Form D
View Original Filing
Notice of Exempt Offering of Securities
Item 1. Issuer's Identity
Name of Issuer:
MIRAGEN THERAPEUTICS, INC.
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
Over Five Years Ago
Previous Name(s)
- MIRAGEN THERAPEUTICS, INC.
- SIGNAL GENETICS, INC.
- SIGNAL GENETICS LLC
Item 2 Issuer Principal Place of Business and Contact Information
6200 LOOKOUT ROAD
BOULDER, CO 80301
Phone Number:
subscription required
Item 3. Related Persons
Name
JONATHAN VIOLIN
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
LEE M RAUCH
Address
subscription required
Relationship(s)
- EXECUTIVE OFFICER
- DIRECTOR
Clarification of Response
Item 3. Related Persons
Name
JASON A. LEVERONE
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
DIANA ESCOLAR
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
JEFFREY S HATFIELD
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
PETER E. HARWIN
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
TOMAS KISELAK
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
ARLENE M. MORRIS
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
JOESPH L. TURNER
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:
10/30/2020
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
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
JEFFERIES LLC
Recipient CRD Number
2347
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
520 MADISON AVENUE
NEW YORK, NY 10022
States of Solicitation
Item 12. Sales Compensation
Recipient
JMP SECURITIES LLC
Recipient CRD Number
22208
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
600 MONTGOMERY STREET, SUITE 1100
SAN FRANCISCO, CA 94111
States of Solicitation
Item 13. Offering and Sales Amounts
Total Offering Amount
90997328
Total Amount Sold
90997328
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:
22
Item 15. Sales Commissions and Finders' Fees Expenses
Sales Commissions:
0.0
Finders' Fees
4549870.0
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
MIRAGEN THERAPEUTICS, INC.
Issuer Signature
/S/ JASON A. LEVERONE
Signer Name
JASON A. LEVERONE
Signer Title
CFO TREASURER
Signature Date
11/06/2020