Form D Raw Data - Electronic Filing Depository

EFDID: 260386EFD: Raw Data

Issuer: TM TECHNOLOGIES INC (0000774973) - D

Accession: 0000774973-18-000001 () (EDGAR Files) (Form D)

Edgar Posted: Mar. 27, 2018
EFD Posted: Mar. 27, 2018

- < edgarSubmission >

< schemaVersion > X0708 </ schemaVersion >

< submissionType > D </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0000774973 </ cik >

< entityName > TM TECHNOLOGIES INC </ entityName >

- < issuerAddress >

< street1 > 6969 EAST SUNRISE DRIVE </ street1 >

< street2 > SUITE 100 </ street2 >

< city > TUCSON </ city >

< stateOrCountry > AZ </ stateOrCountry >

< stateOrCountryDescription > ARIZONA </ stateOrCountryDescription >

< zipCode > 85750 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > 520-512-5299 </ issuerPhoneNumber >

< jurisdictionOfInc > DELAWARE </ jurisdictionOfInc >

- < issuerPreviousNameList >

< value > None </ value >

</ issuerPreviousNameList >

- < edgarPreviousNameList >

< value > None </ value >

</ edgarPreviousNameList >

< entityType > Corporation </ entityType >

- < yearOfInc >

< withinFiveYears > true </ withinFiveYears >

< value > 2013 </ value >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Daniel </ firstName >

< lastName > Hodges </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 6969 East Sunrise Drive </ street1 >

< street2 > Suite 100 </ street2 >

< city > Tucson </ city >

< stateOrCountry > AZ </ stateOrCountry >

< stateOrCountryDescription > ARIZONA </ stateOrCountryDescription >

< zipCode > 83750 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Chief Executive Officer and Chairman of the Board of the Directors </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Michael </ firstName >

< lastName > Powell </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 6969 East Sunrise Drive </ street1 >

< street2 > Suite 100 </ street2 >

< city > Tucson </ city >

< stateOrCountry > AZ </ stateOrCountry >

< stateOrCountryDescription > ARIZONA </ stateOrCountryDescription >

< zipCode > 83750 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Chief Operations Officer </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Albert </ firstName >

< lastName > White </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 6969 East Sunrise Drive </ street1 >

< street2 > Suite 100 </ street2 >

< city > Tucson </ city >

< stateOrCountry > AZ </ stateOrCountry >

< stateOrCountryDescription > ARIZONA </ stateOrCountryDescription >

< zipCode > 83750 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > John </ firstName >

< lastName > Steinmetz </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 6969 East Sunrise Drive </ street1 >

< street2 > Suite 100 </ street2 >

< city > Tucson </ city >

< stateOrCountry > AZ </ stateOrCountry >

< stateOrCountryDescription > ARIZONA </ stateOrCountryDescription >

< zipCode > 83750 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Brent </ firstName >

< lastName > Davies </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 6969 East Sunrise Drive </ street1 >

< street2 > Suite 100 </ street2 >

< city > Tucson </ city >

< stateOrCountry > AZ </ stateOrCountry >

< stateOrCountryDescription > ARIZONA </ stateOrCountryDescription >

< zipCode > 83750 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Chief Financial Officer and Director </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Dr. Jodhvir </ firstName >

< lastName > Sarai </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 6969 East Sunrise Drive </ street1 >

< street2 > Suite 100 </ street2 >

< city > Tucson </ city >

< stateOrCountry > AZ </ stateOrCountry >

< stateOrCountryDescription > ARIZONA </ stateOrCountryDescription >

< zipCode > 83750 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Kevin </ firstName >

< lastName > Sherlock </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 6969 East Sunrise Drive </ street1 >

< street2 > Suite 100 </ street2 >

< city > Tucson </ city >

< stateOrCountry > AZ </ stateOrCountry >

< stateOrCountryDescription > ARIZONA </ stateOrCountryDescription >

< zipCode > 83750 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > General Counsel and Director </ relationshipClarification >

</ relatedPersonInfo >

</ relatedPersonsList >

- < offeringData >

- < industryGroup >

< industryGroupType > Other Technology </ industryGroupType >

</ industryGroup >

- < issuerSize >

< revenueRange > Decline to Disclose </ revenueRange >

</ issuerSize >

- < federalExemptionsExclusions >

< item > 06b </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > false </ isAmendment >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2018-03-08 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > false </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isDebtType > true </ isDebtType >

< isOptionToAcquireType > true </ isOptionToAcquireType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 25000 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > TerraNova Capital Equities, Inc. </ recipientName >

< recipientCRDNumber > 45097 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 733 Third Avenue </ street1 >

< street2 > 15th Floor </ street2 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10017 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

< state > AK </ state >

< description > ALASKA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > VT </ state >

< description > VERMONT </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > 2000000 </ totalOfferingAmount >

< totalAmountSold > 690000 </ totalAmountSold >

< totalRemaining > 1310000 </ totalRemaining >

< clarificationOfResponse > Total offering amount includes option to sell an additional $500,000 of debt securities to cover over-subscriptions. </ clarificationOfResponse >

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 11 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 200000 </ dollarAmount >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

< clarificationOfResponse > The max compensation consists of (i) a cash fee equal to 10% of the gross sales price of any securities sold, and (ii) 5-year warrants to purchase up to 10% of the number of shares of Common Stock underlying the securities sold at $5/share </ clarificationOfResponse >

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 0 </ dollarAmount >

</ grossProceedsUsed >

< clarificationOfResponse />

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > TM TECHNOLOGIES INC </ issuerName >

< signatureName > Daniel Hodges </ signatureName >

< nameOfSigner > Daniel Hodges </ nameOfSigner >

< signatureTitle > Chief Executive Officer and President </ signatureTitle >

< signatureDate > 2018-03-27 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >