Form D
View Original Filing
Notice of Exempt Offering of Securities
Item 1. Issuer's Identity
Name of Issuer:
DYNAVAX TECHNOLOGIES CORP
Jurisdiction of Incorporation/Organization
DE
Year of Incorporation/Organization
Over Five Years Ago
Item 2 Issuer Principal Place of Business and Contact Information
2929 SEVENTH STREET
SUITE 100
BERKELEY, CA 94710
Phone Number:
subscription required
Item 3. Related Persons
Name
DINO DINA, M.D.
Address
subscription required
Relationship(s)
- EXECUTIVE OFFICER
- DIRECTOR
Clarification of Response
PRESIDENT AND CHIEF EXECUTIVE OFFICER
Item 3. Related Persons
Name
ROBERT L. COFFMAN, PH.D.
Address
subscription required
Relationship(s)
Clarification of Response
VICE PRESIDENT AND CHIEF SCIENTIFIC OFFICER
Item 3. Related Persons
Name
ZBIGNIEW JANOWICZ, PH.D.
Address
subscription required
Relationship(s)
Clarification of Response
CHIEF EXECUTIVE OFFICER AND MANAGING DIRECTOR OF RHEIN BIOTECH GMBH (DYNAVAX EUROPE)
Item 3. Related Persons
Name
MICHAEL S. OSTRACH
Address
subscription required
Relationship(s)
Clarification of Response
VICE PRESIDENT, CHIEF BUSINESS OFFICER AND GENERAL COUNSEL
Item 3. Related Persons
Name
JENNIFER LEW
Address
subscription required
Relationship(s)
Clarification of Response
VICE PRESIDENT, FINANCE
Item 3. Related Persons
Name
ARNOLD ORONSKY, PH.D.
Address
subscription required
Relationship(s)
Clarification of Response
CHAIRMAN OF THE BOARD OF DIRECTORS
Item 3. Related Persons
Name
NANCY L. BUC
Address
subscription required
Relationship(s)
Clarification of Response
MEMBER OF THE BOARD OF DIRECTORS
Item 3. Related Persons
Name
FRANCIS R. CANO, PH.D.
Address
subscription required
Relationship(s)
Clarification of Response
MEMBER OF THE BOARD OF DIRECTORS
Item 3. Related Persons
Name
DENNIS CARSON, M.D.
Address
subscription required
Relationship(s)
Clarification of Response
MEMBER OF THE BOARD OF DIRECTORS
Item 3. Related Persons
Name
DENISE M. GILBERT, PH.D.
Address
subscription required
Relationship(s)
Clarification of Response
MEMBER OF THE BOARD OF DIRECTORS
Item 3. Related Persons
Name
MARK KESSEL
Address
subscription required
Relationship(s)
Clarification of Response
MEMBER OF THE BOARD OF DIRECTORS
Item 3. Related Persons
Name
DAVID M. LAWRENCE, M.D.
Address
subscription required
Relationship(s)
Clarification of Response
MEMBER OF THE BOARD OF DIRECTORS
Item 3. Related Persons
Name
PEGGY V. PHILIPS
Address
subscription required
Relationship(s)
Clarification of Response
MEMBER OF THE BOARD OF DIRECTORS
Item 3. Related Persons
Name
STANLEY A. PLOTKIN, M.D.
Address
subscription required
Relationship(s)
Clarification of Response
MEMBER OF THE BOARD OF DIRECTORS
Item 4. Industry Group
BIOTECHNOLOGY
Item 5. Issuer Size
Revenue Range (for issuer not specifying "hedge" or "other investment" fund in Item 4 above)
$25,000,001 - $100,000,000
Item 6. Federal Exemptions and Exclusions Claimed
Item 7. Type of Filing
New Notice
Date of First Sale in this Offering:
12/30/2009
Item 8. Duration of Offering
Does the issuer intend this offering to last more than one year?
No
Item 9. Type(s) of Securities Offered
- Equity
- Debt
- Option, Warrant or Other Right to Acquire Another Security
- Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security
- Other: SHARES OF COMMON STOCK, WARRANTS TO PURCHASE COMMON STOCK AND CONVERTIBLE PROMISSORY NOTE.
Item 10. Business Combination Transaction
Is this offering being made in connection with a business combination
transaction, such as a merger, acquisition or exchange offer?
Yes
Clarification of Response
ACQUISITION OF SYMPHONY DYNAMO, INC.
Item 11. Minimum Investment
Minimum Investment accepted from any outside investor
0
Item 13. Offering and Sales Amounts
Total Offering Amount
38947480
Total Amount Sold
20067480
Total Remaining to be Sold
18880000
Clarification of Response
TOTAL REMAINING TO BE SOLD INCLUDES WARRANTS AND A PROMISSORY NOTE THAT HAVE BEEN ISSUED IN THIS TRANSACTION. THE AGGREGATE EXERCISE PRICE OF THE WARRANTS IS $3,880,000 AND THE CONVERTIBLE PROMISSORY NOTE IS IN THE AMOUNT OF $15,000,000.
Item 14. Investors
Securities in the offering have been or may be sold to persons
who do not qualify as accredited investors,
Number of non-accredited investors who already have invested in the offering:
Total number of investors who already have invested in the offering:
15
Item 15. Sales Commissions and Finders' Fees Expenses
Sales Commissions:
0.0
Finders' Fees
0.0
Clarification of Response
Item 16. Use of Proceeds
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.
0.0
Clarification of Response
Signature and Submission
Issuer Name
DYNAVAX TECHNOLOGIES CORP
Issuer Signature
/S/ MICHAEL S. OSTRACH
Signer Name
MICHAEL S. OSTRACH
Signer Title
VICE PRESIDENT, CHIEF BUSINESS OFFICER AND GENERAL COUNSEL
Signature Date
01/06/2010