Offerings (SEC Form D)
Each filing as reported by the issuer, newest first. Open a row for the full plain-English detail. D = original notice, D/A = amendment.
Offerings at a glance — 8 offerings, 9 filings (one row per SEC file number)
| File no. | Original Form D | Latest filing | Amendments | Offered (latest) | Sold (latest) | Industry (latest) |
|---|
| 021-203487 | Sep 25, 2013 EDGAR ↗ | Jan 9, 2014 D/A EDGAR ↗ | 1 latest Jan 9, 2014 | $2,500,000 | $1,250,000 | Other Health Care |
| 021-199133 | Jul 8, 2013 EDGAR ↗ | Jul 8, 2013 D EDGAR ↗ | 0 | $500,000 | $50,000 | Other Health Care |
| 021-191088 | Jan 30, 2013 EDGAR ↗ | Jan 30, 2013 D EDGAR ↗ | 0 | $1,000,000 | $0 | Other Health Care |
| 021-183731 | Sep 6, 2012 EDGAR ↗ | Sep 6, 2012 D EDGAR ↗ | 0 | $1,500,000 | $260,000 | Other Health Care |
| 021-175184 | Mar 19, 2012 EDGAR ↗ | Mar 19, 2012 D EDGAR ↗ | 0 | $500,000 | $0 | Other Health Care |
| 021-172537 | Jan 27, 2012 EDGAR ↗ | Jan 27, 2012 D EDGAR ↗ | 0 | $1,800,000 | $300,000 | Other Health Care |
| 021-145825 | Aug 3, 2010 EDGAR ↗ | Aug 3, 2010 D EDGAR ↗ | 0 | $5,000,000 | $3,153,231 | Other Health Care |
| 021-72767-2C | Aug 3, 2009 EDGAR ↗ | Aug 3, 2009 D EDGAR ↗ | 0 | $5,000,000 | $930,000 | 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.
Jan 9, 2014 D/A Other Health Care — $1,250,000 sold of $2,500,000 · 4 investors EDGAR ↗
| Filing | Form D/A (amendment) filed Jan 9, 2014 · amends 0001181431-13-050419 ↗SEC file no. 021-203487 · accession 0001181431-14-001976 · filing 2 of 2 in this offering |
|---|
| Raise progress | $1,250,000 sold of $2,500,000 offered (50%) · $1,250,000 remaining · first sale Sep 3, 2013 |
|---|
| Filing timing | Date of first sale: Sep 3, 2013 · Original Form D filed: Sep 25, 2013 (22 days after first sale) · This amendment (Form D/A) filed: Jan 9, 2014 This row is an amendment. Rule: the original Form D is generally due within 15 days after the first sale; the rule sets no deadline measured from an amendment. Dates shown as reported; no conclusion is drawn. |
|---|
| Time since first sale | 4,799 days (13.1 years) |
|---|
| Annual amendments | Issuer reported the offering is not expected to last more than one year. This filing is an amendment dated Jan 9, 2014. Most recent amendment for this offering in our index: this filing, Jan 9, 2014. 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(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 MINNESOTA · 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 | Other Health Care |
|---|
| Who is paid to sell it | John Evey — no CRD number reported Solicits in: CA |
|---|
| Money to insiders | Sales commissions: $0 · Finder's fees: $245,000 (est.) · Proceeds to officers, directors, promoters: $0 Issuer's note: Assumes entire offering is sold; includes $45,000 in warrants. |
|---|
| Signed by | Michael P. Oliver, Chief Executive Officer (Jan 9, 2014) |
|---|
| Changes vs previous filing | - total sold: $500,000 (Sep 25, 2013) → $1,250,000 (Jan 9, 2014)
- total offering: $1,000,000 (Sep 25, 2013) → $2,500,000 (Jan 9, 2014)
- remaining: $500,000 (Sep 25, 2013) → $1,250,000 (Jan 9, 2014)
- investors: 2 (Sep 25, 2013) → 4 (Jan 9, 2014)
- finder's fees: $125,000 (Sep 25, 2013) → $245,000 (Jan 9, 2014)
- related persons added (Jan 9, 2014): Lowell W. Giffhorn
Compared with the D filed Sep 25, 2013 ( EDGAR ↗). Fields compared: total sold, total offering, remaining, investors, non-accredited investors (count), non-accredited investors reported, minimum investment, sales commissions, finder's fees, proceeds to insiders, date of first sale, industry, fund type, exemption, revenue range, net asset value range, securities offered, may last more than one year, related persons, sales-compensation recipients. Amendment history as filed; no conclusion is drawn. |
|---|
| Market context | Minimum investment: $0 as filed (no minimum reported). Typical range for similar offerings: $10,000–$54,310.
Offering size: $2,500,000. Typical range: $829,831–$9,999,998.
Investors: 4. Typical range: 2–15."Similar" = Other Health Care, Rule 506(b). Based on 4,189 Form D filings 2021–2026 in the same industry and exemption (Other Health Care, 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 1,330, offering size 3,970, investors 3,669. 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 |
|---|
Sep 25, 2013 D Other Health Care — $500,000 sold of $1,000,000 · 2 investors EDGAR ↗
| Filing | Form D filed Sep 25, 2013SEC file no. 021-203487 · accession 0001181431-13-050419 · filing 1 of 2 in this offering |
|---|
| Raise progress | $500,000 sold of $1,000,000 offered (50%) · $500,000 remaining · first sale Sep 3, 2013 |
|---|
| Filing timing | Date of first sale: Sep 3, 2013 · Form D filed: Sep 25, 2013 (22 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 | 4,799 days (13.1 years) |
|---|
| Annual amendments | Issuer reported the offering is not expected to last more than one year. Most recent amendment for this offering in our index: Jan 9, 2014 (EDGAR ↗). 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 | Debt; Option, warrant or other right to acquire; Security to be acquired upon exercise |
|---|
| Entity details | Organized in MINNESOTA · 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 | Other Health Care |
|---|
| Who is paid to sell it | John Evey — no CRD number reported Solicits in: CA |
|---|
| Money to insiders | Sales commissions: $0 · Finder's fees: $125,000 (est.) · Proceeds to officers, directors, promoters: $0 Issuer's note: Assumes entire offering is sold; includes $45,000 in warrants. |
|---|
| Signed by | Michael P. Oliver, Chief Executive Officer (Sep 24, 2013) |
|---|
| Market context | Minimum investment: $0 as filed (no minimum reported). Typical range for similar offerings: $10,000–$54,310.
Offering size: $1,000,000. Typical range: $829,831–$9,999,998.
Investors: 2. Typical range: 2–15."Similar" = Other Health Care, Rule 506(b). Based on 4,189 Form D filings 2021–2026 in the same industry and exemption (Other Health Care, 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 1,330, offering size 3,970, investors 3,669. 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 |
|---|
Jul 8, 2013 D Other Health Care — $50,000 sold of $500,000 · 2 investors EDGAR ↗
| Filing | Form D filed Jul 8, 2013SEC file no. 021-199133 · accession 0001181431-13-039144 |
|---|
| Raise progress | $50,000 sold of $500,000 offered (10%) · $450,000 remaining · first sale Jun 14, 2013 |
|---|
| Filing timing | Date of first sale: Jun 14, 2013 · Form D filed: Jul 8, 2013 (24 days after first sale) Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
|---|
| Time since first sale | 4,880 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 | 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 | $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 MINNESOTA · 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 | Other Health Care |
|---|
| Who is paid to sell it | Laidlaw & Company (UK) Ltd. — FINRA BrokerCheck CRD 119037 ↗ · associated broker-dealer: Laidlaw & Company (UK) Ltd. (CRD 119037 ↗) Solicits in: All States |
|---|
| Money to insiders | Sales commissions: $60,000 (est.) · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 Issuer's note: Assumes entire offering is sold; will also include warrants to purchase common stock based on number of shares sold. |
|---|
| Signed by | James Dorst, Chief Financial Officer (Jul 5, 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 |
|---|
Jan 30, 2013 D Other Health Care — $0 sold of $1,000,000 · 0 investors EDGAR ↗
| Filing | Form D filed Jan 30, 2013SEC file no. 021-191088 · accession 0001181431-13-005548 |
|---|
| Raise progress | $0 sold of $1,000,000 offered (0%) · $1,000,000 remaining |
|---|
| Filing timing | Date of first sale: Yet to occur · Form D filed: Jan 30, 2013 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 (filed before Sept 2013, when 506 was split into 506(b) and 506(c)) |
|---|
| Minimum investment accepted | $0 as filed (no minimum reported) |
|---|
| Securities offered | Debt; Option, warrant or other right to acquire; Security to be acquired upon exercise |
|---|
| Entity details | Organized in MINNESOTA · 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 | Other Health Care |
|---|
| Who is paid to sell it | Laidlaw & Company (UK) Ltd. — FINRA BrokerCheck CRD 119037 ↗ · associated broker-dealer: Laidlaw & Company (UK) Ltd. (CRD 119037 ↗) Solicits in: All States |
|---|
| Money to insiders | Sales commissions: $120,000 (est.) · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 Issuer's note: Assumes entire offering is sold; will also include warrants to purchase common stock based on number of shares sold. |
|---|
| Signed by | James Dorst, Chief Financial Officer (Jan 30, 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 |
|---|
Sep 6, 2012 D Other Health Care — $260,000 sold of $1,500,000 · 7 investors EDGAR ↗
| Filing | Form D filed Sep 6, 2012SEC file no. 021-183731 · accession 0001181431-12-048948 |
|---|
| Raise progress | $260,000 sold of $1,500,000 offered (17%) · $1,240,000 remaining · first sale Aug 28, 2012 |
|---|
| Filing timing | Date of first sale: Aug 28, 2012 · Form D filed: Sep 6, 2012 (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 | 5,170 days (14.2 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 | 7 total · issuer reported no non-accredited investors |
|---|
| Exemption claimed | Rule 506 (filed before Sept 2013, when 506 was split into 506(b) and 506(c)) |
|---|
| Minimum investment accepted | $0 as filed (no minimum reported) |
|---|
| Securities offered | Debt; Option, warrant or other right to acquire; Security to be acquired upon exercise |
|---|
| Entity details | Organized in MINNESOTA · 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 | Other Health Care |
|---|
| Who is paid to sell it | Laidlaw & Company (UK) Ltd. — FINRA BrokerCheck CRD 119037 ↗ · associated broker-dealer: Laidlaw & Company (UK) Ltd. (CRD 119037 ↗) Solicits in: All States |
|---|
| Money to insiders | Sales commissions: $205,000 (est.) · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 Issuer's note: Assumes entire offering is sold; will also include warrants to purchase common stock based on number of shares sold. |
|---|
| Signed by | James Dorst, Chief Financial Officer (Sep 6, 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 |
|---|
Mar 19, 2012 D Other Health Care — $0 sold of $500,000 · 0 investors EDGAR ↗
| Filing | Form D filed Mar 19, 2012SEC file no. 021-175184 · accession 0001181431-12-018289 |
|---|
| Raise progress | $0 sold of $500,000 offered (0%) · $500,000 remaining |
|---|
| Filing timing | Date of first sale: Yet to occur · Form D filed: Mar 19, 2012 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 (filed before Sept 2013, when 506 was split into 506(b) and 506(c)) |
|---|
| Minimum investment accepted | $0 as filed (no minimum reported) |
|---|
| Securities offered | Debt; Option, warrant or other right to acquire; Security to be acquired upon exercise |
|---|
| Entity details | Organized in MINNESOTA · 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 | Other Health Care |
|---|
| Who is paid to sell it | Laidlaw & Company (UK) Ltd. — FINRA BrokerCheck CRD 119037 ↗ · associated broker-dealer: Laidlaw & Company (UK) Ltd. (CRD 119037 ↗) Solicits in: AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY |
|---|
| Money to insiders | Sales commissions: $60,000 (est.) · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 Issuer's note: Assumes entire offering is sold; will also include warrants to purchase common stock based on number of shares sold. |
|---|
| Signed by | James Dorst, Chief Financial Officer (Mar 19, 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 |
|---|
Jan 27, 2012 D Other Health Care — $300,000 sold of $1,800,000 · 4 investors EDGAR ↗
| Filing | Form D filed Jan 27, 2012SEC file no. 021-172537 · accession 0001181431-12-004115 |
|---|
| Raise progress | $300,000 sold of $1,800,000 offered (17%) · $1,500,000 remaining · first sale Jan 15, 2012 |
|---|
| Filing timing | Date of first sale: Jan 15, 2012 · Form D filed: Jan 27, 2012 (12 days after first sale) Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
|---|
| Time since first sale | 5,396 days (14.8 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 | 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)) |
|---|
| 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 MINNESOTA · 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 | Other Health Care |
|---|
| Who is paid to sell it | Laidlaw & Company (UK) Ltd. — FINRA BrokerCheck CRD 119037 ↗ · associated broker-dealer: Laidlaw & Company (UK) Ltd. (CRD 119037 ↗) Solicits in: AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY |
|---|
| Money to insiders | Sales commissions: $241,000 (est.) · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 Issuer's note: Assumes entire offering is sold; will also include warrants to purchase common stock based on number of shares sold. |
|---|
| Signed by | James Dorst, Chief Financial Officer (Jan 27, 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 |
|---|
Aug 3, 2010 D Other Health Care — $3,153,231 sold of $5,000,000 · 33 investors EDGAR ↗
| Filing | Form D filed Aug 3, 2010SEC file no. 021-145825 · accession 0001181431-10-039757 |
|---|
| Raise progress | $3,153,231 sold of $5,000,000 offered (63%) · $1,846,769 remaining · first sale Apr 29, 2010 |
|---|
| Filing timing | Date of first sale: Apr 29, 2010 · Form D filed: Aug 3, 2010 (96 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 | 6,022 days (16.5 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 (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; Security to be acquired upon exercise |
|---|
| Entity details | Organized in MINNESOTA · 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 | Other Health Care |
|---|
| Who is paid to sell it | Felix Investments LLC — FINRA BrokerCheck CRD 148441 ↗ · associated broker-dealer: Felix Investments LLC (CRD 148441 ↗) Solicits in: All States |
|---|
| Money to insiders | Sales commissions: $453,388 (est.) · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 Issuer's note: Also includes a five-year warrant to purchase common stock and reimbursement of reasonable filing fees and legal costs of the Agent, the value of which is not reflected above. |
|---|
| Signed by | Jim Dorst, VP of Finance and CFO (Aug 3, 2010) |
|---|
| 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 |
|---|
Aug 3, 2009 D Biotechnology — $930,000 sold of $5,000,000 · 8 investors EDGAR ↗
| Filing | Form D filed Aug 3, 2009SEC file no. 021-72767-2C · accession 0000727672-09-000002 |
|---|
| Raise progress | $930,000 sold of $5,000,000 offered (19%) · $4,070,000 remaining · first sale May 19, 2009 Issuer's note: Best efforts offering |
|---|
| Filing timing | Date of first sale: May 19, 2009 · Form D filed: Aug 3, 2009 (76 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 | 6,367 days (17.4 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 | 8 total · issuer reported no non-accredited investors |
|---|
| Exemption claimed | Rule 506 (filed before Sept 2013, when 506 was split into 506(b) and 506(c)) |
|---|
| Minimum investment accepted | $25,000 |
|---|
| Securities offered | Equity; Option, warrant or other right to acquire |
|---|
| Entity details | Organized in MINNESOTA · 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 recipients listed on this filing. |
|---|
| Money to insiders | Sales commissions: $0 · Finder's fees: $600,000 (est.) · Proceeds to officers, directors, promoters: $0 |
|---|
| Signed by | James Hitchin, Chief Executive Officer (Jul 28, 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 history — 1 amendment on this page, each compared with the filing before it in the same offering
| Amendment filed | File no. | Compared with | What changed (both values as filed) |
|---|
| Jan 9, 2014 EDGAR ↗ | 021-203487 | Sep 25, 2013 D | total sold: $500,000 (Sep 25, 2013) → $1,250,000 (Jan 9, 2014) · total offering: $1,000,000 (Sep 25, 2013) → $2,500,000 (Jan 9, 2014) · remaining: $500,000 (Sep 25, 2013) → $1,250,000 (Jan 9, 2014) · and 3 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 Jan 9, 2014. Industry as reported, by offering: Previous offerings: Biotechnology (2009). Latest offering: Other Health Care (2010–2013; most recent Sep 25, 2013).
Key people 14
Officers, directors and promoters the issuer itself named on its Form D. Tap a name for every other deal they are on.
| Name | Relationship | Address state | On filings (first → last) | Also listed on |
|---|
| CS Chester E. Sievert, Jr. also filed as Chester Sievert, Jr. | Director | CA | Aug 3, 2009 → Jan 9, 2014 on 8 of 9 filings listed on the latest filing | — |
| FT F. Duwaine Townsen | Director | CA | Aug 3, 2010 → Jan 9, 2014 on 8 of 9 filings listed on the latest filing | — |
| LG Lowell W. Giffhorn | Executive Officer | CA | Jan 9, 2014 on 1 of 9 filings listed on the latest filing | — |
| MM Mark McWilliams | Director | CA | Aug 3, 2009 → Jan 9, 2014 on 9 of 9 filings listed on the latest filing | 3 other issuers |
| MO Michael P. Oliver | Director, Executive Officer | CA | Jan 27, 2012 → Jan 9, 2014 on 7 of 9 filings listed on the latest filing | — |
| SM Sheldon L. Miller also filed as Sheldon Miller | Director | CA | Aug 3, 2010 → Jan 9, 2014 on 8 of 9 filings listed on the latest filing | — |
| SP Stanley J. Pappelbaum also filed as Stanley Pappelbaum, MD; Stanley Pappelbaum | Director | CA | Aug 3, 2009 → Jan 9, 2014 on 7 of 9 filings listed on the latest filing | — |
| JD James Dorst | Executive Officer | CA | Jan 27, 2012 → Jul 8, 2013 on 5 of 9 filings not listed on the latest filing (Jan 9, 2014) | — |
| SP Stan Pappelbaum | Director | CA | Jan 27, 2012 → Mar 19, 2012 on 2 of 9 filings not listed on the latest filing (Jan 9, 2014) | — |
| CS Chet Sievert | Director | CA | Aug 3, 2010 on 1 of 9 filings not listed on the latest filing (Jan 9, 2014) | — |
| JD Jim Dorst | Executive Officer | CA | Aug 3, 2009 → Aug 3, 2010 on 2 of 9 filings not listed on the latest filing (Jan 9, 2014) | — |
| JH Jim Hitchin | Executive Officer, Director | CA | Aug 3, 2009 → Aug 3, 2010 on 2 of 9 filings not listed on the latest filing (Jan 9, 2014) | — |
| JP John Pappajohn | Director | CA | Aug 3, 2009 on 1 of 9 filings not listed on the latest filing (Jan 9, 2014) | 9 other issuers |
| TT Tommy Thompson | Director | CA | Aug 3, 2009 on 1 of 9 filings not listed on the latest filing (Jan 9, 2014) | 3 other issuers |
Executive officers, directors and promoters as self-reported by the issuer, one row per person. Spellings of the same name (same first and last name, or the same full name that EDGAR split differently into middle and last name) with no conflicting middle initial are shown on one row (none on this issuer); dates and counts come from the filings that list each name. Licensed persons: FINRA BrokerCheck ↗ · SEC IAPD ↗. Middle names: the SEC Form D data set (RELATEDPERSONS.tsv) repeats the previous person's middle name into later rows of the same filing; where that happened PartnerFacts shows the name without the repeated middle name and keeps the data-set spelling on record (Mark P. McWilliams; James P. Dorst; Stan L. Pappelbaum) — the filing on EDGAR is the source.
Connections
Other issuers listing the same people:
- Inseer Inc. — John Pappajohn · latest filing Apr 21, 2026
- Emmaus Life Sciences, Inc. — TOMMY THOMPSON · latest filing Jan 31, 2023
- Emmaus Life Sciences, Inc. — John Pappajohn · latest filing Jan 31, 2023
- Telemynd, Inc. — John Pappajohn · latest filing Dec 16, 2022
- OneroRx, Inc. — John Pappajohn · latest filing Apr 29, 2022
- ConnectRN, Inc. — John Pappajohn · latest filing Dec 20, 2021
- CANCER GENETICS, INC — TOMMY THOMPSON · latest filing Feb 3, 2021
- CANCER GENETICS, INC — John Pappajohn · latest filing Feb 3, 2021
- Vala Sciences Inc. — Mark McWilliams · latest filing Jun 5, 2017
- American CareSource Holdings, Inc. — John Pappajohn · latest filing Sep 15, 2015
- LIFENEXUS, INC. — TOMMY THOMPSON · latest filing Nov 4, 2014
- Medipacs, Inc — Mark McWilliams · latest filing Oct 30, 2014
- Syncbak, Inc. — John Pappajohn · latest filing May 22, 2013
- St. Gregory Centers Holdings, LLC — John Pappajohn · latest filing Mar 28, 2012
- SleepSafeDrivers, Inc. — Mark McWilliams · latest filing Aug 18, 2011
Shared address: this business address appears on filings for 1 other issuer. Stated as a count only (suite numbers ignored) — many addresses are shared office buildings or registered agents. As of Oct 23, 2026, 5:45 PM ET.
Other offering types (Regulation A and Regulation Crowdfunding)
Searched SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 (51,358 records as of Oct 23, 2026, 8:41 PM ET) — nothing matched this name.
Adviser registration (Form ADV)
Searched SEC Form ADV bulk data (registered + exempt reporting advisers) (24,962 records as of Oct 2, 2026, 8:00 AM ET) — nothing matched SPECTRASCIENCE INC.
Meta advertising
No Meta Pixel ids or Facebook / Instagram page links on file for SPECTRASCIENCE INC as of Oct 24, 2026 — the sponsor website is read for them once it is on file (runs automatically). Meta Ad Library: not searched by PartnerFacts (no API access); a one-tap Ad Library search is under Look further.
Public profiles
Public profiles official links and public statements, each with its source and date
No website or social profile named in SPECTRASCIENCE INC's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #323,434 of 374,652 in line (14 issuers searched so far).
Sources searched for a website: Form C data set (issuer websites as filed), Form ADV data set (Item 1.I of matched advisers) — as of Oct 23, 2026, 11:20 PM ET: none on file for this issuer. The sponsor website, the Internet Archive and GDELT news index are read only once a site is on file; a sponsor's website comes from the issuer's own filings (Form C issuer website; EDGAR company profile), an approved profile claim, Form ADV Item 1.I of its matched adviser, or a web search for the issuer name confirmed on the site's own homepage. We never collect personal or family accounts.
Entity standing: not checked (no official programmatic source for CA yet).
Export this report as PDF (all source links + data timestamp) · Premium
Request diligence pack (Premium) PartnerFacts asks the sponsor for the standard information pack and delivers it to you labelled "provided by the sponsor".
Corrections log
No corrections have been requested for this page.
Filing-to-filing changes are in Amendment history above.