Form D Raw Data - Electronic Filing Depository

EFDID: 310445EFD: Raw Data

Issuer: Summit Wireless Technologies, Inc. (0001682149) - D

Accession: 0001144204-19-021198 () (EDGAR Files) (Form D)

Edgar Posted: Apr. 25, 2019
EFD Posted: Apr. 25, 2019

- < edgarSubmission >

< schemaVersion > X0708 </ schemaVersion >

< submissionType > D </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001682149 </ cik >

< entityName > Summit Wireless Technologies, Inc. </ entityName >

- < issuerAddress >

< street1 > 6840 VIA DEL ORO, SUITE 280 </ street1 >

< city > SAN JOSE </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 95119 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > (408) 627-4716 </ issuerPhoneNumber >

< jurisdictionOfInc > DELAWARE </ jurisdictionOfInc >

- < issuerPreviousNameList >

< previousName > Summit Semiconductor, Inc. </ previousName >

< previousName > Summit Semiconductor LLC </ previousName >

</ issuerPreviousNameList >

- < edgarPreviousNameList >

< previousName > Summit Semiconductor Inc. </ previousName >

< previousName > SUMMIT SEMICONDUCTOR </ previousName >

< previousName > SUMMIT SEMICONDUCTOR INC. </ previousName >

</ edgarPreviousNameList >

< entityType > Corporation </ entityType >

- < yearOfInc >

< overFiveYears > true </ overFiveYears >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Jonathan </ firstName >

< lastName > Gazdak </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > c/o 6840 Via Del Oro, Suite 280 </ street1 >

< city > San Jose </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 95119 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Jeffrey </ firstName >

< middleName > M. </ middleName >

< lastName > Gilbert </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > c/o 6840 Via Del Oro, Suite 280 </ street1 >

< city > San Jose </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 95119 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Helge </ firstName >

< lastName > Kristensen </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > c/o 6840 Via Del Oro, Suite 280 </ street1 >

< city > San Jose </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 95119 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Sam </ firstName >

< lastName > Runco </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > c/o 6840 Via Del Oro, Suite 280 </ street1 >

< city > San Jose </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 95119 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Brett </ firstName >

< lastName > Moyer </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > c/o 6840 Via Del Oro, Suite 280 </ street1 >

< city > San Jose </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 95119 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Gary </ firstName >

< lastName > Williams </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > c/o 6840 Via Del Oro, Suite 280 </ street1 >

< city > San Jose </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 95119 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Michael </ firstName >

< middleName > A. </ middleName >

< lastName > Fazio </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > c/o 6840 Via Del Oro, Suite 280 </ street1 >

< street2 > Second Floor </ street2 >

< city > San Jose </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 95119 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Brian </ firstName >

< lastName > Herr </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > c/o 6840 Via Del Oro, Suite 280 </ street1 >

< street2 > Second Floor </ street2 >

< city > San Jose </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 95119 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Michael </ firstName >

< lastName > Howse </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > c/o 6840 Via Del Oro, Suite 280 </ street1 >

< street2 > Second Floor </ street2 >

< city > San Jose </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 95119 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

</ 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 > 2019-04-18 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > false </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isEquityType > true </ isEquityType >

< isOptionToAcquireType > true </ isOptionToAcquireType >

< isSecurityToBeAcquiredType > true </ isSecurityToBeAcquiredType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 1000000 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > Alexander Capital, L.P. </ recipientName >

< recipientCRDNumber > 40077 </ recipientCRDNumber >

< associatedBDName > Jonathan Gazdak </ associatedBDName >

< associatedBDCRDNumber > 5678294 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 17 STATE STREET, 5TH FLOOR </ street1 >

< city > NEW YORK </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10004 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > 5000000 </ totalOfferingAmount >

< totalAmountSold > 1000000 </ totalAmountSold >

< totalRemaining > 4000000 </ totalRemaining >

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 1 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 80000 </ dollarAmount >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

< clarificationOfResponse > Alexander receives 8% of the price paid on each closing, expenses not to exceed $1,000 without issuer's consent, and a warrant for up to 8% of the common stock that could be converted from the preferred stock issued to such investors on such closing. </ clarificationOfResponse >

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 0 </ dollarAmount >

</ grossProceedsUsed >

< clarificationOfResponse > Such amount does not include any compensation that may be paid to Jonathan Gazdak, a director of the issuer, due to his position as an associated person of Alexander Capital, L.P. </ clarificationOfResponse >

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > Summit Wireless Technologies, Inc. </ issuerName >

< signatureName > /s/ Gary Williams </ signatureName >

< nameOfSigner > Gary Williams </ nameOfSigner >

< signatureTitle > Chief Financial Officer </ signatureTitle >

< signatureDate > 2019-04-24 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >