2011
on 7 of 10 filings
not listed on the latest filing (Mar 25, 2015)
—
LB Luis BayolExecutive OfficerCANov 13, 2009 → May 3, 2010
on 5 of 10 filings
not listed on the latest filing (Mar 25, 2015)
2 other issuers

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 (David D. Schnell; David V. Schnell; Mark V. Leschly; Peter D. Svennilson; Peter V. Svennilson; William V. Rieflin; Arthur V. Levinson; Helen V. Kim; Marc V. Leschly) — the filing on EDGAR is the source.

Connections

Other issuers listing the same people (showing 40 of 79):

Shared address: this business address appears on no other issuer's filings in our index. As of Oct 23, 2026, 5:45 PM ET.

Other offering types (Regulation A and Regulation Crowdfunding)

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 (51,358 records as of Oct 23, 2026, 8:41 PM ET) — nothing matched this name.

Adviser registration (Form ADV)

Searched SEC Form ADV bulk data (registered + exempt reporting advisers) (24,962 records as of Oct 2, 2026, 8:00 AM ET) — nothing matched NGM BIOPHARMACEUTICALS INC.

Meta advertising

No Meta Pixel ids or Facebook / Instagram page links on file for NGM BIOPHARMACEUTICALS INC as of Oct 24, 2026 — the sponsor website is read for them once it is on file (runs automatically). Meta Ad Library: not searched by PartnerFacts (no API access); a one-tap Ad Library search is under Look further.

Public profiles

Public profiles official links and public statements, each with its source and date

No website or social profile named in NGM BIOPHARMACEUTICALS INC's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #304,921 of 374,652 in line (1,104 issuers searched so far).

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 comes from the issuer's own filings (Form C issuer website; EDGAR company profile), an approved profile claim, Form ADV Item 1.I of its matched adviser, or a web search for the issuer name confirmed on the site's own homepage. We never collect personal or family accounts.

Entity standing: not checked (no official programmatic source for CA yet).

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Corrections log

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