Form D Raw Data - Electronic Filing Depository

EFDID: 373515EFD: Raw Data

Issuer: Ashvattha Therapeutics, Inc. (0001668528) - D

Accession: 0001104659-21-060161 () (EDGAR Files) (Form D)

Edgar Posted: May. 3, 2021
EFD Posted: May. 3, 2021

- < edgarSubmission >

< schemaVersion > X0708 </ schemaVersion >

< submissionType > D </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001668528 </ cik >

< entityName > Ashvattha Therapeutics, Inc. </ entityName >

- < issuerAddress >

< street1 > 1235 RADIO ROAD, SUITE 200 </ street1 >

< city > REDWOOD CITY </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94065 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > (650) 868-5853 </ issuerPhoneNumber >

< jurisdictionOfInc > CALIFORNIA </ jurisdictionOfInc >

- < issuerPreviousNameList >

< value > None </ value >

</ issuerPreviousNameList >

- < edgarPreviousNameList >

< previousName > Ashvattha Therapeutics, LLC </ previousName >

</ edgarPreviousNameList >

< entityType > Corporation </ entityType >

- < yearOfInc >

< overFiveYears > true </ overFiveYears >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Jeffrey </ firstName >

< lastName > Cleland </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 255 Aberdeen Drive </ street1 >

< city > San Carlos </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94070 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Sujatha </ firstName >

< lastName > Kannan </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 6840 Green Hollow Way </ street1 >

< city > Highland </ city >

< stateOrCountry > MD </ stateOrCountry >

< stateOrCountryDescription > MARYLAND </ stateOrCountryDescription >

< zipCode > 20777 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Kannan </ firstName >

< lastName > Rangaramanujam </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 6840 Green Hollow Way </ street1 >

< city > Highland </ city >

< stateOrCountry > MD </ stateOrCountry >

< stateOrCountryDescription > MARYLAND </ stateOrCountryDescription >

< zipCode > 20777 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Barbara </ firstName >

< lastName > Slusher </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 1235 Radio Road, Suite 200 </ street1 >

< city > Redwood City </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94065 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Jay </ firstName >

< lastName > Zaveri </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 1235 Radio Road, Suite 200 </ street1 >

< city > Redwood City </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94065 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > George </ firstName >

< lastName > Montgomery </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 1235 Radio Road, Suite 200 </ street1 >

< city > Redwood City </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94065 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

</ relatedPersonInfo >

</ relatedPersonsList >

- < offeringData >

- < industryGroup >

< industryGroupType > Biotechnology </ industryGroupType >

</ industryGroup >

- < issuerSize >

< revenueRange > Decline to Disclose </ revenueRange >

</ issuerSize >

- < federalExemptionsExclusions >

< item > 06b </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > false </ isAmendment >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2021-04-16 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > false </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isEquityType > true </ isEquityType >

< isOptionToAcquireType > true </ isOptionToAcquireType >

< isOtherType > true </ isOtherType >

< descriptionOfOtherType > Convertible notes and warrants </ descriptionOfOtherType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 0 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > GP Nurmenkari Inc. </ recipientName >

< recipientCRDNumber > 153480 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 22 ELIZABETH STREET, </ street1 >

< street2 > SONO SQUARE, SUITE 1J </ street2 >

< city > NORWALK </ city >

< stateOrCountry > CT </ stateOrCountry >

< stateOrCountryDescription > CONNECTICUT </ stateOrCountryDescription >

< zipCode > 06854 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > VT </ state >

< description > VERMONT </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > 9564619 </ totalOfferingAmount >

< totalAmountSold > 7725000 </ totalAmountSold >

< totalRemaining > 1839619 </ totalRemaining >

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 39 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 618000 </ dollarAmount >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

< clarificationOfResponse > GP Nurmenkari Inc. is entitled to 8% of the gross proceeds of its portion of the offering and warrants amounting to 8% of the gross proceeds of its portion of the offering. </ clarificationOfResponse >

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 0 </ dollarAmount >

</ grossProceedsUsed >

< clarificationOfResponse />

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > Ashvattha Therapeutics, Inc. </ issuerName >

< signatureName > /s/ Jeffrey Cleland </ signatureName >

< nameOfSigner > Jeffrey Cleland </ nameOfSigner >

< signatureTitle > President </ signatureTitle >

< signatureDate > 2021-04-29 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >