Form D

View Original Filing

Notice of Exempt Offering of Securities

Item 1. Issuer's Identity

Name of Issuer:
NILE THERAPEUTICS, INC.
Jurisdiction of Incorporation/Organization
DE
Year of Incorporation/Organization
Over Five Years Ago

Previous Name(s)

  • SMI PRODUCTS, INC.
  • SMI PRODUCTS INC
Entity Type
CORPORATION

Item 2 Issuer Principal Place of Business and Contact Information

4 WEST 4TH AVE
SUITE 400
SAN MATEO, CA 94402
Phone Number: subscription required

Item 3. Related Persons

Name
JOSHUA A KAZAM
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
DARON EVANS
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response

Item 3. Related Persons

Name
HSIAO D. LIEU
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response

Item 3. Related Persons

Name
RICHARD B. BREWER
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
ARIE S. BELLDEGRUN
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
PEDRO GRANADILLO
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
PETER M. KASH
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
FRANK LITVACK
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
PAUL A. MIEYAL
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
GREGORY W. SCHAFER
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:
06/20/2011

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
RIVERBANK CAPITAL SECURITIES, INC.
Recipient CRD Number
135310
(Associated) Broker or Dealer)
RIVERBANK CAPITAL SECURITIES, INC.
(Associated) Broker or Dealer CRD Number
135310
Address
689 5TH AVENUE
SUITE 12
NEW YORK, NY 10022
States of Solicitation
  • CA
  • NJ
  • NY

Item 12. Sales Compensation

Recipient
LADENBURG THALMANN CO., INC.
Recipient CRD Number
505
(Associated) Broker or Dealer)
LADENBURG THALMANN CO., INC.
(Associated) Broker or Dealer CRD Number
505
Address
520 MADISON AVENUE
9TH FLOOR
NEW YORK, NY 10022
States of Solicitation
  • NY

Item 13. Offering and Sales Amounts

Total Offering Amount
2500000
Total Amount Sold
2500000
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:
6

Item 15. Sales Commissions and Finders' Fees Expenses

Sales Commissions:
175000.0
Finders' Fees
0.0
Clarification of Response
PLUS WARRANTS TO PURCHASE 250,000 SHARES

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.
307500.0 Is an estimate
Clarification of Response
REPRESENTS PAYMENTS OF SALARIES TO EXECUTIVE OFFICERS

Signature and Submission

Issuer Name
NILE THERAPEUTICS, INC.
Issuer Signature
/S/ DARON EVANS
Signer Name
DARON EVANS
Signer Title
CHIEF FINANCIAL OFFICER
Signature Date
06/27/2011
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