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
Entity Type
CORPORATION

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)
  • EXECUTIVE OFFICER
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)
  • EXECUTIVE OFFICER
Clarification of Response

Item 3. Related Persons

Name
DIANA ESCOLAR
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response

Item 3. Related Persons

Name
JEFFREY S HATFIELD
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
PETER E. HARWIN
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
TOMAS KISELAK
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
ARLENE M. MORRIS
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
JOESPH L. TURNER
Address
subscription required
Relationship(s)
  • DIRECTOR
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

  • Equity

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
  • CA
  • MA
  • NY

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
  • CA
  • MA
  • NY

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
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