Form D

Notice of Exempt Offering of Securities

Item 1. Issuer's Identity

Name of Issuer:
9 METERS BIOPHARMA, INC.
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
Over Five Years Ago

Previous Name(s)

  • INNOVATE BIOPHARMACEUTICALS, INC.
  • MONSTER DIGITAL, INC.
  • TANDON DIGITAL, INC.
Entity Type
CORPORATION

Item 2 Issuer Principal Place of Business and Contact Information

8480 HONEYCUTT ROAD
SUITE 120
RALEIGH, NC 27615
Phone Number: subscription required

Item 3. Related Persons

Name
JOHN TEMPERATO
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
EDWARD J. SITAR
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response

Item 3. Related Persons

Name
NISSIM DARVISH
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
LORIN K. JOHNSON
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
SANDEEP LAUMAS
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
ROY PROUJANSKY
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
MARK SIRGO
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 4. Industry Group

PHARMACEUTICALS

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:
05/04/2020

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)
WILLIAM BLAIR COMPANY, LLC.
(Associated) Broker or Dealer CRD Number
1252
Address
150 NORTH RIVERSIDE PLAZA
35TH FLOOR
CHICAGO, IL 60606
States of Solicitation
  • CA
  • IL
  • NJ
  • NY
  • NC

Item 12. Sales Compensation

Recipient
NATIONAL SECURITIES CORPORATION
Recipient CRD Number
7569
(Associated) Broker or Dealer)
NATIONAL SECURITIES CORPORATION
(Associated) Broker or Dealer CRD Number
7569
Address
5000 T-REX AVENUE
SUITE 300
BOCA RATON, FL 33431
States of Solicitation
  • IL
  • MA
  • NJ
  • NY
  • TX
  • WY

Item 12. Sales Compensation

Recipient
WESTPARK CAPITAL, INC.
Recipient CRD Number
39914
(Associated) Broker or Dealer)
WESTPARK CAPITAL, INC.
(Associated) Broker or Dealer CRD Number
39914
Address
1900 AVENUE OF THE STARS
SUITE 310
LOS ANGELES, CA 90067
States of Solicitation
  • AZ
  • AR
  • CA
  • CT
  • FL
  • IL
  • KS
  • MD
  • MN
  • NY
  • OR
  • TX
  • WI

Item 12. Sales Compensation

Recipient
WYNSTON HILL CAPITAL
Recipient CRD Number
103811
(Associated) Broker or Dealer)
WYNSTON HILL CAPITAL
(Associated) Broker or Dealer CRD Number
103811
Address
246 ROANOKE ROAD
FLETCHER, NC 28732
States of Solicitation
  • AZ
  • CT
  • FL
  • IL
  • NJ
  • NY
  • TX

Item 12. Sales Compensation

Recipient
GP NUMENKARI INC.
Recipient CRD Number
153480
(Associated) Broker or Dealer)
GP NUMENKARI INC.
(Associated) Broker or Dealer CRD Number
153480
Address
22 ELIZABETH STREET, SONO SQUARE
SUITE 1J
NORWALK, CT 06854
States of Solicitation
  • AL
  • AZ
  • CA
  • CO
  • CT
  • DE
  • FL
  • GA
  • IL
  • IN
  • MD
  • MA
  • NJ
  • NY
  • NC
  • PA
  • TX
  • WI

Item 13. Offering and Sales Amounts

Total Offering Amount
22565371
Total Amount Sold
22565371
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,
Yes
Number of non-accredited investors who already have invested in the offering:
5
Total number of investors who already have invested in the offering:
149

Item 15. Sales Commissions and Finders' Fees Expenses

Sales Commissions:
2148350.0
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
OTHER THAN THE PAYMENT OF SALARIES AND OTHER COMPENSATION AND BENEFITS AND REIMBURSEMENT OF EXPENSES, NO OFFICER, DIRECTOR, PARTNER, MANAGER OR PROMOTER WILL RECEIVE ANY PAYMENTS FROM THE PROCEEDS OF THIS OFFERING.

Signature and Submission

Issuer Name
9 METERS BIOPHARMA, INC.
Issuer Signature
/S/ EDWARD J. SITAR
Signer Name
EDWARD J. SITAR
Signer Title
CHIEF FINANCIAL OFFICER
Signature Date
05/15/2020

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