Form D
View Original Filing
Notice of Exempt Offering of Securities
Item 1. Issuer's Identity
Name of Issuer:
ANNEXON, INC.
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
Over Five Years Ago
Item 2 Issuer Principal Place of Business and Contact Information
1400 SIERRA POINT PARKWAY
BLDG C, SUITE 200
BRISBANE, CA 94005
Phone Number:
subscription required
Item 3. Related Persons
Name
DOUGLAS LOVE
Address
subscription required
Relationship(s)
- EXECUTIVE OFFICER
- DIRECTOR
Clarification of Response
Item 3. Related Persons
Name
JENNIFER LEW
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
THOMAS G. WIGGANS
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
WILLIAM H. CARSON, M.D.
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
JUNG E. CHOI
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
BETTINA M. COCKROFT, M.D.
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
MUNEER A. SATTER
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
WILLIAM D. WADDILL
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
LARRY C. MATTHEAKIS, PH.D
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
MICHAEL OVERDORF
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:
07/07/2022
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
- Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire 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
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
COWEN AND COMPANY, LLC
Recipient CRD Number
7616
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
599 LEXINGTON AVENUE, 20TH FLOOR
NEW YORK, NY 10022
States of Solicitation
Item 13. Offering and Sales Amounts
Total Offering Amount
130475296
Total Amount Sold
130475296
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:
12
Item 15. Sales Commissions and Finders' Fees Expenses
Sales Commissions:
6719480.0 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
ANNEXON, INC.
Issuer Signature
/S/ JENNIFER LEW
Signer Name
JENNIFER LEW
Signer Title
EXECUTIVE VICE PRESIDENT AND CFO
Signature Date
07/21/2022