Sponsor Check › Issuer
Corporation · organized in DELAWARE · formed more than five years before filing · Tustin, CA · SEC CIK 1316760
Data last updated: Oct 23, 2026, 5:45 PM ET · Latest filing by this issuer: Jan 5, 2016 · 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.
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 only from an approved profile claim or the Form ADV of its matched adviser) · SEC Form D · SEC Form ADV (IAPD) · Internet Archive · No website is on file for this issuer yet.
0 of 5 offerings report sales commissions; 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 ↗ | Jan 5, 2016 D/A File 021-252272 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Mar 13, 2012 D/A File 021-170722 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jul 13, 2011 D File 021-162824 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Aug 25, 2010 D/A File 021-73753 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jun 2, 2010 D File 021-142847 | $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 UPTAKE MEDICAL 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: Oct 23, 2026, 11:30 PM ET; last subject check: Oct 24, 2026, 12:42 AM ET. Parties are named as the recorder's index names them (role suffixes as recorded); no address 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) |
|---|---|---|---|---|---|---|
| 021-252272 | Dec 2, 2015 EDGAR ↗ | Jan 5, 2016 D/A EDGAR ↗ | 1 latest Jan 5, 2016 | $3,500,000 | $2,396,389 | Biotechnology |
| 021-170722 | Dec 27, 2011 EDGAR ↗ | Mar 13, 2012 D/A EDGAR ↗ | 1 latest Mar 13, 2012 | $41,665,443 | $40,259,226 | Biotechnology |
| 021-162824 | Jul 13, 2011 EDGAR ↗ | Jul 13, 2011 D EDGAR ↗ | 0 | $4,920,616 | $4,920,616 | Biotechnology |
| 021-142847 | Jun 2, 2010 EDGAR ↗ | Jun 2, 2010 D EDGAR ↗ | 0 | $600,600 | $600,600 | Biotechnology |
| 021-73753 | Sep 11, 2009 EDGAR ↗ | Aug 25, 2010 D/A EDGAR ↗ | 3 latest Aug 25, 2010 | $16,892,420 | $16,892,420 | 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/A (amendment) filed Jan 5, 2016 · amends 0001316760-15-000001 ↗ SEC file no. 021-252272 · accession 0001316760-16-000002 · filing 2 of 2 in this offering |
|---|---|
| Raise progress | $2,396,389 sold of $3,500,000 offered (68%) · $1,103,611 remaining · first sale Nov 24, 2015 |
| Filing timing | Date of first sale: Nov 24, 2015 · Original Form D filed: Dec 2, 2015 (8 days after first sale) · This amendment (Form D/A) filed: Jan 5, 2016 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 | 3,987 days (10.9 years) |
| Annual amendments | Issuer reported the offering is not expected to last more than one year. This filing is an amendment dated Jan 5, 2016. Most recent amendment for this offering in our index: this filing, Jan 5, 2016. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 25 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 | Debt |
| Entity details | Organized 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). |
| 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 | Krista Mann, Chief Financial Officer (Dec 30, 2015) |
| Changes vs previous filing |
Compared with the D filed Dec 2, 2015 (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 | Minimum investment: $0 as filed (no minimum reported). Typical range for similar offerings: $10,000–$50,000. Offering size: $3,500,000. Typical range: $2,000,000–$19,999,994. Investors: 25. 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 Dec 2, 2015 SEC file no. 021-252272 · accession 0001316760-15-000001 · filing 1 of 2 in this offering |
|---|---|
| Raise progress | $1,928,783 sold of $3,500,000 offered (55%) · $1,571,217 remaining · first sale Nov 24, 2015 |
| Filing timing | Date of first sale: Nov 24, 2015 · Form D filed: Dec 2, 2015 (8 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 | 3,987 days (10.9 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: Jan 5, 2016 (EDGAR ↗). Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 9 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 | Debt |
| Entity details | Organized 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). |
| 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 | Krista Mann, Chief Financial Officer (Nov 30, 2015) |
| Market context | Minimum investment: $0 as filed (no minimum reported). Typical range for similar offerings: $10,000–$50,000. Offering size: $3,500,000. Typical range: $2,000,000–$19,999,994. Investors: 9. 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 Mar 13, 2012 · amends 0001316760-11-000002 ↗ SEC file no. 021-170722 · accession 0001316760-12-000001 · filing 2 of 2 in this offering |
|---|---|
| Raise progress | $40,259,226 sold of $41,665,443 offered (97%) · $1,406,217 remaining · first sale Dec 15, 2011 |
| Filing timing | Date of first sale: Dec 15, 2011 · Original Form D filed: Dec 27, 2011 (12 days after first sale) · This amendment (Form D/A) filed: Mar 13, 2012 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 | 5,427 days (14.9 years) |
| Annual amendments | Issuer reported the offering is not expected to last more than one year. This filing is an amendment dated Mar 13, 2012. Most recent amendment for this offering in our index: this filing, Mar 13, 2012. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 38 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 |
| Entity details | Organized 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). |
| 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 | Krista Mann, VP Finance (Mar 9, 2012) |
| Changes vs previous filing |
Compared with the D filed Dec 27, 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 context | Minimum investment: $0 as filed (no minimum reported). Typical range for similar offerings: $10,000–$50,000. Offering size: $41,665,443. Typical range: $2,000,000–$19,999,994. Investors: 38. 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 Dec 27, 2011 SEC file no. 021-170722 · accession 0001316760-11-000002 · filing 1 of 2 in this offering |
|---|---|
| Raise progress | $35,101,217 sold of $41,665,443 offered (84%) · $6,564,226 remaining · first sale Dec 15, 2011 |
| Filing timing | Date of first sale: Dec 15, 2011 · Form D filed: Dec 27, 2011 (12 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 | 5,427 days (14.9 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: Mar 13, 2012 (EDGAR ↗). Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 37 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 |
| Entity details | Organized 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). |
| 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 | Krista Mann, VP Finance (Dec 27, 2011) |
| Market context | Minimum investment: $0 as filed (no minimum reported). Typical range for similar offerings: $10,000–$50,000. Offering size: $41,665,443. Typical range: $2,000,000–$19,999,994. Investors: 37. 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 Jul 13, 2011 SEC file no. 021-162824 · accession 0001316760-11-000001 |
|---|---|
| Raise progress | $4,920,616 sold of $4,920,616 offered (100%) · $0 remaining · first sale Jun 30, 2011 |
| Filing timing | Date of first sale: Jun 30, 2011 · Form D filed: Jul 13, 2011 (13 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 | 5,595 days (15.3 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 | 35 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 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). |
| 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 | J. C. MacRae, Chief Financial Officer (Jul 11, 2011) |
| Market context | Minimum investment: $0 as filed (no minimum reported). Typical range for similar offerings: $10,000–$50,000. Offering size: $4,920,616. Typical range: $2,000,000–$19,999,994. Investors: 35. 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 25, 2010 · amends 0001316760-09-000005 ↗ SEC file no. 021-73753 · accession 0001316760-10-000002 · filing 4 of 4 in this offering |
|---|---|
| Raise progress | $16,892,420 sold of $16,892,420 offered (100%) · $0 remaining · first sale Aug 31, 2009 |
| Filing timing | Date of first sale: Aug 31, 2009 · Original Form D filed: Sep 11, 2009 (11 days after first sale) · This amendment (Form D/A) filed: Aug 25, 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 sale | 6,263 days (17.2 years) |
| Annual amendments | Issuer reported the offering is not expected to last more than one year. This filing is an amendment dated Aug 25, 2010. Most recent amendment for this offering in our index: this filing, Aug 25, 2010. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 38 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; Security to be acquired upon exercise |
| Entity details | Organized 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). |
| 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 | Krista Mann, Chief Financial Officer (Jul 29, 2010) |
| Changes vs previous filing |
Compared with the D/A filed Oct 8, 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 context | Minimum investment: $0 as filed (no minimum reported). Typical range for similar offerings: $10,000–$50,000. Offering size: $16,892,420. Typical range: $2,000,000–$19,999,994. Investors: 38. 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 Jun 2, 2010 SEC file no. 021-142847 · accession 0001316760-10-000001 |
|---|---|
| Raise progress | $600,600 sold of $600,600 offered (100%) · $0 remaining · first sale May 28, 2010 |
| Filing timing | Date of first sale: May 28, 2010 · Form D filed: Jun 2, 2010 (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 sale | 5,993 days (16.4 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 | 6 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 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). |
| 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 | Krista Mann, Chief Financial Officer (Jun 1, 2010) |
| Market context | Minimum investment: $0 as filed (no minimum reported). Typical range for similar offerings: $10,000–$50,000. Offering size: $600,600. Typical range: $2,000,000–$19,999,994. Investors: 6. 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 Oct 8, 2009 · amends 0001316760-09-000004 ↗ SEC file no. 021-73753 · accession 0001316760-09-000005 · filing 3 of 4 in this offering |
|---|---|
| Raise progress | $4,582,208 sold of $13,363,514 offered (34%) · $8,781,306 remaining · first sale Aug 31, 2009 |
| Filing timing | Date of first sale: Aug 31, 2009 · Original Form D filed: Sep 11, 2009 (11 days after first sale) · This amendment (Form D/A) filed: Oct 8, 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 sale | 6,263 days (17.2 years) |
| Annual amendments | Issuer reported the offering is not expected to last more than one year. This filing is an amendment dated Oct 8, 2009. Most recent amendment for this offering in our index: Aug 25, 2010 (EDGAR ↗). Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 33 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; Security to be acquired upon exercise |
| Entity details | Organized 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). |
| 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 | Krista Mann, Chief Financial Officer (Oct 7, 2009) |
| Changes vs previous filing |
Compared with the D filed Sep 11, 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 context | Minimum investment: $0 as filed (no minimum reported). Typical range for similar offerings: $10,000–$50,000. Offering size: $13,363,514. Typical range: $2,000,000–$19,999,994. Investors: 33. 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 Sep 11, 2009 SEC file no. 021-73753 · accession 0001316760-09-000004 · filing 2 of 4 in this offering |
|---|---|
| Raise progress | $3,359,505 sold of $13,363,515 offered (25%) · $10,004,010 remaining · first sale Aug 31, 2009 |
| Filing timing | Date of first sale: Aug 31, 2009 · Form D filed: Sep 11, 2009 (11 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 | 6,263 days (17.2 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 25, 2010 (EDGAR ↗). Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 6 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; Security to be acquired upon exercise |
| Entity details | Organized 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). |
| 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 | Krista Mann, Chief Financial Officer (Sep 10, 2009) |
| Changes vs previous filing |
Compared with the D/A filed May 20, 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 context | Minimum investment: $0 as filed (no minimum reported). Typical range for similar offerings: $10,000–$50,000. Offering size: $13,363,515. Typical range: $2,000,000–$19,999,994. Investors: 6. 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 May 20, 2009 · amends a pre-2008 paper filing (EDGAR accession 9999999997-09-003790, no electronic copy) SEC file no. 021-73753 · accession 0001316760-09-000003 · filing 1 of 4 in this offering |
|---|---|
| Raise progress | $3,136,333 sold of $3,136,333 offered (100%) · $0 remaining · first sale Dec 22, 2008 |
| Filing timing | Date of first sale: Dec 22, 2008 · Original Form D filed: Sep 11, 2009 (263 days after first sale) · This amendment (Form D/A) filed: May 20, 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 sale | 6,515 days (17.8 years) |
| Annual amendments | Issuer reported the offering is not expected to last more than one year. This filing is an amendment dated May 20, 2009. Most recent amendment for this offering in our index: Aug 25, 2010 (EDGAR ↗). Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 31 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 |
| Entity details | Organized 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). |
| 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 | Krista Mann, Chief Financial Officer (May 18, 2009) |
| Changes vs previous filing | Previous filing in this offering: a pre-2008 paper filing that is not on EDGAR in electronic form. No comparison is shown. |
| Market context | Minimum investment: $0 as filed (no minimum reported). Typical range for similar offerings: $10,000–$50,000. Offering size: $3,136,333. Typical range: $2,000,000–$19,999,994. Investors: 31. 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 |
| Amendment filed | File no. | Compared with | What changed (both values as filed) |
|---|---|---|---|
| Jan 5, 2016 EDGAR ↗ | 021-252272 | Dec 2, 2015 D | total sold: $1,928,783 (Dec 2, 2015) → $2,396,389 (Jan 5, 2016) · remaining: $1,571,217 (Dec 2, 2015) → $1,103,611 (Jan 5, 2016) · investors: 9 (Dec 2, 2015) → 25 (Jan 5, 2016) · and 2 more (open the filing above) |
| Mar 13, 2012 EDGAR ↗ | 021-170722 | Dec 27, 2011 D | total sold: $35,101,217 (Dec 27, 2011) → $40,259,226 (Mar 13, 2012) · remaining: $6,564,226 (Dec 27, 2011) → $1,406,217 (Mar 13, 2012) · investors: 37 (Dec 27, 2011) → 38 (Mar 13, 2012) · and 1 more (open the filing above) |
| Aug 25, 2010 EDGAR ↗ | 021-73753 | Oct 8, 2009 D/A | total sold: $4,582,208 (Oct 8, 2009) → $16,892,420 (Aug 25, 2010) · total offering: $13,363,514 (Oct 8, 2009) → $16,892,420 (Aug 25, 2010) · remaining: $8,781,306 (Oct 8, 2009) → $0 (Aug 25, 2010) · and 1 more (open the filing above) |
| Oct 8, 2009 EDGAR ↗ | 021-73753 | Sep 11, 2009 D | total sold: $3,359,505 (Sep 11, 2009) → $4,582,208 (Oct 8, 2009) · total offering: $13,363,515 (Sep 11, 2009) → $13,363,514 (Oct 8, 2009) · remaining: $10,004,010 (Sep 11, 2009) → $8,781,306 (Oct 8, 2009) · and 2 more (open the filing above) |
| May 20, 2009 EDGAR ↗ | 021-73753 | not in our index | No 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 Jan 5, 2016. Industry as reported, by offering: All 5 offerings reported: Biotechnology (2009–2015).
| Name | Relationship | Address state | On filings (first → last) | Also listed on |
|---|---|---|---|---|
| Carl Simpson | Director | WA | May 20, 2009 → Jan 5, 2016 on 9 of 10 filings listed on the latest filing | 4 other issuers |
| David Singer | Director | CA | Dec 2, 2015 → Jan 5, 2016 on 2 of 10 filings listed on the latest filing | 2 other issuers |
| Geoff Brooke | Director | WA | May 20, 2009 → Jan 5, 2016 on 10 of 10 filings listed on the latest filing | 1 other issuer |
| Krista Mann | Executive Officer | WA | May 20, 2009 → Jan 5, 2016 on 9 of 10 filings listed on the latest filing | — |
| R. King Nelson | Executive Officer, Director | WA | May 20, 2009 → Jan 5, 2016 on 10 of 10 filings listed on the latest filing | 1 other issuer |
| Robert Kuhling also filed as Jr. | Director | CA | May 20, 2009 → Jan 5, 2016 on 10 of 10 filings listed on the latest filing | 5 other issuers |
| Sami Sindi | Director | CA | Dec 27, 2011 → Jan 5, 2016 on 4 of 10 filings listed on the latest filing | — |
| Carl Simson | Director | CA | Dec 2, 2015 on 1 of 10 filings not listed on the latest filing (Jan 5, 2016) | — |
| Andrew Schiff | Director | CA | Mar 13, 2012 on 1 of 10 filings not listed on the latest filing (Jan 5, 2016) | 1 other issuer |
| Eric Kim | Director | CA | Oct 8, 2009 → Mar 13, 2012 on 6 of 10 filings not listed on the latest filing (Jan 5, 2016) | 36 other issuers |
| Robert L. Barry also filed as Robert Barry | Executive Officer, Director, Promoter | WA | May 20, 2009 → Mar 13, 2012 on 8 of 10 filings not listed on the latest filing (Jan 5, 2016) | — |
| Scott Huennekens | Director | CA | Jul 13, 2011 → Mar 13, 2012 on 3 of 10 filings not listed on the latest filing (Jan 5, 2016) | 3 other issuers |
| J. C. MacRae | Executive Officer | CA | Jul 13, 2011 on 1 of 10 filings not listed on the latest filing (Jan 5, 2016) | 2 other issuers |
| Michael Hoey | Director | WA | May 20, 2009 → Jul 13, 2011 on 6 of 10 filings not listed on the latest filing (Jan 5, 2016) | 1 other issuer |
| John Brooks | Director | WA | May 20, 2009 on 1 of 10 filings not listed on the latest filing (Jan 5, 2016) | — |
Executive officers, directors and promoters as self-reported by the issuer, one row per person. Spellings with the same first and last name and 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 (Carl King Simpson; David King Singer; Geoff King Brooke; Krista L. Mann; Krista King Mann; Robert L. Kuhling; Jr.; Robert King Kuhling; Sami King Sindi; Carl King Simson; Eric L. Kim) — the filing on EDGAR is the source.
Other issuers listing the same people (showing 40 of 56):
Shared address: this business address appears on no other issuer's filings in our index. 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: sponsor website, Internet Archive, press index (GDELT), Form ADV. A sponsor's website is known only from an approved profile claim or the Form ADV of its matched adviser (Item 1.I); we never look it up elsewhere and never collect personal or family accounts.
Entity standing: not checked (no official programmatic source for CA yet).
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