NGM BIOPHARMACEUTICALS INC Form D Notices of Exempt Offering of Securities
Notices filed with the SEC for securities sold without registration under Regulation D or Section 4(a)(5), newest first. Values are as filed.
- 2015-03-25: Federal exemption Rule 506(b); Types of securities offered Equity; Sale and issuance of Series E preferred stock and the underlying shares of common stock issuable upon conversion thereof.; Date of first sale 2015-03-20; Total offering amount $105,999,996.
- 2015-02-24: Federal exemption Rule 506(b); Types of securities offered Equity; Sale and issuance of Series D preferred stock and the underlying shares of common stock issuable upon conversion thereof.; Date of first sale 2014-10-09; Total offering amount $60,000,000.
- 2013-05-03: Federal exemption Rule 506; Types of securities offered Equity; Sale and issuance of Series C preferred stock and the underlying shares of common stock issuable upon conversion thereof.; Date of first sale 2013-04-09; Total offering amount $50,000,001.
- 2011-11-07: Federal exemption Rule 506; Types of securities offered Equity; Sale and issuance of Series B preferrred stock and the underlying shares of common stock issuable upon conversion thereof.; Date of first sale 2010-03-10; Total offering amount $55,664,000.
| Filed | Federal exemption | Types of securities offered | Date of first sale | Total offering amount | Total amount sold | Total remaining to be sold | Investors who have already invested |
|---|---|---|---|---|---|---|---|
| 2015-03-25 | Rule 506(b) | Equity; Sale and issuance of Series E preferred stock and the underlying shares of common stock issuable upon conversion thereof. | 2015-03-20 | $105,999,996 | $105,999,996 | $0 | 1 |
| 2015-02-24 | Rule 506(b) | Equity; Sale and issuance of Series D preferred stock and the underlying shares of common stock issuable upon conversion thereof. | 2014-10-09 | $60,000,000 | $20,710,000 | $39,290,000 | 20 |
| 2013-05-03 | Rule 506 | Equity; Sale and issuance of Series C preferred stock and the underlying shares of common stock issuable upon conversion thereof. | 2013-04-09 | $50,000,001 | $13,485,015 | $36,514,986 | 14 |
| 2011-11-07 D/A | Rule 506 | Equity; Sale and issuance of Series B preferrred stock and the underlying shares of common stock issuable upon conversion thereof. | 2010-03-10 | $55,664,000 | $55,389,000 | $275,000 | 28 |
| 2011-11-03 D/A | Rule 506 | Equity; Sale and issuance of Series B preferrred stock and the underlying shares of common stock issuable upon conversion thereof. | 2010-03-10 | $55,664,000 | $38,459,340 | $17,204,660 | 28 |
| 2010-05-03 D/A | Rule 506 | Equity; Sale and issuance of Series B preferrred stock and the underlying shares of common stock issuable upon conversion thereof. | 2010-03-10 | $55,664,000 | $21,529,670 | $34,134,330 | 20 |
| 2010-04-05 | Rule 506 | Equity; Sale and issuance of Series B preferrred stock and the underlying shares of common stock issuable upon conversion thereof. | 2010-03-10 | $51,139,000 | $17,029,670 | $34,109,330 | 19 |
| 2009-12-22 D/A | Rule 506 | Equity; Sale and issuance of Series A preferrred stock and the underlying shares of common stock issuable upon conversion thereof. | 2008-01-18 | $26,550,000 | $26,550,000 | $0 | 18 |
| 2009-12-10 D/A | Rule 506 | Equity; Sale and issuance of Series A preferrred stock and the underlying shares of common stock issuable upon conversion thereof. | 2008-01-18 | $26,550,000 | $24,530,431 | $2,019,569 | 18 |
| 2009-11-13 D/A | Rule 506 | Equity; Sale and issuance of Series A preferrred stock and the underlying shares of common stock issuable upon conversion thereof. | 2008-01-18 | $26,550,000 | $17,616,665 | $8,933,335 | 18 |