Form D
View Original Filing
Notice of Exempt Offering of Securities
Item 1. Issuer's Identity
Name of Issuer:
SPRING BANK PHARMACEUTICALS, INC.
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
Over Five Years Ago
Item 2 Issuer Principal Place of Business and Contact Information
86 SOUTH STREET
HOPKINTON, MA 01748
Phone Number:
subscription required
Item 3. Related Persons
Name
MARTIN DRISCOLL
Address
subscription required
Relationship(s)
- EXECUTIVE OFFICER
- DIRECTOR
Clarification of Response
Item 3. Related Persons
Name
NEZAM AFDHAL
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
JONATHAN FREVE
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
R.P. KRIS IYER
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
DAVID ARKOWITZ
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
JONATHAN BATES
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
KURT M. EICHLER
Address
subscription required
Relationship(s)
Clarification of Response
Item 4. Industry Group
BIOTECHNOLOGY
Item 5. Issuer Size
Revenue Range (for issuer not specifying "hedge" or "other investment" fund in Item 4 above)
DECLINE TO DISCLOSE
Item 6. Federal Exemptions and Exclusions Claimed
Item 7. Type of Filing
New Notice
Date of First Sale in this Offering:
11/23/2016
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
- Option, Warrant or Other Right to Acquire Another Security
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?
No
Clarification of Response
Item 11. Minimum Investment
Minimum Investment accepted from any outside investor
0
Item 12. Sales Compensation
Recipient
WILLIAM BLAIR COMPANY, L.L.C.
Recipient CRD Number
1252
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
222 W. ADAMS STREET
CHICAGO, IL 60606
States of Solicitation
Item 13. Offering and Sales Amounts
Total Offering Amount
15000001
Total Amount Sold
15000001
Total Remaining to be Sold
0
Clarification of Response
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:
24
Item 15. Sales Commissions and Finders' Fees Expenses
Sales Commissions:
900000.0 Is an estimate
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
SPRING BANK PHARMACEUTICALS, INC.
Issuer Signature
/S/ JONATHAN FREVE
Signer Name
JONATHAN FREVE
Signer Title
CHIEF FINANCIAL OFFICER
Signature Date
11/23/2016