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
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)
Clarification of Response
Item 3. Related Persons
Name
HSIAO D. LIEU
Address
subscription required
Relationship(s)
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)
Clarification of Response
Item 3. Related Persons
Name
PEDRO GRANADILLO
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
PETER M. KASH
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
FRANK LITVACK
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
PAUL A. MIEYAL
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
GREGORY W. SCHAFER
Address
subscription required
Relationship(s)
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
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
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