Form D

View Original Filing

Notice of Exempt Offering of Securities

Item 1. Issuer's Identity

Name of Issuer:
BROOKLYN IMMUNOTHERAPEUTICS, INC.
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
Over Five Years Ago

Previous Name(s)

  • ALROY INDUSTRIES, INC.
  • NTN BUZZTIME, INC.
  • NTN COMMUNICATIONS INC.
  • NTN BUZZTIME INC
  • NTN COMMUNICATIONS INC
  • ALROY INDUSTRIES INC
Entity Type
CORPORATION

Item 2 Issuer Principal Place of Business and Contact Information

140 58TH STREET, BUILDING A
SUITE 2100
BROOKLYN, NY 11220
Phone Number: subscription required

Item 3. Related Persons

Name
HOWARD J. FEDEROFF
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
  • DIRECTOR
Clarification of Response
CHIEF EXECUTIVE OFFICER AND PRESIDENT

Item 3. Related Persons

Name
ERICH MOHR
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
HEATHER B. REDMAN
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
ERIN S. ENRIGHT
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
DENNIS LANGER
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
JAY SIAL
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
CHIEF ADMINISTRATION OFFICER

Item 3. Related Persons

Name
SANDRA GURROLA
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
VICE PRESIDENT OF FINANCE

Item 3. Related Persons

Name
KEVIN D'AMOUR
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
CHIEF SCIENTIFIC OFFICER

Item 3. Related Persons

Name
ROGER SIDHU
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
CHIEF MEDICAL OFFICER

Item 3. Related Persons

Name
CHARLES CHERINGTON
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:
03/09/2022

Item 8. Duration of Offering

Does the issuer intend this offering to last more than one year?
Yes

Item 9. Type(s) of Securities Offered

  • Equity
  • Other: UNITS CONSISTING OF (I) ONE SHARE OF COMMON STOCK AND (II) ONE WARRANT TO PURCHASE ONE SHARE COMMON STOCK (COMMON WARRANTS)

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
CANTOR FITZGERALD CO.
Recipient CRD Number
134
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
499 PARK AVENUE
NEW YORK, NY 10022
States of Solicitation
  • NY

Item 12. Sales Compensation

Recipient
MAXIM GROUP LLC
Recipient CRD Number
120708
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
300 PARK AVENUE
NEW YORK, NY 10022
States of Solicitation
  • NY

Item 13. Offering and Sales Amounts

Total Offering Amount
12000000
Total Amount Sold
12000000
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:
1

Item 15. Sales Commissions and Finders' Fees Expenses

Sales Commissions:
900000.0
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
BROOKLYN IMMUNOTHERAPEUTICS, INC.
Issuer Signature
/S/ HOWARD J. FEDEROFF
Signer Name
HOWARD J. FEDEROFF
Signer Title
CHIEF EXECUTIVE OFFICER AND PRESIDENT
Signature Date
03/23/2022

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