Small Company Offering and Sale of Securities Without Registration (d)
August 30 2019 - 2:02PM
Edgar (US Regulatory)
x
NoneEntity Type | 0001633932 | |
x
Corporation
o
Limited Partnership
o
Limited Liability Company
o
General Partnership
o
Business Trust
o
Other |
| Name of Issuer |
ESSA Pharma Inc. |
| Jurisdiction of Incorporation/Organization |
| BRITISH COLUMBIA, CANADA |
| |
| Year of Incorporation/Organization |
| |
x
| Over Five Years Ago |
| |
o
| Within Last Five Years (Specify Year) | |
| |
o
| Yet to Be Formed | |
| 2. Principal Place of Business and Contact Information |
| Name of Issuer | |
| ESSA Pharma Inc. | |
| Street Address 1 | Street Address 2 |
| Suite 720, 999 West Broadway | |
| City | State/Province/Country | ZIP/Postal Code | Phone No. of Issuer |
| Vancouver | BRITISH COLUMBIA, CANADA | V5Z 1K5 | (778) 331-0962 |
| Last Name | First Name | Middle Name |
| Parkinson | David | |
| Street Address 1 | Street Address 2 |
| 820 Anderson Lane | |
| City | State/Province/Country | ZIP/Postal Code |
| Sebastopol | CALIFORNIA | 94872 |
| Relationship: |
x
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Virsik | Peter | |
| Street Address 1 | Street Address 2 |
| 131 Escanyo Way | |
| City | State/Province/Country | ZIP/Postal Code |
| Portola Valley | CALIFORNIA | 94028 |
| Relationship: |
x
| Executive Officer |
o
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Wood | David | |
| Street Address 1 | Street Address 2 |
| 3516 West 33rd Avenue | |
| City | State/Province/Country | ZIP/Postal Code |
| Vancouver | BRITISH COLUMBIA, CANADA | V6N 1H4 |
| Relationship: |
x
| Executive Officer |
o
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Glickman | Richard | |
| Street Address 1 | Street Address 2 |
| 7764 West Saanich Road | |
| City | State/Province/Country | ZIP/Postal Code |
| Brentwood Bay | BRITISH COLUMBIA, CANADA | V8M 1R7 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Sollis | Gary | |
| Street Address 1 | Street Address 2 |
| 4218 Rockridge Road | |
| City | State/Province/Country | ZIP/Postal Code |
| West Vancouver | BRITISH COLUMBIA, CANADA | V7W 1A4 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Berger | Franklin | |
| Street Address 1 | Street Address 2 |
| 15th Floor, 257 Park Avenue South | |
| City | State/Province/Country | ZIP/Postal Code |
| New York | NEW YORK | 10010 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Requadt | Scott | |
| Street Address 1 | Street Address 2 |
| 15 Lewis Path | |
| City | State/Province/Country | ZIP/Postal Code |
| Wayland | MASSACHUSETTS | 01778 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Martin | John | Alex |
| Street Address 1 | Street Address 2 |
| 12 Penns Trail | |
| City | State/Province/Country | ZIP/Postal Code |
| Newtown | PENNSYLVANIA | 18940 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Stampacchia | Otello | |
| Street Address 1 | Street Address 2 |
| 888 Boylston St. Suite 1111 | |
| City | State/Province/Country | ZIP/Postal Code |
| Boston | MASSACHUSETTS | 02119 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Thorell | Ann | Marella |
| Street Address 1 | Street Address 2 |
| 267 Great Valley Parkway | |
| City | State/Province/Country | ZIP/Postal Code |
| Malvern | PENNSYLVANIA | 19355 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Zweifach | Sandy | |
| Street Address 1 | Street Address 2 |
| 130 Santa Road Ave. | |
| City | State/Province/Country | ZIP/Postal Code |
| Sausalito | CALIFORNIA | 94965 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
|
o
| Agriculture | | Health Care |
o
| Retailing |
| | Banking & Financial Services | |
o
| Biotechnology |
o
| Restaurants |
| |
o
| Commercial Banking | |
o
| Health Insurance | | Technology |
| |
o
| Insurance | |
o
| Hospitals & Physicians | |
o
| Computers |
| |
o
| Investing | |
x
| Pharmaceuticals | |
o
| Telecommunications |
| |
o
| Investment Banking | |
o
| Other Health Care | |
o
| Other Technology |
| |
o
| Pooled Investment Fund
| | | | | Travel |
| |
o
| Other Banking & Financial Services |
o
| Manufacturing | |
o
| Airlines & Airports |
| | Real Estate | |
o
| Lodging & Conventions |
| |
o
| Commercial | |
o
| Tourism & Travel Services |
| |
o
| Construction | |
o
| Other Travel |
| |
o
| REITS & Finance |
o
| Other |
| |
o
| Residential | |
| |
o
| Other Real Estate | |
|
o
| Business Services | |
| | Energy | |
| |
o
| Coal Mining | |
| |
o
| Electric Utilities | |
| |
o
| Energy Conservation | |
| |
o
| Environmental Services | |
| |
o
| Oil & Gas | |
| |
o
| Other Energy | |
| Revenue Range | Aggregate Net Asset Value Range |
|
x
| No Revenues |
o
| No Aggregate Net Asset Value |
|
o
| $1 - $1,000,000 |
o
| $1 - $5,000,000 |
|
o
| $1,000,001 - $5,000,000 |
o
| $5,000,001 - $25,000,000 |
|
o
| $5,000,001 - $25,000,000 |
o
| $25,000,001 - $50,000,000 |
|
o
| $25,000,001 - $100,000,000 |
o
| $50,000,001 - $100,000,000 |
|
o
| Over $100,000,000 |
o
| Over $100,000,000 |
|
o
| Decline to Disclose |
o
| Decline to Disclose |
|
o
| Not Applicable |
o
| Not Applicable |
| 6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply) |
|
o
| Rule 504(b)(1) (not (i), (ii) or (iii)) |
o
| Rule 505 |
|
o
| Rule 504 (b)(1)(i) |
o
| Rule 506(b) |
|
o
| Rule 504 (b)(1)(ii) |
x
| Rule 506(c) |
|
o
| Rule 504 (b)(1)(iii) |
o
| Securities Act Section 4(a)(5) |
| |
o
| Investment Company Act Section 3(c) |
|
x
| New Notice | Date of First Sale | 2019-08-23 |
o
| First Sale Yet to Occur |
| Does the Issuer intend this offering to last more than one year? |
o
| Yes |
x
| No |
| 9. Type(s) of Securities Offered (select all that apply) |
|
o
| Pooled Investment Fund Interests |
x
| Equity |
|
o
| Tenant-in-Common Securities |
o
| Debt |
|
o
| Mineral Property Securities |
x
| Option, Warrant or Other Right to Acquire Another Security |
|
o
| Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security |
o
| Other (describe) |
| | |
| 10. Business Combination Transaction |
| Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
o
| Yes |
x
| No |
| |
| Clarification of Response (if Necessary) | |
| |
| Minimum investment accepted from any outside investor | $ 0 USD |
| Recipient | Recipient CRD Number |
o
| None |
| Oppenheimer & Co. Inc. | 249 |
| (Associated) Broker or Dealer |
x
| None | (Associated) Broker or Dealer CRD Number |
x
| None |
| | |
| Street Address 1 | Street Address 2 |
| 85 Broad Street | |
| City | State/Province/Country | ZIP/Postal Code |
| New York | NEW YORK | 10004 |
| State(s) of Solicitation |
x
| All States |
o
| Foreign/Non-US |
| |
| Recipient | Recipient CRD Number |
x
| None |
| Bloom Burton & Co. | |
| (Associated) Broker or Dealer |
x
| None | (Associated) Broker or Dealer CRD Number |
x
| None |
| | |
| Street Address 1 | Street Address 2 |
| Suite 300, 65 Front Street East | |
| City | State/Province/Country | ZIP/Postal Code |
| Toronto | ONTARIO, CANADA | M5E 1B5 |
| State(s) of Solicitation |
o
| All States |
x
| Foreign/Non-US |
| |
| 13. Offering and Sales Amounts |
| Total Offering Amount | $ 36000000 USD |
o
Indefinite |
| Total Amount Sold | $ 36000000 USD | |
| Total Remaining to be Sold | $ 0 USD |
o
Indefinite |
| |
| Clarification of Response (if Necessary) |
| |
|
o
| Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
Number of such non-accredited investors who already have invested in the offering
| |
| | Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: | 14 |
| 15. Sales Commissions & Finders' Fees Expenses |
Provide separately the amounts of sales commissions and finders' fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
|
| Sales Commissions | $ 2108785 USD |
o
| Estimate |
| Finders' Fees | $ 0 USD |
o
| Estimate |
| |
| Clarification of Response (if Necessary) |
| |
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. If the amount is unknown, provide an estimate and check the box next to the amount.
|
| | $ 0 USD |
o
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