Sponsor Check › Issuer
Corporation · organized in COLORADO · formed more than five years before filing · FORT COLLINS, CO · SEC CIK 1389870 · formerly Across America Financial Services, Inc.
Data last updated: Oct 23, 2026, 5:45 PM ET · Latest filing by this issuer: Mar 16, 2015 · Courts (RECAP) last checked: Oct 24, 2026, 2:11 AM 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; recall-first rule 10-24) — federal district + bankruptcy courts; live RECAP re-check pending. State courts: not yet searched. PACER: not searched. · Last checked Oct 24, 2026, 2:11 AM 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.
No SEC search has run yet for this issuer.
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 24, 2026, 2:11 AM ET.
State courts: not yet searched. No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.
No public statement by this issuer has been collected yet, so there is nothing to compare. Sources compared: the sponsor's own website (known from the issuer's own filings — Form C issuer website, EDGAR company profile — an approved profile claim or Form ADV Item 1.I of its matched adviser) · SEC Form D · SEC Form ADV (IAPD) · Internet Archive · No website is on file for this issuer yet.
5 of 5 offerings report sales commissions totalling $1,503,852; 0 report finder's fees; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)
| Source | Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it |
|---|---|---|---|---|---|
| EDGAR ↗ | Mar 16, 2015 D File 021-235944 | $100,000 (est.) | $0 | $0 | Spencer Edwards Investments BrokerCheck CRD 22067 ↗ |
| EDGAR ↗ | Jun 11, 2013 D File 021-197765 | $480,000 (est.) | $0 | $0 | GVC Capital LLC BrokerCheck CRD 38923 ↗ |
| EDGAR ↗ | Jun 1, 2012 D File 021-179132 | $225,000 (est.) | $0 | $0 | GVC Capital LLC BrokerCheck CRD 38923 ↗ |
| EDGAR ↗ | Jun 14, 2011 D File 021-161210 | $540,000 (est.) | $0 | $0 | GVC Capital LLC BrokerCheck CRD 38923 ↗ |
| EDGAR ↗ | Feb 10, 2010 D/A File 021-130002 | $158,852 (est.) | $0 | $0 | Bathgate Capital Partners, LLC BrokerCheck CRD 38923 ↗ |
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 OMNI BIO PHARMACEUTICAL, INC. in the sources searched.
Not found in sources searched as of Oct 23, 2026, 8:59 PM ET: Hillsborough County FL Clerk of Court Official Records daily index (publicrec.hillsclerk.com D/P/M files), 2 daily files (Oct 14, 2026 to Oct 15, 2026) — loaded Oct 23, 2026, 8:59 PM ET; Florida DOR NAL roll (Hillsborough 39) roll year 2026 — loaded Oct 23, 2026, 8:54 PM ET; Florida DOR NAL roll (Dade 23) roll year 2026 — loaded Oct 23, 2026, 8:58 PM ET; Harris County Appraisal District real_acct.txt roll year 2026 — loaded Oct 23, 2026, 8:58 PM ET; Dallas Central Appraisal District ACCOUNT_INFO.CSV roll year 2026 — loaded Oct 23, 2026, 8:58 PM ET. Not yet searched for this issuer (queued): NYC ACRIS via NYC Open Data (Real Property Parties 636b-3b5g, Master bnx9-e6tj, Legals 8h5j-fqxa, Document Control Codes 7isb-wh4c) · NYC PLUTO ownership via NYC Open Data (64uk-42ks) · Cook County IL Assessor via Cook County Open Data (Parcel Sales wvhk-k5uv; Parcel Addresses 3723-97qp). Records in other counties, and recorder indexes we do not yet cover, were not searched.
Property records coverage: New York City (ACRIS recorded documents and PLUTO ownership, looked up per issuer when its page is viewed; re-checked when the page is viewed again more than 30 days after the last check); Hillsborough County FL (recorded documents from Oct 14, 2026 forward; ownership from FL DOR roll 2026); Cook County IL (assessor ownership and deed/sale records, looked up per issuer when its page is viewed); Harris County TX and Dallas County TX (assessor ownership rolls only, 2026 roll; no deed, mortgage or sale records); Miami-Dade County FL (ownership from FL DOR roll only; Clerk recorded documents not yet searched). Recorder indexes for TX, AZ, IL and WA counties, mortgages and liens outside NYC and FL, lis pendens and foreclosure notices everywhere, Miami-Dade County FL recorded documents, Maricopa County AZ, King County WA, Salt Lake County UT, and all other counties are not yet searched. Last refresh by source: Hillsborough County FL Clerk daily index Oct 23, 2026, 8:59 PM ET; Dallas Central Appraisal District ACCOUNT_INFO.CSV Oct 23, 2026, 8:58 PM ET; Harris County Appraisal District real_acct.txt Oct 23, 2026, 8:58 PM ET; Florida DOR NAL roll (Dade 23) Oct 23, 2026, 8:58 PM ET; Florida DOR NAL roll (Hillsborough 39) Oct 23, 2026, 8:54 PM ET. NYC and Cook County are looked up per issuer when its page is viewed; the most recent such lookup on this site finished Oct 24, 2026, 2:19 AM ET. Parties are named as the recorder's index names them (role suffixes as recorded); no address, account number or trust date is shown for an individual, and individual owners of record (home ownership) are not matched or shown. Items still in human review are not shown.
Each filing as reported by the issuer, newest first. Open a row for the full plain-English detail. D = original notice, D/A = amendment.
| File no. | Original Form D | Latest filing | Amendments | Offered (latest) | Sold (latest) | Industry (latest) |
|---|---|---|---|---|---|---|
| 021-235944 | Mar 16, 2015 EDGAR ↗ | Mar 16, 2015 D EDGAR ↗ | 0 | Indefinite | $0 | Biotechnology |
| 021-197765 | Jun 11, 2013 EDGAR ↗ | Jun 11, 2013 D EDGAR ↗ | 0 | $6,000,000 | $1,540,000 | Pharmaceuticals |
| 021-179132 | Jun 1, 2012 EDGAR ↗ | Jun 1, 2012 D EDGAR ↗ | 0 | $2,000,000 | $687,500 | Pharmaceuticals |
| 021-161210 | Jun 14, 2011 EDGAR ↗ | Jun 14, 2011 D EDGAR ↗ | 0 | $6,000,000 | $3,079,875 | Pharmaceuticals |
| 021-130002 | Apr 7, 2009 EDGAR ↗ | Feb 10, 2010 D/A EDGAR ↗ | 2 latest Feb 10, 2010 | $2,500,000 | $1,985,650 | Pharmaceuticals |
Offerings are grouped by SEC file number; rows without a file number (not yet retrieved from EDGAR) are shown as their own offering until the link is fetched.
| Filing | Form D filed Mar 16, 2015 SEC file no. 021-235944 · accession 0001437749-15-005088 |
|---|---|
| Raise progress | $0 sold of Indefinite offered · Indefinite remaining Issuer's note: Offering is for up to $1 million |
| Filing timing | Date of first sale: Yet to occur · Form D filed: Mar 16, 2015 Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
| 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 | 0 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 | $50,000 |
| Securities offered | Debt; Option, warrant or other right to acquire |
| Entity details | Organized in COLORADO · formed more than five years before filing · revenue range: No Revenues (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 | Spencer Edwards Investments — FINRA BrokerCheck CRD 22067 ↗ Solicits in: CO, WA, WY |
| Money to insiders | Sales commissions: $100,000 (est.) · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 Issuer's note: Assumes 10% fee on max. $1 million to be raised & warrants. |
| Signed by | John F. Riccardi, Chief Financial Officer (Mar 12, 2015) |
| Market context | Minimum investment: $50,000. Typical range for similar offerings: $10,000–$50,000. Offering size: Indefinite. Typical range: $2,000,000–$19,999,994. Investors: 0. 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 11, 2013 SEC file no. 021-197765 · accession 0001570036-13-000001 |
|---|---|
| Raise progress | $1,540,000 sold of $6,000,000 offered (26%) · $4,460,000 remaining · first sale May 31, 2013 Issuer's note: The total offering amount above includes a $1 million over-allotment option to the placement agent to cover any over-allotments. |
| Filing timing | Date of first sale: May 31, 2013 · Form D filed: Jun 11, 2013 (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 | 4,894 days (13.4 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 | 12 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 | $50,000 |
| Securities offered | Equity |
| Entity details | Organized in COLORADO · formed more than five years before filing · revenue range: No Revenues (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 | Pharmaceuticals |
| Who is paid to sell it | GVC Capital LLC — FINRA BrokerCheck CRD 38923 ↗ Solicits in: AZ, CA, CO, ID, MT, OR, TX, UT, WA |
| Money to insiders | Sales commissions: $480,000 (est.) · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 Issuer's note: Amount above assumes the sale of the maximum offering. The placement agent, GVC Capital LLC, will also receive warrants to purchase shares of the issuer's common stock for a nominal charge. |
| Signed by | Robert C. Ogden, Chief Financial Officer (Jun 10, 2013) |
| Market context | Not computed — the exemption as filed is Rule 506 before the Sept 2013 split into 506(b) and 506(c) (see Exemption claimed); ranges are computed only for offerings claiming Rule 506(b) or 506(c), compared with the last 5 years of filings. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET |
| Filing | Form D filed Jun 1, 2012 SEC file no. 021-179132 · accession 0001389870-12-000001 |
|---|---|
| Raise progress | $687,500 sold of $2,000,000 offered (34%) · $1,312,500 remaining · first sale May 18, 2012 |
| Filing timing | Date of first sale: May 18, 2012 · Form D filed: Jun 1, 2012 (14 days after first sale) Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
| Time since first sale | 5,272 days (14.4 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 | 5 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 | $50,000 |
| Securities offered | Debt; Option, warrant or other right to acquire |
| Entity details | Organized in COLORADO · formed more than five years before filing · revenue range: No Revenues (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 | Pharmaceuticals |
| Who is paid to sell it | GVC Capital LLC — FINRA BrokerCheck CRD 38923 ↗ Solicits in: CO, ID, MT, NV, OR, WA |
| Money to insiders | Sales commissions: $225,000 (est.) · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 Issuer's note: Amount above assumes the sale of the maximum offering. The placement agent, GVC Capital LLC, will also recieve warrants to puchase shares of the issuer's common stock for a nominal charge. |
| Signed by | Robert C. Ogden, Chief Financial Officer (Jun 1, 2012) |
| Market context | Not computed — the exemption as filed is Rule 506 before the Sept 2013 split into 506(b) and 506(c) (see Exemption claimed); ranges are computed only for offerings claiming Rule 506(b) or 506(c), compared with the last 5 years of filings. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET |
| Filing | Form D filed Jun 14, 2011 SEC file no. 021-161210 · accession 0001389870-11-000001 |
|---|---|
| Raise progress | $3,079,875 sold of $6,000,000 offered (51%) · $2,920,125 remaining · first sale Jun 10, 2011 |
| Filing timing | Date of first sale: Jun 10, 2011 · Form D filed: Jun 14, 2011 (4 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 | 5,615 days (15.4 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 | 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 | $5,000 |
| Securities offered | Equity; Option, warrant or other right to acquire |
| Entity details | Organized in COLORADO · formed more than five years before filing · revenue range: No Revenues (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 | Pharmaceuticals |
| Who is paid to sell it | GVC Capital LLC — FINRA BrokerCheck CRD 38923 ↗ Solicits in: CO, FL, MI, MT, NE, OK, TX, WA, WV |
| Money to insiders | Sales commissions: $540,000 (est.) · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 Issuer's note: The placement agent, GVC Capital LLC, will also recieve warrants to puchase shares of the issuer's common stock for a nominal charge. |
| Signed by | Robert C. Ogden, Chief Financial Officer (Jun 13, 2011) |
| Market context | Not computed — the exemption as filed is Rule 506 before the Sept 2013 split into 506(b) and 506(c) (see Exemption claimed); ranges are computed only for offerings claiming Rule 506(b) or 506(c), compared with the last 5 years of filings. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET |
| Filing | Form D/A (amendment) filed Feb 10, 2010 · amends 0001389870-10-000001 ↗ SEC file no. 021-130002 · accession 0001389870-10-000002 · filing 5 of 5 in this offering |
|---|---|
| Raise progress | $1,985,650 sold of $2,500,000 offered (79%) · $514,350 remaining · first sale Dec 29, 2009 |
| Filing timing | Date of first sale: Dec 29, 2009 · Original Form D filed: Apr 7, 2009 (266 days before first sale) · This amendment (Form D/A) filed: Feb 10, 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 | 6,143 days (16.8 years) |
| Annual amendments | Issuer reported the offering is not expected to last more than one year. This filing is an amendment dated Feb 10, 2010. Most recent amendment for this offering in our index: this filing, Feb 10, 2010. 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 | $10,000 |
| Securities offered | Equity; Option, warrant or other right to acquire |
| Entity details | Organized in COLORADO · formed more than five years before filing · revenue range: No Revenues (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 | Pharmaceuticals |
| Who is paid to sell it | Bathgate Capital Partners, LLC — FINRA BrokerCheck CRD 38923 ↗ |
| Money to insiders | Sales commissions: $158,852 (est.) · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 Issuer's note: The placement agent, Bathgate Capital Partners, LLC, will also receive warrants to purchase shares of the issuer's common stock for a nominal charge. |
| Signed by | Robert C. Ogden, Chief Financial Officer (Feb 10, 2010) |
| Changes vs previous filing |
Compared with the D filed Jan 11, 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 context | Not computed — the exemption as filed is Rule 506 before the Sept 2013 split into 506(b) and 506(c) (see Exemption claimed); ranges are computed only for offerings claiming Rule 506(b) or 506(c), compared with the last 5 years of filings. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET |
| Filing | Form D filed Jan 11, 2010 SEC file no. 021-130002 · accession 0001389870-10-000001 · filing 4 of 5 in this offering |
|---|---|
| Raise progress | $390,000 sold of $2,500,000 offered (16%) · $2,110,000 remaining · first sale Dec 29, 2009 |
| Filing timing | Date of first sale: Dec 29, 2009 · Form D filed: Jan 11, 2010 (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 | 6,143 days (16.8 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: Feb 10, 2010 (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 (filed before Sept 2013, when 506 was split into 506(b) and 506(c)) |
| Minimum investment accepted | $10,000 |
| Securities offered | Equity; Option, warrant or other right to acquire |
| Entity details | Organized in COLORADO · formed more than five years before filing · revenue range: No Revenues (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 | Pharmaceuticals |
| Who is paid to sell it | Bathgate Capital Partners, LLC — FINRA BrokerCheck CRD 38923 ↗ |
| Money to insiders | Sales commissions: $200,000 (est.) · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 Issuer's note: The placement agent, Bathgate Capital Partners, LLC, will also receive warrants to purchase shares of the issuer's common stock for a nominal charge. |
| Signed by | Robert C. Ogden, Chief Financial Officer (Jan 8, 2010) |
| Changes vs previous filing |
Compared with the D/A filed Apr 7, 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 | Not computed — the exemption as filed is Rule 506 before the Sept 2013 split into 506(b) and 506(c) (see Exemption claimed); ranges are computed only for offerings claiming Rule 506(b) or 506(c), compared with the last 5 years of filings. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET |
| Filing | Form D/A (amendment) filed Apr 7, 2009 · amends 0001451516-09-000001 ↗ SEC file no. 021-130002 · accession 0001451516-09-000003 · filing 3 of 5 in this offering |
|---|---|
| Raise progress | $20,292,075 sold of $20,292,075 offered (100%) · $0 remaining · first sale Mar 31, 2009 Issuer's note: Shares of stock of the Company were exchanged 1 for 1 for the outstanding shares of Apro Bio Pharmaceutical Corporation. The shares are valued at $1 for purposes of this notice. |
| Filing timing | Date of first sale: Mar 31, 2009 · Original Form D filed: Apr 7, 2009 (7 days after first sale) · This amendment (Form D/A) filed: Apr 7, 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 | 6,416 days (17.6 years) |
| Annual amendments | Issuer reported the offering is not expected to last more than one year. This filing is an amendment dated Apr 7, 2009. Most recent amendment for this offering in our index: Feb 10, 2010 (EDGAR ↗). Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 143 total · includes 12 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 · business combination transaction |
| Entity details | Organized in COLORADO · formed more than five years before filing · revenue range: No Revenues (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 | Bathgate Capital Partners LLC — FINRA BrokerCheck CRD 38923 ↗ |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 Issuer's note: Bathgate Capital Partners LLC received a merger advisory fee of 1,750,000 warrants to purchase common stock of the Company at an exercise price of $0.001 per share. |
| Signed by | Vicki Barone, Chairperson (Apr 7, 2009) |
| Changes vs previous filing |
Compared with the D filed Apr 7, 2009 (EDGAR ↗). The issuer's form cites 0001451516-09-000001 as the filing it amends; the comparison here is with the filing immediately before this one in the same offering. Fields compared: total sold, total offering, remaining, investors, non-accredited investors (count), non-accredited investors reported, minimum investment, sales commissions, finder's fees, proceeds to insiders, date of first sale, industry, fund type, exemption, revenue range, net asset value range, securities offered, may last more than one year, related persons, sales-compensation recipients. Amendment history as filed; no conclusion is drawn. |
| Market context | Not computed — the exemption as filed is Rule 506 before the Sept 2013 split into 506(b) and 506(c) (see Exemption claimed); ranges are computed only for offerings claiming Rule 506(b) or 506(c), compared with the last 5 years of filings. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET |
| Filing | Form D filed Apr 7, 2009 SEC file no. 021-130002 · accession 0001451516-09-000002 · filing 2 of 5 in this offering |
|---|---|
| Raise progress | $1,870,000 sold of $1,870,000 offered (100%) · $0 remaining · first sale Mar 31, 2009 |
| Filing timing | Date of first sale: Mar 31, 2009 · Form D filed: Apr 7, 2009 (7 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 | 6,416 days (17.6 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: Feb 10, 2010 (EDGAR ↗). Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 4 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)); Securities Act Section 4(6), renamed 4(a)(5) in 2012 — sales only to accredited investors, up to $5 million, no advertising |
| Minimum investment accepted | $10,000 |
| Securities offered | Equity; Option, warrant or other right to acquire |
| Entity details | Organized in COLORADO · formed more than five years before filing · revenue range: No Revenues (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 | Bathgate Capital Partners LLC — FINRA BrokerCheck CRD 38923 ↗ · associated broker-dealer: Joe Lavigne (CRD 1914655 ↗) Bathgate Capital Partners LLC — FINRA BrokerCheck CRD 38923 ↗ · associated broker-dealer: Richard Huebner (CRD 1080361 ↗) Bathgate Capital Partners LLC — FINRA BrokerCheck CRD 38923 ↗ · associated broker-dealer: Steven Bathgate (CRD 853937 ↗) Bathgate Capital Partners LLC — FINRA BrokerCheck CRD 38923 ↗ · associated broker-dealer: Michael Donnelly (CRD 4749536 ↗) |
| Money to insiders | Sales commissions: $112,200 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 Issuer's note: Bathgate Capital Partners LLC also received 504,900 warrants to purchase common stock at prices ranging from $0.25 to $1.00 per share. |
| Signed by | Vicki Barone, Chairperson (Apr 7, 2009) |
| Changes vs previous filing |
Compared with the D filed Apr 7, 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 | Not computed — the exemption as filed is Rule 506 before the Sept 2013 split into 506(b) and 506(c) (see Exemption claimed); ranges are computed only for offerings claiming Rule 506(b) or 506(c), compared with the last 5 years of filings. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET |
| Filing | Form D filed Apr 7, 2009 SEC file no. 021-130002 · accession 0001451516-09-000001 · filing 1 of 5 in this offering |
|---|---|
| Raise progress | $20,292,075 sold of $20,292,075 offered (100%) · $0 remaining · first sale Mar 31, 2009 Issuer's note: Shares of stock of the Company were exchanged 1 for 1 for the outstanding shares of Apro Bio Pharmaceutical Corporation. The shares are valued at $1 for purposes of this notice. |
| Filing timing | Date of first sale: Mar 31, 2009 · Form D filed: Apr 7, 2009 (7 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 | 6,416 days (17.6 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: Feb 10, 2010 (EDGAR ↗). Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 143 total · includes 12 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 · business combination transaction |
| Entity details | Organized in COLORADO · formed more than five years before filing · revenue range: No Revenues (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 | Bathgate Capital Partners LLC — FINRA BrokerCheck CRD 38923 ↗ |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 Issuer's note: Bathgate Capital Partners LLC received a merger advisory fee of 1,750,000 warrants to purchase common stock of the Company at an exercise price of $0.001 per share. |
| Signed by | Vicki Barone, Chiarperson (Apr 7, 2009) |
| Market context | Not computed — the exemption as filed is Rule 506 before the Sept 2013 split into 506(b) and 506(c) (see Exemption claimed); ranges are computed only for offerings claiming Rule 506(b) or 506(c), compared with the last 5 years of filings. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET |
| Amendment filed | File no. | Compared with | What changed (both values as filed) |
|---|---|---|---|
| Feb 10, 2010 EDGAR ↗ | 021-130002 | Jan 11, 2010 D | total sold: $390,000 (Jan 11, 2010) → $1,985,650 (Feb 10, 2010) · remaining: $2,110,000 (Jan 11, 2010) → $514,350 (Feb 10, 2010) · investors: 9 (Jan 11, 2010) → 31 (Feb 10, 2010) · and 1 more (open the filing above) |
| Apr 7, 2009 EDGAR ↗ | 021-130002 | Apr 7, 2009 D | total sold: $1,870,000 (Apr 7, 2009) → $20,292,075 (Apr 7, 2009) · total offering: $1,870,000 (Apr 7, 2009) → $20,292,075 (Apr 7, 2009) · investors: 4 (Apr 7, 2009) → 143 (Apr 7, 2009) · and 5 more (open the filing above) |
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 16, 2015. Industry as reported, by offering: Previous offerings: Pharmaceuticals (2009–2013). Latest offering: Biotechnology (Mar 16, 2015).
| Name | Relationship | Address state | On filings (first → last) | Also listed on |
|---|---|---|---|---|
| Albert Kramer | Director | MA | Jan 11, 2010 → Mar 16, 2015 on 6 of 9 filings listed on the latest filing | — |
| Bruce E. Schneider also filed as Bruce Schneider | Executive Officer, Director Issuer's note: CEO and Chairman of the Board | PA | Jun 11, 2013 → Mar 16, 2015 on 2 of 9 filings listed on the latest filing | — |
| Charles Dinarello | Executive Officer, Director | CO | Apr 7, 2009 → Mar 16, 2015 on 5 of 9 filings listed on the latest filing | — |
| John F. Riccardi | Executive Officer | PA | Mar 16, 2015 on 1 of 9 filings listed on the latest filing | — |
| Joseph Lavigne | Promoter | CO | Mar 16, 2015 on 1 of 9 filings listed on the latest filing | — |
| Michael Kamarck | Director | NY | Jun 11, 2013 → Mar 16, 2015 on 2 of 9 filings listed on the latest filing | — |
| Michael Wort | Director | CO | Jan 11, 2010 → Mar 16, 2015 on 6 of 9 filings listed on the latest filing | — |
| Rick Seefried | Promoter | CO | Mar 16, 2015 on 1 of 9 filings listed on the latest filing | — |
| Sandy Wrobel | Director | CA | Mar 16, 2015 on 1 of 9 filings listed on the latest filing | — |
| Michael Iseman | Director | CO | Jan 11, 2010 → Jun 11, 2013 on 5 of 9 filings not listed on the latest filing (Mar 16, 2015) | — |
| Robert Ogden | Executive Officer | CO | Jan 11, 2010 → Jun 11, 2013 on 5 of 9 filings not listed on the latest filing (Mar 16, 2015) | 1 other issuer |
| Steven Bathgate | Director | CO | Jan 11, 2010 → Jun 11, 2013 on 5 of 9 filings not listed on the latest filing (Mar 16, 2015) | 1 other issuer |
| Vicki Barone | Executive Officer, Director Issuer's note: Nominated to become a director | CO | Apr 7, 2009 → Jun 11, 2013 on 8 of 9 filings not listed on the latest filing (Mar 16, 2015) | 1 other issuer |
| James Crapo | Executive Officer, Director | CO | Jun 14, 2011 → Jun 1, 2012 on 2 of 9 filings not listed on the latest filing (Mar 16, 2015) | 1 other issuer |
| Edward Larkin | Executive Officer | CO | Jan 11, 2010 → Jun 14, 2011 on 3 of 9 filings not listed on the latest filing (Mar 16, 2015) | — |
| Jeffrey Sperber | Director | CO | Jan 11, 2010 → Jun 14, 2011 on 3 of 9 filings not listed on the latest filing (Mar 16, 2015) | — |
| Brian Klemsz | Director | CO | Apr 7, 2009 on 2 of 9 filings not listed on the latest filing (Mar 16, 2015) | 6 other issuers |
| Ed Larkin | Executive Officer | CT | Apr 7, 2009 on 2 of 9 filings not listed on the latest filing (Mar 16, 2015) | — |
Executive officers, directors and promoters as self-reported by the issuer, one row per person. Spellings of the same name (same first and last name, or the same full name that EDGAR split differently into middle and last name) with no conflicting middle initial are shown on one row (none on this issuer); dates and counts come from the filings that list each name. Licensed persons: FINRA BrokerCheck ↗ · SEC IAPD ↗. Middle names: the SEC Form D data set (RELATEDPERSONS.tsv) repeats the previous person's middle name into later rows of the same filing; where that happened PartnerFacts shows the name without the repeated middle name and keeps the data-set spelling on record (Albert F. Kramer; Charles F. Dinarello; Joseph F. Lavigne; Michael F. Kamarck; Michael F. Wort; Rick F. Seefried; Sandy F. Wrobel) — the filing on EDGAR is the source.
Other issuers listing the same people:
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.
Not yet searched.
Sources to be searched: the sponsor's website (none on record yet; a sponsor's website is known only from the issuer's own filings (Form C issuer website; EDGAR company profile), an approved profile claim or Form ADV Item 1.I of its matched adviser — we never look it up elsewhere) for Meta Pixel ids and Facebook / Instagram page links; Meta Ad Library API: not yet searched (API access pending). We never read facebook.com or instagram.com; readers get a link to Meta's public Ad Library instead.
Not found in sources searched.
Sources searched for a website: Form C data set (issuer websites as filed), Form ADV data set (Item 1.I of matched advisers) — as of Oct 23, 2026, 11:20 PM ET: none on file for this issuer. The sponsor website, the Internet Archive and GDELT news index are read only once a site is on file; a sponsor's website is known only from the issuer's own filings (Form C issuer website; EDGAR company profile), an approved profile claim or Form ADV Item 1.I of its matched adviser — we never look it up elsewhere. We never collect personal or family accounts.
Entity standing: not checked (no official programmatic source for CO yet).
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