Form D Raw Data - Electronic Filing Depository

EFDID: 236407EFD: Raw Data

Issuer: ALUNG TECHNOLOGIES INC (0001179295) - D/A

Accession: 0001179295-17-000005 () (EDGAR Files) (Form D)

Edgar Posted: Dec. 12, 2017
EFD Posted: Dec. 12, 2017

- < edgarSubmission >

< schemaVersion > X0708 </ schemaVersion >

< submissionType > D/A </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001179295 </ cik >

< entityName > ALUNG TECHNOLOGIES INC </ entityName >

- < issuerAddress >

< street1 > 2500 JANE STREET </ street1 >

< street2 > SUITE 1 </ street2 >

< city > PITTSBURGH </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 15203 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > 412-697-3370 </ issuerPhoneNumber >

< jurisdictionOfInc > PENNSYLVANIA </ jurisdictionOfInc >

- < issuerPreviousNameList >

< value > None </ value >

</ issuerPreviousNameList >

- < edgarPreviousNameList >

< value > None </ value >

</ edgarPreviousNameList >

< entityType > Corporation </ entityType >

- < yearOfInc >

< overFiveYears > true </ overFiveYears >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Peter </ firstName >

< middleName > M. </ middleName >

< lastName > DeComo </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 2500 Jane St. </ street1 >

< street2 > Suite 1 </ street2 >

< city > Pittsburgh </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 15203 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Gerald </ firstName >

< middleName > E. </ middleName >

< lastName > McGinnis </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 2500 Jane St. </ street1 >

< street2 > Suite 1 </ street2 >

< city > Pittsburgh </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 15203 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Kraig </ firstName >

< middleName > J. </ middleName >

< lastName > McEwen </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 2500 Jane St. </ street1 >

< street2 > Suite 1 </ street2 >

< city > Pittsburgh </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 15203 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Gary </ firstName >

< middleName > G. </ middleName >

< lastName > Glausser </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 2500 Jane St. </ street1 >

< street2 > Suite 1 </ street2 >

< city > Pittsburgh </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 15203 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > John </ firstName >

< middleName > E. </ middleName >

< lastName > McIlwraith </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 2500 Jane St. </ street1 >

< street2 > Suite 1 </ street2 >

< city > Pittsburgh </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 15203 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > David </ firstName >

< middleName > J. </ middleName >

< lastName > Haffner </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 2500 Jane St. </ street1 >

< street2 > Suite 1 </ street2 >

< city > Pittsburgh </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 15203 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Jeanne </ firstName >

< lastName > Cunicelli </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 2500 Jane St. </ street1 >

< street2 > Suite 1 </ street2 >

< city > Pittsburgh </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 15203 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Adam </ firstName >

< lastName > Seiver </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 2500 Jane St. </ street1 >

< street2 > Suite 1 </ street2 >

< city > Pittsburgh </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 15203 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

</ relatedPersonsList >

- < offeringData >

- < industryGroup >

< industryGroupType > Biotechnology </ industryGroupType >

</ industryGroup >

- < issuerSize >

< revenueRange > Decline to Disclose </ revenueRange >

</ issuerSize >

- < federalExemptionsExclusions >

< item > 06b </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > true </ isAmendment >

< previousAccessionNumber > 0001179295-17-000004 </ previousAccessionNumber >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2017-03-31 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > false </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isEquityType > true </ isEquityType >

< isOptionToAcquireType > true </ isOptionToAcquireType >

< isSecurityToBeAcquiredType > true </ isSecurityToBeAcquiredType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 0 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > Raymond James & Associates, Inc. </ recipientName >

< recipientCRDNumber > 705 </ recipientCRDNumber >

< associatedBDName > Kee Colen </ associatedBDName >

< associatedBDCRDNumber > 2004801 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 277 Park Avenue </ street1 >

< street2 > Fourth Floor </ street2 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10172 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > 42646843 </ totalOfferingAmount >

< totalAmountSold > 37544283 </ totalAmountSold >

< totalRemaining > 5102560 </ totalRemaining >

< clarificationOfResponse > Total offering amount includes conversion of $14,602,237 in convertible notes. The is the final closing of this offering and no further sales will be made. </ clarificationOfResponse >

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 96 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 1470000 </ dollarAmount >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

< clarificationOfResponse > Included warrants issued in connection with the offering totaling $430,000. </ clarificationOfResponse >

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 0 </ dollarAmount >

</ grossProceedsUsed >

< clarificationOfResponse />

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > ALUNG TECHNOLOGIES INC </ issuerName >

< signatureName > David J. Haffner </ signatureName >

< nameOfSigner > David J. Haffner </ nameOfSigner >

< signatureTitle > EVP, COO, CFO </ signatureTitle >

< signatureDate > 2017-12-12 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >