Amended Small Company Offering and Sale of Securities Without Registration (d/a)
August 25 2021 - 5:01AM
Edgar (US Regulatory)
x
NoneEntity Type | 0001751912 | |
x
Corporation
o
Limited Partnership
o
Limited Liability Company
o
General Partnership
o
Business Trust
o
Other |
| Name of Issuer |
NERVGEN PHARMA CORP. |
| Jurisdiction of Incorporation/Organization |
| BRITISH COLUMBIA, CANADA |
| |
| Year of Incorporation/Organization |
| |
o
| Over Five Years Ago |
| |
x
| Within Last Five Years (Specify Year) | 2017 |
| |
o
| Yet to Be Formed | |
| 2. Principal Place of Business and Contact Information |
| Name of Issuer | |
| NERVGEN PHARMA CORP. | |
| Street Address 1 | Street Address 2 |
| SUITE 1703 - 595 BURRARD STREET | |
| City | State/Province/Country | ZIP/Postal Code | Phone No. of Issuer |
| VANCOUVER | BRITISH COLUMBIA, CANADA | V7X 1J1 | (604) 488-5421 |
| Last Name | First Name | Middle Name |
| Radvak | Bill | |
| Street Address 1 | Street Address 2 |
| Suite 1703 - 595 Burrard Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Vancouver | BRITISH COLUMBIA, CANADA | V7X 1J1 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Bayley | Brian | |
| Street Address 1 | Street Address 2 |
| Suite 1703 - 595 Burrard Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Vancouver | BRITISH COLUMBIA, CANADA | V7X 1J1 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Abrams | Michael | |
| Street Address 1 | Street Address 2 |
| Suite 1703 - 595 Burrard Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Vanouver | BRITISH COLUMBIA, CANADA | V7X 1J1 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Punnett | Harold | |
| Street Address 1 | Street Address 2 |
| Suite 1703 - 595 Burrard Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Vancouver | BRITISH COLUMBIA, CANADA | V7X 1J1 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Brennan | Paul | |
| Street Address 1 | Street Address 2 |
| Suite 1703 - 595 Burrard Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Vancouver | BRITISH COLUMBIA, CANADA | V7X 1J1 |
| Relationship: |
x
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Kaye | Randall | |
| Street Address 1 | Street Address 2 |
| Suite 1703 - 595 Burrard Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Vancouver | BRITISH COLUMBIA, CANADA | V7X 1J1 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Adams | William | |
| Street Address 1 | Street Address 2 |
| Suite 1703 - 595 Burrard Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Vancouver | BRITISH COLUMBIA, CANADA | V7X 1J1 |
| Relationship: |
x
| Executive Officer |
o
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Mikol | Daniel | |
| Street Address 1 | Street Address 2 |
| Suite 1703 - 595 Burrard Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Vancouver | BRITISH COLUMBIA, CANADA | V7X 1J1 |
| Relationship: |
x
| Executive Officer |
o
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
|
o
| Agriculture | | Health Care |
o
| Retailing |
| | Banking & Financial Services | |
o
| Biotechnology |
o
| Restaurants |
| |
o
| Commercial Banking | |
o
| Health Insurance | | Technology |
| |
o
| Insurance | |
o
| Hospitals & Physicians | |
o
| Computers |
| |
o
| Investing | |
o
| Pharmaceuticals | |
o
| Telecommunications |
| |
o
| Investment Banking | |
o
| Other Health Care | |
o
| Other Technology |
| |
o
| Pooled Investment Fund
| | | | | Travel |
| |
o
| Other Banking & Financial Services |
o
| Manufacturing | |
o
| Airlines & Airports |
| | Real Estate | |
o
| Lodging & Conventions |
| |
o
| Commercial | |
o
| Tourism & Travel Services |
| |
o
| Construction | |
o
| Other Travel |
| |
o
| REITS & Finance |
x
| Other |
| |
o
| Residential | |
| |
o
| Other Real Estate | |
|
o
| Business Services | |
| | Energy | |
| |
o
| Coal Mining | |
| |
o
| Electric Utilities | |
| |
o
| Energy Conservation | |
| |
o
| Environmental Services | |
| |
o
| Oil & Gas | |
| |
o
| Other Energy | |
| Revenue Range | Aggregate Net Asset Value Range |
|
o
| No Revenues |
o
| No Aggregate Net Asset Value |
|
o
| $1 - $1,000,000 |
o
| $1 - $5,000,000 |
|
o
| $1,000,001 - $5,000,000 |
o
| $5,000,001 - $25,000,000 |
|
o
| $5,000,001 - $25,000,000 |
o
| $25,000,001 - $50,000,000 |
|
o
| $25,000,001 - $100,000,000 |
o
| $50,000,001 - $100,000,000 |
|
o
| Over $100,000,000 |
o
| Over $100,000,000 |
|
x
| Decline to Disclose |
o
| Decline to Disclose |
|
o
| Not Applicable |
o
| Not Applicable |
| 6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply) |
|
o
| Rule 504(b)(1) (not (i), (ii) or (iii)) |
o
| Rule 505 |
|
o
| Rule 504 (b)(1)(i) |
x
| Rule 506(b) |
|
o
| Rule 504 (b)(1)(ii) |
o
| Rule 506(c) |
|
o
| Rule 504 (b)(1)(iii) |
o
| Securities Act Section 4(a)(5) |
| |
o
| Investment Company Act Section 3(c) |
|
o
| New Notice | Date of First Sale | 2020-08-10 |
o
| First Sale Yet to Occur |
| Does the Issuer intend this offering to last more than one year? |
x
| Yes |
o
| No |
| 9. Type(s) of Securities Offered (select all that apply) |
|
o
| Pooled Investment Fund Interests |
x
| Equity |
|
o
| Tenant-in-Common Securities |
o
| Debt |
|
o
| Mineral Property Securities |
x
| Option, Warrant or Other Right to Acquire Another Security |
|
o
| Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security |
x
| Other (describe) |
| | Units consist of one common share and one common share purchase warrant, exercisable at CAD$2.40 per share for a period of 24 months |
| 10. Business Combination Transaction |
| Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
o
| Yes |
x
| No |
| |
| Clarification of Response (if Necessary) | |
| |
| Minimum investment accepted from any outside investor | $ 0 USD |
| Recipient | Recipient CRD Number |
o
| None |
| Arcadia Securities, LLC | 44656 |
| (Associated) Broker or Dealer |
x
| None | (Associated) Broker or Dealer CRD Number |
x
| None |
| | |
| Street Address 1 | Street Address 2 |
| 1370 Avenue of the Americas | 29th floor |
| City | State/Province/Country | ZIP/Postal Code |
| New York | NEW YORK | 10019 |
| State(s) of Solicitation |
o
| All States |
o
| Foreign/Non-US |
ALABAMA
CONNECTICUT
NEW JERSEY
NEW YORK
WYOMING
|
| Recipient | Recipient CRD Number |
x
| None |
| Haywood Securities Inc. | |
| (Associated) Broker or Dealer |
o
| None | (Associated) Broker or Dealer CRD Number |
o
| None |
| Haywood Securities (USA) Inc. | 42072 |
| Street Address 1 | Street Address 2 |
| 200 Burrard Street | Suite 700 |
| City | State/Province/Country | ZIP/Postal Code |
| Vancouver | BRITISH COLUMBIA, CANADA | V6C 3L6 |
| State(s) of Solicitation |
o
| All States |
o
| Foreign/Non-US |
CALIFORNIA
GEORGIA
ILLINOIS
MASSACHUSETTS
NEW YORK
PENNSYLVANIA
TEXAS
|
| 13. Offering and Sales Amounts |
| Total Offering Amount | $ 5357419 USD |
o
Indefinite |
| Total Amount Sold | $ 2194379 USD | |
| Total Remaining to be Sold | $ 3163040 USD |
o
Indefinite |
| |
| Clarification of Response (if Necessary) |
| Total amount remaining to be sold represents the maximum potential exercise price of warrants. Subscriptions paid in Canadian currency converted to US dollars at CAD$1.3354 = USD$1.00. |
|
o
| Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
Number of such non-accredited investors who already have invested in the offering
| |
| | Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: | 23 |
| 15. Sales Commissions & Finders’ Fees Expenses |
Provide separately the amounts of sales commissions and finders' fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
|
| Sales Commissions | $ 153607 USD |
x
| Estimate |
| Finders' Fees | $ 0 USD |
o
| Estimate |
| |
| Clarification of Response (if Necessary) |
| In addition to the cash compensation above, the agents received 117,221 warrants in connection with the U.S. sales; each warrant is exercisable for one share of common stock at CAD$1.75 for 24 months |
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
|
| | $ 0 USD |
o
NervGen Pharma (QB) (USOTC:NGENF) Historical Stock Chart From Feb 2025 to Mar 2025
NervGen Pharma (QB) (USOTC:NGENF) Historical Stock Chart From Mar 2024 to Mar 2025
Real-Time news about NervGen Pharma Corporation (QB) (OTCMarkets): 0 recent articles
More Nervgen Pharma Corp. News Articles
It looks like you are not logged in. Click the button below to log in and keep track of your recent history.
|
Go Ad-Free
Subscribe to Ad free and enjoy an ad-free experience
