Sponsor Check › Issuer
Corporation · organized in DELAWARE · formed more than five years before filing · STONY BROOK, NY · SEC CIK 744452 · formerly APPLIED DNA SCIENCES INC; PROHEALTH MEDICAL TECHNOLOGIES INC; DCC ACQUISITION CORP
Data last updated: Oct 23, 2026, 5:45 PM ET · Latest filing by this issuer: Jun 3, 2026 · 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.
1 case: 1 dismissed
190 Other contract actions
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. 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 yet searched. No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.
SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — not yet searched; State securities regulators searched: AZ (Corporation Commission Securities Division), CA (DFPI — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE (DOJ Investor Protection Unit), TX (State Securities Board), WA (DFI) — last crawled Oct 23, 2026, 9:57 PM ET. Other states: not yet searched.
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None found in sources searched.
Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not yet searched. PACER: not searched (RECAP only). · Last checked Oct 23, 2026, 11:54 PM ET.
State courts: not yet searched. No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.
No public statement by this issuer has been collected yet, so there is nothing to compare. Sources compared: the sponsor's own website (known 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.
8 of 20 offerings report sales commissions totalling $2,725,840; 0 report finder's fees; 3 report proceeds to related persons totalling $1,140,000. (includes amounts the issuer reported as estimates)
| Source | Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it |
|---|---|---|---|---|---|
| EDGAR ↗ | Jun 3, 2026 D File 021-586078 | $0 | $0 | $0 (est.) | None listed on this filing |
| EDGAR ↗ | Oct 15, 2025 D File 021-560796 | $361,745 | $0 | $725,000 Includes a total gross amount of (i) $400,000 to be paid in a lump sum to Ms. Murrah on or before November 17, 2025; (ii) $175,000 to be paid as a one-time cash bonus to Mr. Shorrock; and (iii) $150,000 to be paid as a one-time cash bonus to Ms. Jantzen | Lucid Capital Markets, LLC BrokerCheck CRD 000140345 ↗ |
| EDGAR ↗ | Nov 6, 2024 D File 021-528813 | $490,000 | $0 | $0 | Craig-Hallum Capital Group LLC BrokerCheck CRD 000121395 ↗ |
| EDGAR ↗ | Feb 12, 2024 D File 021-505028 | $273,420 | $0 | $0 | Maxim Group LLC BrokerCheck CRD 120708 ↗ |
| EDGAR ↗ | Oct 20, 2020 D File 021-378377 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Aug 26, 2019 D File 021-347414 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jul 19, 2019 D File 021-344655 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Sep 4, 2018 D File 021-320547 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jul 5, 2017 D File 021-289966 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Nov 14, 2016 D File 021-274310 | $0 | $0 | $0 | Maxim Group BrokerCheck CRD 120708 ↗ Imperial Capital, LLC BrokerCheck CRD 43744 ↗ |
| EDGAR ↗ | Dec 7, 2015 D File 021-252556 | $878,175 | $0 | $0 | Maxim Group LLC BrokerCheck CRD 120708 ↗ |
| EDGAR ↗ | Sep 26, 2014 D File 021-225413 | $0 | $0 | $0 | None no CRD number reported |
| EDGAR ↗ | Jun 17, 2014 D File 021-219355 | $0 | $0 | $245,000 (est.) estimate of proceeds that may be used for salaries of executive officers | None no CRD number reported |
| EDGAR ↗ | Aug 2, 2013 D File 021-200704 | $0 | $0 | $170,000 (est.) | None no CRD number reported |
| EDGAR ↗ | Dec 13, 2012 D File 021-188333 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jul 9, 2012 D File 021-180912 | $0 | $0 | $0 | No Sales Compensation no CRD number reported |
| EDGAR ↗ | Jul 19, 2011 D File 021-163092 | $265,000 (est.) | $0 | $0 | More than five no CRD number reported via HALCYON CABOT PARTNERS, LTD. (CRD 32664 ↗) |
| EDGAR ↗ | Nov 26, 2010 D File 021-151067 | $100,000 (est.) | $0 | $0 | More than five no CRD number reported via Halcyon Cabot Partners Ltd. (CRD 32664 ↗) Intermerchant Securities LLC BrokerCheck CRD 142734 ↗ via Intermerchant Securities LLC (CRD 142734 ↗) |
| EDGAR ↗ | Jul 20, 2010 D File 021-145217 | $132,500 (est.) | $0 | $0 | More than five no CRD number reported via Basis Financial, LLC (CRD 43694 ↗) |
| EDGAR ↗ | Jun 16, 2009 D File 021-50871 | $225,000 | $0 | $0 | More than five no CRD number reported via ARjENT Services LLC (CRD 131431 ↗) |
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 BNB PLUS 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, 12:00 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) |
|---|---|---|---|---|---|---|
| 021-586078 | Jun 3, 2026 EDGAR ↗ | Jun 3, 2026 D EDGAR ↗ | 0 | $5,000,000 | $2,500,000 | Other |
| 021-560796 | Oct 15, 2025 EDGAR ↗ | Oct 15, 2025 D EDGAR ↗ | 0 | $58,000,000 | $58,000,000 | Biotechnology |
| 021-528813 | Nov 6, 2024 EDGAR ↗ | Nov 6, 2024 D EDGAR ↗ | 0 | $13,325,000 | $0 | Biotechnology |
| 021-505028 | Feb 12, 2024 EDGAR ↗ | Feb 12, 2024 D EDGAR ↗ | 0 | $6,874,466 | $0 | Biotechnology |
| 021-378377 | Oct 20, 2020 EDGAR ↗ | Oct 20, 2020 D EDGAR ↗ | 0 | $3,690,830 | $1,198,860 | Biotechnology |
| 021-347414 | Aug 26, 2019 EDGAR ↗ | Aug 26, 2019 D EDGAR ↗ | 0 | $418,000 | $418,000 | Biotechnology |
| 021-344655 | Jul 19, 2019 EDGAR ↗ | Jul 19, 2019 D EDGAR ↗ | 0 | $1,500,000 | $1,500,000 | Biotechnology |
| 021-320547 | Sep 4, 2018 EDGAR ↗ | Sep 4, 2018 D EDGAR ↗ | 0 | $3,500,000 | $1,650,000 | Biotechnology |
| 021-289966 | Jul 5, 2017 EDGAR ↗ | Jul 5, 2017 D EDGAR ↗ | 0 | $1,805,000 | $805,000 | Biotechnology |
| 021-274310 | Nov 14, 2016 EDGAR ↗ | Nov 14, 2016 D EDGAR ↗ | 0 | $5,000,000 | $5,000,000 | Biotechnology |
| 021-252556 | Dec 7, 2015 EDGAR ↗ | Dec 7, 2015 D EDGAR ↗ | 0 | $5,400,000 | $25,000 | Biotechnology |
| 021-225413 | Sep 26, 2014 EDGAR ↗ | Sep 26, 2014 D EDGAR ↗ | 0 | $1,800,000 | $1,800,000 | Biotechnology |
| 021-219355 | Jun 17, 2014 EDGAR ↗ | Jun 17, 2014 D EDGAR ↗ | 0 | $2,145,956 | $2,145,956 | Biotechnology |
| 021-200704 | Aug 2, 2013 EDGAR ↗ | Aug 2, 2013 D EDGAR ↗ | 0 | $7,500,000 | $7,500,000 | Biotechnology |
| 021-188333 | Dec 13, 2012 EDGAR ↗ | Dec 13, 2012 D EDGAR ↗ | 0 | $7,500,000 | $2,000,000 | Biotechnology |
| 021-180912 | Jul 9, 2012 EDGAR ↗ | Jul 9, 2012 D EDGAR ↗ | 0 | $1,542,600 | $1,542,600 | Biotechnology |
| 021-163092 | Jul 19, 2011 EDGAR ↗ | Jul 19, 2011 D EDGAR ↗ | 0 | $10,000,000 | $5,000,000 | Biotechnology |
| 021-151067 | Nov 26, 2010 EDGAR ↗ | Nov 26, 2010 D EDGAR ↗ | 0 | $3,000,000 | $350,000 | Biotechnology |
| 021-145217 | Jul 20, 2010 EDGAR ↗ | Jul 20, 2010 D EDGAR ↗ | 0 | $2,000,000 | $0 | Biotechnology |
| 021-50871 | Jun 16, 2009 EDGAR ↗ | Jun 16, 2009 D EDGAR ↗ | 0 | $2,000,000 | $450,000 | Biotechnology |
Offerings are grouped by SEC file number; rows without a file number (not yet retrieved from EDGAR) are shown as their own offering until the link is fetched.
| Filing | Form D filed Jun 3, 2026 SEC file no. 021-586078 · accession 0000891839-26-000199 |
|---|---|
| Raise progress | $2,500,000 sold of $5,000,000 offered (50%) · $2,500,000 remaining · first sale May 28, 2026 |
| Filing timing | Date of first sale: May 28, 2026 · Form D filed: Jun 3, 2026 (6 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 | 149 days (0.4 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 | 1 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506(b) — no general advertising; up to 35 non-accredited investors allowed |
| Minimum investment accepted | $0 as filed (no minimum reported) |
| Securities offered | Equity; Option, warrant or other right to acquire; Security to be acquired upon exercise |
| Entity details | Organized in DELAWARE · formed more than five years before filing · revenue range: $1,000,001 - $5,000,000 (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 | Other |
| 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 (est.) |
| Signed by | Clay D. Shorrock, President and CEO (Jun 3, 2026) |
| Market context | Minimum investment: $0 as filed (no minimum reported). Typical range for similar offerings: $5,000–$50,000. Offering size: $5,000,000. Typical range: $500,000–$7,000,000. Investors: 1. Typical range: 2–14. "Similar" = industry reported as "Other", Rule 506(b). Based on 18,678 Form D filings 2021–2026 in the same industry and exemption (Other, 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 6,590, offering size 16,855, investors 16,531. 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 Oct 15, 2025 SEC file no. 021-560796 · accession 0001104659-25-099416 |
|---|---|
| Raise progress | $58,000,000 sold of $58,000,000 offered (100%) · $0 remaining · first sale Sep 29, 2025 Issuer's note: Reflects estimated proceeds from the sale of shares of the Company's common stock, par value $0.001 per share and/or pre-funded warrants and Series E Warrants, if all Series E Warrants were exercised. |
| Filing timing | Date of first sale: Sep 29, 2025 · Form D filed: Oct 15, 2025 (16 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 | 390 days (1.1 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 | 33 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506(b) — no general advertising; up to 35 non-accredited investors allowed |
| Minimum investment accepted | $0 as filed (no minimum reported) |
| Securities offered | Equity; Option, warrant or other right to acquire; Security to be acquired upon exercise |
| Entity details | Organized in 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 | Lucid Capital Markets, LLC — FINRA BrokerCheck CRD 000140345 ↗ Solicits in: AZ, CA, CT, FL, IL, KY, NY, PR, TX, VT |
| Money to insiders | Sales commissions: $361,745 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $725,000 Issuer's note: Includes a total gross amount of (i) $400,000 to be paid in a lump sum to Ms. Murrah on or before November 17, 2025; (ii) $175,000 to be paid as a one-time cash bonus to Mr. Shorrock; and (iii) $150,000 to be paid as a one-time cash bonus to Ms. Jantzen |
| Signed by | Beth Jantzen, Chief Financial Officer (Oct 14, 2025) |
| Market context | Minimum investment: $0 as filed (no minimum reported). Typical range for similar offerings: $10,000–$50,000. Offering size: $58,000,000. 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 Nov 6, 2024 SEC file no. 021-528813 · accession 0001104659-24-114810 |
|---|---|
| Raise progress | $0 sold of $13,325,000 offered (0%) · $13,325,000 remaining · first sale Oct 30, 2024 Issuer's note: Reflects proceeds from the exercise of 41,640,625 warrants at an exercise price of $0.32, including 20,312,500 Series C Warrants, 20,312,500 Series D Warrants and 1,015,625 placement agent warrants, each to purchase one share of common stock. |
| Filing timing | Date of first sale: Oct 30, 2024 · Form D filed: Nov 6, 2024 (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 | 724 days (2.0 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 | 8 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506(b) — no general advertising; up to 35 non-accredited investors allowed |
| Minimum investment accepted | $0 as filed (no minimum reported) |
| Securities offered | Equity; Option, warrant or other right to acquire; Security to be acquired upon exercise |
| Entity details | Organized in 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 | Craig-Hallum Capital Group LLC — FINRA BrokerCheck CRD 000121395 ↗ Solicits in: FL, NV, NY |
| Money to insiders | Sales commissions: $490,000 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 Issuer's note: Amount paid in connection with (i) this offering and (ii) a concurrent public offering of common stock, consisting of a $390,000 placement agent fee and expenses of $100,000 |
| Signed by | Beth Jantzen, Chief Financial Officer (Nov 6, 2024) |
| Market context | Minimum investment: $0 as filed (no minimum reported). Typical range for similar offerings: $10,000–$50,000. Offering size: $13,325,000. Typical range: $2,000,000–$19,999,994. Investors: 8. 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 Feb 12, 2024 SEC file no. 021-505028 · accession 0001104659-24-014621 |
|---|---|
| Raise progress | $0 sold of $6,874,466 offered (0%) · $6,874,466 remaining · first sale Feb 2, 2024 Issuer's note: Reflects proceeds from the sale of 11,288,122 warrants, each to purchase 1 share of common stock, with an exercise price per share of $0.609, if all such warrants were exercised. |
| Filing timing | Date of first sale: Feb 2, 2024 · Form D filed: Feb 12, 2024 (10 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 | 995 days (2.7 years) |
| Annual amendments | Issuer reported the offering is not expected to last more than one year. No amendment for this offering in our index (filings 2008 → Oct 22, 2026; checked Oct 23, 2026, 5:45 PM ET). Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 3 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506(b) — no general advertising; up to 35 non-accredited investors allowed |
| Minimum investment accepted | $0 as filed (no minimum reported) |
| Securities offered | Equity; Option, warrant or other right to acquire; Security to be acquired upon exercise |
| Entity details | Organized in DELAWARE · formed more than five years before filing · revenue range: $5,000,001 - $25,000,000 (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 | Maxim Group LLC — FINRA BrokerCheck CRD 120708 ↗ Solicits in: All States |
| Money to insiders | Sales commissions: $273,420 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 Issuer's note: Amount paid in connection with (i) this offering and (ii) a concurrent public offering of common stock, consisting of a $223,420 placement agent fee and expenses of $50,000. |
| Signed by | Beth Jantzen, Chief Financial Officer (Feb 12, 2024) |
| Market context | Minimum investment: $0 as filed (no minimum reported). Typical range for similar offerings: $10,000–$50,000. Offering size: $6,874,466. Typical range: $2,000,000–$19,999,994. Investors: 3. 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 Oct 20, 2020 SEC file no. 021-378377 · accession 0001104659-20-116423 |
|---|---|
| Raise progress | $1,198,860 sold of $3,690,830 offered (32%) · $2,491,970 remaining · first sale Oct 7, 2020 Issuer's note: On October 7, 2020, 159,000 warrants to purchase common stock were issued at an exercise price of $7.54. Up to 330,500 additional warrants may be issued, at an exercise price determined on the date of issuance, estimated at $7.54. |
| Filing timing | Date of first sale: Oct 7, 2020 · Form D filed: Oct 20, 2020 (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 | 2,208 days (6.0 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 | 2 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506(b) — no general advertising; up to 35 non-accredited investors allowed |
| Minimum investment accepted | $0 as filed (no minimum reported) |
| Securities offered | Equity; Option, warrant or other right to acquire; Security to be acquired upon exercise |
| Entity details | Organized in DELAWARE · formed more than five years before filing · revenue range: $1,000,001 - $5,000,000 (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 | Beth Jantzen, Chief Financial Officer (Oct 20, 2020) |
| Market context | Minimum investment: $0 as filed (no minimum reported). Typical range for similar offerings: $10,000–$50,000. Offering size: $3,690,830. Typical range: $2,000,000–$19,999,994. Investors: 2. 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 Aug 26, 2019 SEC file no. 021-347414 · accession 0001192482-19-000345 |
|---|---|
| Raise progress | $418,000 sold of $418,000 offered (100%) · $0 remaining · first sale Aug 22, 2019 |
| Filing timing | Date of first sale: Aug 22, 2019 · Form D filed: Aug 26, 2019 (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 | 2,620 days (7.2 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(b) — no general advertising; up to 35 non-accredited investors allowed |
| Minimum investment accepted | $0 as filed (no minimum reported) |
| Securities offered | Equity |
| Entity details | Organized in DELAWARE · formed more than five years before filing · revenue range: $1,000,001 - $5,000,000 (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 | Beth Jantzen, Chief Financial Officer (Aug 26, 2019) |
| Market context | Minimum investment: $0 as filed (no minimum reported). Typical range for similar offerings: $10,000–$50,000. Offering size: $418,000. Typical range: $2,000,000–$19,999,994. Investors: 5. 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 19, 2019 SEC file no. 021-344655 · accession 0001192482-19-000316 |
|---|---|
| Raise progress | $1,500,000 sold of $1,500,000 offered (100%) · $0 remaining · first sale Jul 16, 2019 |
| Filing timing | Date of first sale: Jul 16, 2019 · Form D filed: Jul 19, 2019 (3 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 | 2,657 days (7.3 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 | 1 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; Option, warrant or other right to acquire; Security to be acquired upon exercise |
| Entity details | Organized in DELAWARE · formed more than five years before filing · revenue range: $1,000,001 - $5,000,000 (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 | Beth Jantzen, Chief Financial Officer (Jul 18, 2019) |
| Market context | Minimum investment: $0 as filed (no minimum reported). Typical range for similar offerings: $10,000–$50,000. Offering size: $1,500,000. 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. |
| 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 4, 2018 SEC file no. 021-320547 · accession 0001192482-18-000432 |
|---|---|
| Raise progress | $1,650,000 sold of $3,500,000 offered (47%) · $1,850,000 remaining · first sale Aug 31, 2018 |
| Filing timing | Date of first sale: Aug 31, 2018 · Form D filed: Sep 4, 2018 (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 | 2,976 days (8.2 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 | 11 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; Option, warrant or other right to acquire; Security to be acquired upon exercise |
| Entity details | Organized in DELAWARE · formed more than five years before filing · revenue range: $1,000,001 - $5,000,000 (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 | Beth Jantzen, Chief Financial Officer (Sep 4, 2018) |
| 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: 11. 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 5, 2017 SEC file no. 021-289966 · accession 0001192482-17-000188 |
|---|---|
| Raise progress | $805,000 sold of $1,805,000 offered (45%) · $1,000,000 remaining · first sale Jun 28, 2017 |
| Filing timing | Date of first sale: Jun 28, 2017 · Form D filed: Jul 5, 2017 (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 | 3,405 days (9.3 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 | 13 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506(b) — no general advertising; up to 35 non-accredited investors allowed |
| Minimum investment accepted | $0 as filed (no minimum reported) |
| Securities offered | Equity |
| Entity details | Organized in 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 | Beth Jantzen, Chief Financial Officer (Jun 30, 2017) |
| Market context | Minimum investment: $0 as filed (no minimum reported). Typical range for similar offerings: $10,000–$50,000. Offering size: $1,805,000. Typical range: $2,000,000–$19,999,994. Investors: 13. 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 Nov 14, 2016 SEC file no. 021-274310 · accession 0001571049-16-019752 |
|---|---|
| Raise progress | $5,000,000 sold of $5,000,000 offered (100%) · $0 remaining · first sale Nov 7, 2016 |
| Filing timing | Date of first sale: Nov 7, 2016 · Form D filed: Nov 14, 2016 (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 | 3,638 days (10.0 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 | 2 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506(b) — no general advertising; up to 35 non-accredited investors allowed |
| Minimum investment accepted | $0 as filed (no minimum reported) |
| Securities offered | Equity; Option, warrant or other right to acquire; Security to be acquired upon exercise |
| Entity details | Organized in 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 | Maxim Group — FINRA BrokerCheck CRD 120708 ↗ Solicits in: NJ, NY Imperial Capital, LLC — FINRA BrokerCheck CRD 43744 ↗ Solicits in: NJ, NY |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 Issuer's note: 7% and 68,182 warrants each to purchase one share of Common Stock |
| Signed by | Beth Jantzen, Chief Financial Officer (Nov 10, 2016) |
| Market context | Minimum investment: $0 as filed (no minimum reported). Typical range for similar offerings: $10,000–$50,000. Offering size: $5,000,000. Typical range: $2,000,000–$19,999,994. Investors: 2. 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 7, 2015 SEC file no. 021-252556 · accession 0001192482-15-000436 |
|---|---|
| Raise progress | $25,000 sold of $5,400,000 offered (0%) · $5,375,000 remaining · first sale Nov 23, 2015 Issuer's note: Reflects (i) proceeds from sale of 2,500,000 warrants with a 5 year exercise period, each to purchase 0.50 shares of common stock, at $0.01 per warrant and an exercise price per share of $4.30 and (ii) proceeds if all warrants are exercised. |
| Filing timing | Date of first sale: Nov 23, 2015 · Form D filed: Dec 7, 2015 (14 days after first sale) Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
| Time since first sale | 3,988 days (10.9 years) |
| Annual amendments | Issuer reported the offering may 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 | 7 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 | Option, warrant or other right to acquire; 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 | Maxim Group LLC — FINRA BrokerCheck CRD 120708 ↗ Solicits in: CA, FL, IL, MD, NJ, NY, TX |
| Money to insiders | Sales commissions: $878,175 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 Issuer's note: Amount paid in connection with (i) this offering and (ii) a concurrent public offering of common stock, consisting of $612,500 fee, expenses of $65,000 and warrants to purchase 50,000 shares of common stock at an exercise price of $4.0135 per share. |
| Signed by | James A. Hayward, Chief Executive Officer (Dec 7, 2015) |
| Market context | Minimum investment: $0 as filed (no minimum reported). Typical range for similar offerings: $10,000–$50,000. Offering size: $5,400,000. Typical range: $2,000,000–$19,999,994. Investors: 7. 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 26, 2014 SEC file no. 021-225413 · accession 0000744452-14-000002 |
|---|---|
| Raise progress | $1,800,000 sold of $1,800,000 offered (100%) · $0 remaining · first sale Sep 11, 2014 |
| Filing timing | Date of first sale: Sep 11, 2014 · Form D filed: Sep 26, 2014 (15 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 | 4,426 days (12.1 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 | 2 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 | $800,000 |
| Securities offered | Debt |
| Entity details | Organized in DELAWARE · formed more than five years before filing · revenue range: $1,000,001 - $5,000,000 (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 | None — no CRD number reported Solicits in: NY, PA |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | Karol Gray, Chief Financial Officer (Sep 26, 2014) |
| Market context | Minimum investment: $800,000. Typical range for similar offerings: $10,000–$50,000. Offering size: $1,800,000. Typical range: $2,000,000–$19,999,994. Investors: 2. 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 17, 2014 SEC file no. 021-219355 · accession 0001488138-14-000002 |
|---|---|
| Raise progress | $2,145,956 sold of $2,145,956 offered (100%) · $0 remaining · first sale Jun 3, 2014 Issuer's note: INCLUDES WARRANTS AT NO ADDITIONAL CONSIDERATION. |
| Filing timing | Date of first sale: Jun 3, 2014 · Form D filed: Jun 17, 2014 (14 days after first sale) Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
| Time since first sale | 4,526 days (12.4 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 | 22 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 | $5,000 |
| Securities offered | Equity; Option, warrant or other right to acquire; Security to be acquired upon exercise |
| Entity details | Organized in DELAWARE · formed more than five years before filing · revenue range: $1,000,001 - $5,000,000 (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 | None — no CRD number reported Solicits in: NY |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $245,000 (est.) Issuer's note: estimate of proceeds that may be used for salaries of executive officers |
| Signed by | JAMES A. HAYWARD, CHIEF EXECUTIVE OFFICER (Jun 17, 2014) |
| Market context | Minimum investment: $5,000. Typical range for similar offerings: $10,000–$50,000. Offering size: $2,145,956. Typical range: $2,000,000–$19,999,994. Investors: 22. 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 Aug 2, 2013 SEC file no. 021-200704 · accession 0001188112-13-002226 |
|---|---|
| Raise progress | $7,500,000 sold of $7,500,000 offered (100%) · $0 remaining · first sale Jul 19, 2013 Issuer's note: $2 MILLION IN COMMON STOCK HAS BEEN SOLD, AS WELL AS WARRANTS AT NO ADDITIONAL CONSIDERATION. $5.5 MILLION IN NEWLY-CREATED SERIES B CONVERTIBLE PREFERRED STOCK HAS ALSO BEEN SOLD. |
| Filing timing | Date of first sale: Jul 19, 2013 · Form D filed: Aug 2, 2013 (14 days after first sale) Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
| Time since first sale | 4,845 days (13.3 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 | 0 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 | $2,000,000 |
| Securities offered | Equity; Option, warrant or other right to acquire; Security to be acquired upon exercise |
| Entity details | Organized in DELAWARE · formed more than five years before filing · revenue range: $1,000,001 - $5,000,000 (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 | None — no CRD number reported Solicits in: NY |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $170,000 (est.) |
| Signed by | JAMES A. HAYWARD, CHIEF EXECUTIVE OFFICER (Aug 2, 2013) |
| Market context | Minimum investment: $2,000,000. Typical range for similar offerings: $10,000–$50,000. Offering size: $7,500,000. 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 Dec 13, 2012 SEC file no. 021-188333 · accession 0001188112-12-003597 |
|---|---|
| Raise progress | $2,000,000 sold of $7,500,000 offered (27%) · $5,500,000 remaining · first sale Nov 28, 2012 Issuer's note: $2 MILLION IN COMMON STOCK HAS BEEN SOLD, AS WELL AS WARRANTS AT NO ADDITIONAL CONSIDERATION. $5.5 MILLION IN NEWLY-CREATED SERIES A CONVERTIBLE PREFERRED STOCK MAY BE SOLD CONTINGENT ON SATISFACTION OF CERTAIN CONDITIONS. |
| Filing timing | Date of first sale: Nov 28, 2012 · Form D filed: Dec 13, 2012 (15 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 | 5,078 days (13.9 years) |
| Annual amendments | Issuer reported the offering is not expected to last more than one year. No amendment for this offering in our index (filings 2008 → Oct 22, 2026; checked Oct 23, 2026, 5:45 PM ET). Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 0 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 | $2,000,000 |
| Securities offered | Equity; Option, warrant or other right to acquire; Security to be acquired upon exercise |
| Entity details | Organized in DELAWARE · formed more than five years before filing · revenue range: $1,000,001 - $5,000,000 (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 | KURT H. JENSEN, CHIEF FINANCIAL OFFICER (Dec 13, 2012) |
| Market context | Minimum investment: $2,000,000. Typical range for similar offerings: $10,000–$50,000. Offering size: $7,500,000. 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 Jul 9, 2012 SEC file no. 021-180912 · accession 0001188112-12-002133 |
|---|---|
| Raise progress | $1,542,600 sold of $1,542,600 offered (100%) · $0 remaining · first sale Jun 21, 2012 |
| Filing timing | Date of first sale: Jun 21, 2012 · Form D filed: Jul 9, 2012 (18 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 | 5,238 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 | 1 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506 (filed before Sept 2013, when 506 was split into 506(b) and 506(c)) |
| Minimum investment accepted | $50,000 |
| Securities offered | Equity |
| Entity details | Organized in DELAWARE · formed more than five years before filing · revenue range: $1 - $1,000,000 (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 — no CRD number reported Solicits in: PA |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | Kurt H. Jensen, Chief Financial Officer (Jul 9, 2012) |
| Market context | Minimum investment: $50,000. Typical range for similar offerings: $10,000–$50,000. Offering size: $1,542,600. 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. |
| 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 19, 2011 SEC file no. 021-163092 · accession 0000744452-11-000003 |
|---|---|
| Raise progress | $5,000,000 sold of $10,000,000 offered (50%) · $5,000,000 remaining · first sale Jul 15, 2011 |
| Filing timing | Date of first sale: Jul 15, 2011 · Form D filed: Jul 19, 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 | 5,580 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 | 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 | $50,000 |
| 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 | More than five — no CRD number reported · associated broker-dealer: HALCYON CABOT PARTNERS, LTD. (CRD 32664 ↗) Solicits in: NY, PA |
| Money to insiders | Sales commissions: $265,000 (est.) · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 Issuer's note: commission includes a warrant to purchase 7,578,948 shares of common stock. |
| Signed by | Kurt H. Jensen, Chief Financial Officer (Jul 19, 2011) |
| Market context | Minimum investment: $50,000. Typical range for similar offerings: $10,000–$50,000. Offering size: $10,000,000. 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 filed Nov 26, 2010 SEC file no. 021-151067 · accession 0001488138-10-000007 |
|---|---|
| Raise progress | $350,000 sold of $3,000,000 offered (12%) · $2,650,000 remaining · first sale Nov 17, 2010 |
| Filing timing | Date of first sale: Nov 17, 2010 · Form D filed: Nov 26, 2010 (9 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 | 5,820 days (15.9 years) |
| Annual amendments | Issuer reported the offering is not expected to last more than one year. No amendment for this offering in our index (filings 2008 → Oct 22, 2026; checked Oct 23, 2026, 5:45 PM ET). Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 2 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; 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 | More than five — no CRD number reported · associated broker-dealer: Halcyon Cabot Partners Ltd. (CRD 32664 ↗) Solicits in: CT, NJ, NY, PA, WA Intermerchant Securities LLC — FINRA BrokerCheck CRD 142734 ↗ · associated broker-dealer: Intermerchant Securities LLC (CRD 142734 ↗) Solicits in: CT, NJ, NY, PA, WA |
| Money to insiders | Sales commissions: $100,000 (est.) · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 Issuer's note: commission includes a warrant to purchase up to 10% of the Notes |
| Signed by | Kurt H. Jensen, Chief Financial Officer (Nov 26, 2010) |
| Market context | Minimum investment: $50,000. Typical range for similar offerings: $10,000–$50,000. Offering size: $3,000,000. Typical range: $2,000,000–$19,999,994. Investors: 2. 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 20, 2010 SEC file no. 021-145217 · accession 0001488138-10-000003 |
|---|---|
| Raise progress | $0 sold of $2,000,000 offered (0%) · $2,000,000 remaining · first sale Jul 15, 2010 |
| Filing timing | Date of first sale: Jul 15, 2010 · Form D filed: Jul 20, 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 | 5,945 days (16.3 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 | 14 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; 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 | More than five — no CRD number reported · associated broker-dealer: Basis Financial, LLC (CRD 43694 ↗) Solicits in: CT, NY, WA |
| Money to insiders | Sales commissions: $132,500 (est.) · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 Issuer's note: commission included also 3,297,286 shares of common stock, and a warrant to purchase 10% of the Notes |
| Signed by | Kurt H. Jensen, Chief Financial Officer (Jul 20, 2010) |
| Market context | Minimum investment: $50,000. Typical range for similar offerings: $10,000–$50,000. Offering size: $2,000,000. Typical range: $2,000,000–$19,999,994. Investors: 14. 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 16, 2009 SEC file no. 021-50871 · accession 0000744452-09-000003 |
|---|---|
| Raise progress | $450,000 sold of $2,000,000 offered (23%) · $1,550,000 remaining · first sale Feb 27, 2009 Issuer's note: Does not reflect sales to date that have been to non-US persons |
| Filing timing | Date of first sale: Feb 27, 2009 · Form D filed: Jun 16, 2009 (109 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 | 6,448 days (17.7 years) |
| Annual amendments | Issuer reported the offering is not expected to last more than one year. No amendment for this offering in our index (filings 2008 → Oct 22, 2026; checked Oct 23, 2026, 5:45 PM ET). Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 1 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506 (filed before Sept 2013, when 506 was split into 506(b) and 506(c)) |
| Minimum investment accepted | $50,000 |
| Securities offered | Equity; 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 | More than five — no CRD number reported · associated broker-dealer: ARjENT Services LLC (CRD 131431 ↗) |
| Money to insiders | Sales commissions: $225,000 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 Issuer's note: commission equal to 10% of the Offering proceeds, 3% non-accountable expense allowance, 2% non-accountable due diligence expense allowance, warrants to purchase two million (2,000,000) shares of Common Stock at an exercise price equal to $0.062 |
| Signed by | Kurt H. Jensen, Chief Financial Officer (Jun 16, 2009) |
| Market context | Minimum investment: $50,000. Typical range for similar offerings: $10,000–$50,000. Offering size: $2,000,000. 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. |
| 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 |
All Form D filings for this CIK on SEC EDGAR ↗. History: 1 new offering in the last 12 months (new offering = a Form D that is not an amendment) · most recent filing Jun 3, 2026. Industry as reported, by offering: Previous offerings: Biotechnology (2009–2025). Latest offering: Other (Jun 3, 2026).
| Name | Relationship | Address state | On filings (first → last) | Also listed on |
|---|---|---|---|---|
| Beth Jantzen also filed as Beth M. Jantzen | Executive Officer Issuer's note: Chief Financial Officer | NY | Dec 7, 2015 → Jun 3, 2026 on 11 of 20 filings listed on the latest filing | — |
| Clay Shorrock also filed as Clay D. Shorrock | Executive Officer Issuer's note: Chief Executive Officer | NY | Feb 12, 2024 → Jun 3, 2026 on 4 of 20 filings listed on the latest filing | — |
| James Haft | Director | NY | Jun 3, 2026 on 1 of 20 filings listed on the latest filing | — |
| Joseph D. Ceccoli also filed as Joseph D Ceccoli | Director | NY | Dec 7, 2015 → Jun 3, 2026 on 8 of 20 filings listed on the latest filing | — |
| Joshua Kruger | Director | NY | Jun 3, 2026 on 1 of 20 filings listed on the latest filing | — |
| Judith Murrah | Executive Officer, Director Issuer's note: Chief Information Officer | NY | Sep 26, 2014 → Jun 3, 2026 on 12 of 20 filings listed on the latest filing | — |
| Robert B. Catell | Director | NY | Jul 19, 2019 → Jun 3, 2026 on 7 of 20 filings listed on the latest filing | 1 other issuer |
| Yacov Shamash also filed as Yacov A. Shamash; YACOV SHAMASH | Director | NY | Jun 16, 2009 → Jun 3, 2026 on 17 of 20 filings listed on the latest filing | 3 other issuers |
| Elizabeth M. Schmalz Shaheen | Director | NY | Feb 12, 2024 → Oct 15, 2025 on 3 of 20 filings not listed on the latest filing (Jun 3, 2026) | — |
| James A. Hayward also filed as JAMES A HAYWARD | Executive Officer, Director Issuer's note: Chairman, CEO and President | NY | Jun 16, 2009 → Nov 6, 2024 on 18 of 20 filings not listed on the latest filing (Jun 3, 2026) | — |
| Sanford R. Simon also filed as SANFORD R. SIMON | Director | NY | Jun 16, 2009 → Nov 6, 2024 on 15 of 20 filings not listed on the latest filing (Jun 3, 2026) | — |
| Elizabeth M. Schmalz Ferguson | Director | NY | Jul 19, 2019 → Oct 20, 2020 on 3 of 20 filings not listed on the latest filing (Jun 3, 2026) | — |
| John Bitzer, III also filed as John Bitzer; III; JOHN BITZER | Director | NY | Jul 9, 2012 → Oct 20, 2020 on 9 of 20 filings not listed on the latest filing (Jun 3, 2026) | — |
| Scott Anchin | Director | NY | Oct 20, 2020 on 1 of 20 filings not listed on the latest filing (Jun 3, 2026) | — |
| Charles S. Ryan also filed as Charles Ryan; CHARLES RYAN | Director | NY | Jul 9, 2012 → Aug 26, 2019 on 8 of 20 filings not listed on the latest filing (Jun 3, 2026) | 2 other issuers |
| Ming-Hwa Liang also filed as MING-HWA BENJAMIN LIANG; Ming-Hwa Benjamin Liang | Executive Officer Issuer's note: Secretary and Chief Scientific Officer | NY | Jun 16, 2009 → Nov 14, 2016 on 11 of 20 filings not listed on the latest filing (Jun 3, 2026) | — |
| KAROL GRAY also filed as Karol Gray | Director, Executive Officer Issuer's note: Chief Financial Officer | NY | Jul 9, 2012 → Sep 26, 2014 on 5 of 20 filings not listed on the latest filing (Jun 3, 2026) | — |
| Judy Murrah | Executive Officer | NY | Jun 17, 2014 on 1 of 20 filings not listed on the latest filing (Jun 3, 2026) | — |
| Kurt H. Jensen also filed as KURT JENSEN | Executive Officer Issuer's note: Chief Financial Officer | NY | Jun 16, 2009 → Aug 2, 2013 on 7 of 20 filings not listed on the latest filing (Jun 3, 2026) | — |
| Gerald Catenacci also filed as GERALD CATENACCI | Director | NY | Jul 9, 2012 → Dec 13, 2012 on 2 of 20 filings not listed on the latest filing (Jun 3, 2026) | — |
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 (Beth A. Jantzen; Clay A. Shorrock; James D. Haft; Joshua D. Kruger; Judith R. Murrah; Judith A. Murrah; Judith D. Murrah; Yacov A. Shamash; YACOV A SHAMASH; YACOV BENJAMIN SHAMASH; John H. Bitzer; III; JOHN BENJAMIN BITZER; John A. Bitzer; Scott D. Anchin; Charles H. Ryan; CHARLES BENJAMIN RYAN; Charles A. Ryan; Ming-Hwa R. Liang; Karol H. Gray; KAROL BENJAMIN GRAY; Karol A. Gray; Judy BENJAMIN Murrah; KURT R. JENSEN; Gerald H. Catenacci; GERALD BENJAMIN CATENACCI) — 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.
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