x NoneEntity Type
0000910267
 
x Corporation
o Limited Partnership
o Limited Liability Company
o General Partnership
o Business Trust
o Other
Name of Issuer
 TITAN PHARMACEUTICALS INC
Jurisdiction of Incorporation/OrganizationDELAWARE 
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 
 TITAN PHARMACEUTICALS INC 
Street Address 1Street Address 2
 400 OYSTER POINT BLVD SUITE 505
CityState/Province/CountryZIP/Postal CodePhone No. of Issuer
 SAN FRANCISCO CALIFORNIA 94080 6502444990 



3. Related Persons
Last NameFirst NameMiddle Name
RubinMarc
Street Address 1Street Address 2
400 Oyster Point Blvd., Suite 505
CityState/Province/CountryZIP/Postal Code
South San FranciscoCALIFORNIA94080
Relationship: x Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last NameFirst NameMiddle Name
BhonsleSunil
Street Address 1Street Address 2
400 Oyster Point Blvd., Suite 505
CityState/Province/CountryZIP/Postal Code
South San FranciscoCALIFORNIA94080
Relationship: x Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last NameFirst NameMiddle Name
DeVarneyKatherine
Street Address 1Street Address 2
400 Oyster Point Blvd., Suite 505
CityState/Province/CountryZIP/Postal Code
South San FranciscoCALIFORNIA94080
Relationship: x Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last NameFirst NameMiddle Name
HallbergDane
Street Address 1Street Address 2
400 Oyster Point Blvd., Suite 505
CityState/Province/CountryZIP/Postal Code
South San FranciscoCALIFORNIA94080
Relationship: x Executive Officer o Director o Promoter
Clarification of Response (if Necessary)
 

 
Last NameFirst NameMiddle Name
AkersJosephA.
Street Address 1Street Address 2
400 Oyster Point Blvd., Suite 505
CityState/Province/CountryZIP/Postal Code
South San FranciscoCALIFORNIA94080
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last NameFirst NameMiddle Name
McFarlaneM.David
Street Address 1Street Address 2
400 Oyster Point Blvd., Suite 505
CityState/Province/CountryZIP/Postal Code
South San FranciscoCALIFORNIA94080
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last NameFirst NameMiddle Name
McNab, Jr.JamesR.
Street Address 1Street Address 2
400 Oyster Point Blvd., Suite 505
CityState/Province/CountryZIP/Postal Code
South San FranciscoCALIFORNIA94080
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last NameFirst NameMiddle Name
SmithScottA.
Street Address 1Street Address 2
400 Oyster Point Blvd., Suite 505
CityState/Province/CountryZIP/Postal Code
South San FranciscoCALIFORNIA94080
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

 


4. Industry Group
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 


5. Issuer Size
Revenue RangeAggregate 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)

7. Type of Filing
x New Notice Date of First Sale 2020-01-09 o First Sale Yet to Occur
o Amendment

8. Duration of Offering
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 o 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) 
  

11. Minimum Investment
Minimum investment accepted from any outside investor$ 0 USD

12. Sales Compensation
RecipientRecipient CRD Number o None
  
(Associated) Broker or Dealer o None(Associated) Broker or Dealer CRD Number o None
  
Street Address 1Street Address 2
  
City State/Province/CountryZIP/Postal Code
   
State(s) of Solicitation o All States
 
 



13. Offering and Sales Amounts
Total Offering Amount $ 2175000 USD o Indefinite
Total Amount Sold $ 2175000 USD 
Total Remaining to be Sold $ 0 USD o Indefinite
 
Clarification of Response (if Necessary)
 Represents private placement warrants to purchase up to 8,700,000 shares of common stock issued in connection with a concurrent registered direct offering. Total Offering Amount includes the securities sold in such concurrent registered direct offering.


14. Investors
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: 5


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$ 0 USD o Estimate
Finders' Fees$ 152250 USD o Estimate
 
Clarification of Response (if Necessary)
 Represents a 7% fee paid pursuant to a placement agency agreement.


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. If the amount is unknown, provide an estimate and check the box next to the amount.
 $ 0 USD o
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