Form D Raw Data - Electronic Filing Depository

EFDID: 97485EFD: Raw Data

Issuer: PUTNEY INC (0001397602) - D

Accession: 0001397602-14-000003 () (EDGAR Files) (Form D)

Edgar Posted: Jun. 19, 2014
EFD Posted: Aug. 8, 2014

- < edgarSubmission >

< schemaVersion > X0707 </ schemaVersion >

< submissionType > D </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001397602 </ cik >

< entityName > PUTNEY INC </ entityName >

- < issuerAddress >

< street1 > ONE MONUMENT SQUARE </ street1 >

< street2 > SUITE 400 </ street2 >

< city > PORTLAND </ city >

< stateOrCountry > ME </ stateOrCountry >

< stateOrCountryDescription > MAINE </ stateOrCountryDescription >

< zipCode > 04101 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > 207-828-0880 </ issuerPhoneNumber >

< jurisdictionOfInc > DELAWARE </ jurisdictionOfInc >

- < issuerPreviousNameList >

< value > None </ value >

</ issuerPreviousNameList >

- < edgarPreviousNameList >

< value > None </ value >

</ edgarPreviousNameList >

< entityType > Corporation </ entityType >

- < yearOfInc >

< overFiveYears > true </ overFiveYears >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Jean </ firstName >

< lastName > Hoffman </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > One Monument Square </ street1 >

< street2 > Suite 400 </ street2 >

< city > Portland </ city >

< stateOrCountry > ME </ stateOrCountry >

< stateOrCountryDescription > MAINE </ stateOrCountryDescription >

< zipCode > 04101 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Christopher </ firstName >

< lastName > Lewis </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > One Monument Square </ street1 >

< street2 > Suite 400 </ street2 >

< city > Portland </ city >

< stateOrCountry > ME </ stateOrCountry >

< stateOrCountryDescription > MAINE </ stateOrCountryDescription >

< zipCode > 04101 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Barry </ firstName >

< middleName > R. </ middleName >

< lastName > Edwards </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > One Monument Square </ street1 >

< street2 > Suite 400 </ street2 >

< city > Portland </ city >

< stateOrCountry > ME </ stateOrCountry >

< stateOrCountryDescription > MAINE </ stateOrCountryDescription >

< zipCode > 04101 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Shyam </ firstName >

< middleName > S. </ middleName >

< lastName > Bhartia </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > One Monument Square </ street1 >

< street2 > Suite 400 </ street2 >

< city > Portland </ city >

< stateOrCountry > ME </ stateOrCountry >

< stateOrCountryDescription > MAINE </ stateOrCountryDescription >

< zipCode > 04101 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > B. </ firstName >

< middleName > Lance </ middleName >

< lastName > Sauerteig </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > One Monument Square </ street1 >

< street2 > Suite 400 </ street2 >

< city > Portland </ city >

< stateOrCountry > ME </ stateOrCountry >

< stateOrCountryDescription > MAINE </ stateOrCountryDescription >

< zipCode > 04101 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > E. </ firstName >

< middleName > Thomas </ middleName >

< lastName > Corcoran </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > One Monument Square </ street1 >

< street2 > Suite 400 </ street2 >

< city > Portland </ city >

< stateOrCountry > ME </ stateOrCountry >

< stateOrCountryDescription > MAINE </ stateOrCountryDescription >

< zipCode > 04101 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Bruce </ firstName >

< middleName > L. </ middleName >

< lastName > Downey </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > One Monument Square </ street1 >

< street2 > Suite 400 </ street2 >

< city > Portland </ city >

< stateOrCountry > ME </ stateOrCountry >

< stateOrCountryDescription > MAINE </ stateOrCountryDescription >

< zipCode > 04101 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Stephen </ firstName >

< middleName > T. </ middleName >

< lastName > Zarrilli </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > One Monument Square </ street1 >

< street2 > Suite 400 </ street2 >

< city > Portland </ city >

< stateOrCountry > ME </ stateOrCountry >

< stateOrCountryDescription > MAINE </ stateOrCountryDescription >

< zipCode > 04101 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

</ relatedPersonsList >

- < offeringData >

- < industryGroup >

< industryGroupType > Pharmaceuticals </ industryGroupType >

</ industryGroup >

- < issuerSize >

< revenueRange > Decline to Disclose </ revenueRange >

</ issuerSize >

- < federalExemptionsExclusions >

< item > 06b </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > false </ isAmendment >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2014-06-06 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > false </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isEquityType > true </ isEquityType >

< isSecurityToBeAcquiredType > true </ isSecurityToBeAcquiredType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 0 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > First Analysis Securities Corporation </ recipientName >

< recipientCRDNumber > 10446 </ recipientCRDNumber >

< associatedBDName > First Analysis Securities Corporation </ associatedBDName >

< associatedBDCRDNumber > 10446 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > One South Wacker Drive </ street1 >

< street2 > Suite 3900 </ street2 >

< city > Chicago </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60606 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > 16056308 </ totalOfferingAmount >

< totalAmountSold > 16056308 </ totalAmountSold >

< totalRemaining > 0 </ totalRemaining >

< clarificationOfResponse />

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 39 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 321126 </ dollarAmount >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

< clarificationOfResponse />

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 0 </ dollarAmount >

</ grossProceedsUsed >

< clarificationOfResponse />

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > PUTNEY INC </ issuerName >

< signatureName > /s/ Jean Hoffman </ signatureName >

< nameOfSigner > Jean Hoffman </ nameOfSigner >

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

< signatureDate > 2014-06-18 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >