Small Company Offering and Sale of Securities Without Registration (d)
June 12 2020 - 12:19PM
Edgar (US Regulatory)
x
NoneEntity Type | 0001719714 | |
o
Corporation
o
Limited Partnership
o
Limited Liability Company
o
General Partnership
o
Business Trust
x
Other
Public Limited Company |
| Name of Issuer |
Mereo Biopharma Group plc |
| Jurisdiction of Incorporation/Organization |
| UNITED KINGDOM |
| |
| 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 | |
| Mereo Biopharma Group plc | |
| Street Address 1 | Street Address 2 |
| 1 CAVENDISH PLACE | |
| City | State/Province/Country | ZIP/Postal Code | Phone No. of Issuer |
| LONDON | UNITED KINGDOM | W1G 0QF | +44 333 0237 300 |
| Last Name | First Name | Middle Name |
| Scots-Knight | Dr. Denise | |
| Street Address 1 | Street Address 2 |
| 1 Cavendish Place | |
| City | State/Province/Country | ZIP/Postal Code |
| London | UNITED KINGDOM | W1G 0QF |
| Relationship: |
x
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | Chief Executive Officer and Co-Founder |
| Last Name | First Name | Middle Name |
| Fellner | Dr. Peter | |
| Street Address 1 | Street Address 2 |
| 1 Cavendish Place | |
| City | State/Province/Country | ZIP/Postal Code |
| London | UNITED KINGDOM | W1G 0QF |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | Chairman |
| Last Name | First Name | Middle Name |
| Ekblom | Dr. Anders | |
| Street Address 1 | Street Address 2 |
| 1 Cavendish Place | |
| City | State/Province/Country | ZIP/Postal Code |
| London | UNITED KINGDOM | W1G 0QF |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | Non-Executive Director |
| Last Name | First Name | Middle Name |
| Bains | Peter | |
| Street Address 1 | Street Address 2 |
| 1 Cavendish Place | |
| City | State/Province/Country | ZIP/Postal Code |
| London | UNITED KINGDOM | W1G 0QF |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | Non-Executive Director |
| Last Name | First Name | Middle Name |
| Kashyap | Kunal | |
| Street Address 1 | Street Address 2 |
| 1 Cavendish Place | |
| City | State/Province/Country | ZIP/Postal Code |
| London | UNITED KINGDOM | W1G 0QF |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | Non-Executive Director |
| Last Name | First Name | Middle Name |
| Blackburn | Paul | |
| Street Address 1 | Street Address 2 |
| 1 Cavendish Place | |
| City | State/Province/Country | ZIP/Postal Code |
| London | UNITED KINGDOM | W1G 0QF |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | Non-Executive Director |
| Last Name | First Name | Middle Name |
| Wyzga | Michael | |
| Street Address 1 | Street Address 2 |
| 1 Cavendish Place | |
| City | State/Province/Country | ZIP/Postal Code |
| London | UNITED KINGDOM | W1G 0QF |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | Non-Executive Director |
| Last Name | First Name | Middle Name |
| Pakianathan | Dr. Deepa | |
| Street Address 1 | Street Address 2 |
| 1 Cavendish Place | |
| City | State/Province/Country | ZIP/Postal Code |
| London | UNITED KINGDOM | W1G 0QF |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | Non-Executive Director |
| Last Name | First Name | Middle Name |
| Jones | Richard | |
| Street Address 1 | Street Address 2 |
| 1 Cavendish Place | |
| City | State/Province/Country | ZIP/Postal Code |
| London | UNITED KINGDOM | W1G 0QF |
| Relationship: |
x
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | Chief Financial Officer |
| Last Name | First Name | Middle Name |
| Sermon | Charles | |
| Street Address 1 | Street Address 2 |
| 1 Cavendish Place | |
| City | State/Province/Country | ZIP/Postal Code |
| London | UNITED KINGDOM | W1G 0QF |
| Relationship: |
x
| Executive Officer |
o
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | General Counsel and Co-Founder |
| Last Name | First Name | Middle Name |
| MacKinnon | Dr. Alastair | |
| Street Address 1 | Street Address 2 |
| 1 Cavendish Place | |
| City | State/Province/Country | ZIP/Postal Code |
| London | UNITED KINGDOM | W1G 0QF |
| Relationship: |
x
| Executive Officer |
o
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | Chief Medical Officer and Co-Founder |
| Last Name | First Name | Middle Name |
| Richard | John | |
| Street Address 1 | Street Address 2 |
| 1 Cavendish Place | |
| City | State/Province/Country | ZIP/Postal Code |
| London | UNITED KINGDOM | W1G 0QF |
| Relationship: |
x
| Executive Officer |
o
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | Head of Corporate Development and Co-Founder |
| Last Name | First Name | Middle Name |
| Henrich | Jill | |
| Street Address 1 | Street Address 2 |
| 1 Cavendish Place | |
| City | State/Province/Country | ZIP/Postal Code |
| London | UNITED KINGDOM | W1G 0QF |
| Relationship: |
x
| Executive Officer |
o
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | Senior Vice President |
|
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 |
|
o
| 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 |
|
x
| 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) |
x
| Rule 506(b) |
|
o
| Rule 504 (b)(1)(ii) |
o
| 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 | 2020-06-03 |
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 |
|
x
| 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 | $ 1 USD |
| Recipient | Recipient CRD Number |
o
| None |
| SVB Leerink LLC | 39011 |
| (Associated) Broker or Dealer |
x
| None | (Associated) Broker or Dealer CRD Number |
x
| None |
| | |
| Street Address 1 | Street Address 2 |
| 1 Federal Street | 37th Floor |
| City | State/Province/Country | ZIP/Postal Code |
| Boston | MASSACHUSETTS | 02110 |
| State(s) of Solicitation |
o
| All States |
o
| Foreign/Non-US |
ALABAMA
ALASKA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
HAWAII
IDAHO
ILLINOIS
INDIANA
IOWA
KANSAS
KENTUCKY
LOUISIANA
MAINE
MARYLAND
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSISSIPPI
MISSOURI
MONTANA
NEBRASKA
NEVADA
NEW HAMPSHIRE
NEW JERSEY
NEW MEXICO
NEW YORK
NORTH CAROLINA
NORTH DAKOTA
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
RHODE ISLAND
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
VERMONT
VIRGINIA
WASHINGTON
WEST VIRGINIA
WISCONSIN
WYOMING
|
| 13. Offering and Sales Amounts |
| Total Offering Amount | $ 70000000 USD |
o
Indefinite |
| Total Amount Sold | $ 70000000 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: | 25 |
| 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 | $ 4200000 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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