Form D Raw Data - Electronic Filing Depository

EFDID: 487837EFD: Raw Data

Issuer: SmartKem, Inc. (0001817760) - D/A

Accession: 0001493152-23-022768 () (EDGAR Files) (Form D)

Edgar Posted: Jun. 28, 2023
EFD Posted: Jun. 28, 2023

- < edgarSubmission >

< schemaVersion > X0708 </ schemaVersion >

< submissionType > D/A </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001817760 </ cik >

< entityName > SmartKem, Inc. </ entityName >

- < issuerAddress >

< street1 > MANCHESTER TECHNOLOGY CENTER </ street1 >

< street2 > HEXAGON TOWER, DELAUNAYS ROAD, BLACKLEY </ street2 >

< city > MANCHESTER </ city >

< stateOrCountry > X0 </ stateOrCountry >

< stateOrCountryDescription > UNITED KINGDOM </ stateOrCountryDescription >

< zipCode > M9 8GQ </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > 011-44-161-721-1514 </ issuerPhoneNumber >

< jurisdictionOfInc > DELAWARE </ jurisdictionOfInc >

- < issuerPreviousNameList >

< value > None </ value >

</ issuerPreviousNameList >

- < edgarPreviousNameList >

< previousName > Parasol Investments Corp </ previousName >

</ edgarPreviousNameList >

< entityType > Corporation </ entityType >

- < yearOfInc >

< withinFiveYears > true </ withinFiveYears >

< value > 2020 </ value >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Ian </ firstName >

< lastName > Jenks </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > Manchester Technology Ctr, Hexagon Tower </ street1 >

< street2 > Delaunays Rd., Blackley </ street2 >

< city > Manchester </ city >

< stateOrCountry > X0 </ stateOrCountry >

< stateOrCountryDescription > UNITED KINGDOM </ stateOrCountryDescription >

< zipCode > M9 8GQ </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Barbra </ firstName >

< lastName > Keck </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > Manchester Technology Ctr, Hexagon Tower </ street1 >

< street2 > Delaunays Rd., Blackley </ street2 >

< city > Manchester </ city >

< stateOrCountry > X0 </ stateOrCountry >

< stateOrCountryDescription > UNITED KINGDOM </ stateOrCountryDescription >

< zipCode > M9 8GQ </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Steven </ firstName >

< lastName > DenBaars </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > Manchester Technology Ctr, Hexagon Tower </ street1 >

< street2 > Delaunays Rd., Blackley </ street2 >

< city > Manchester </ city >

< stateOrCountry > X0 </ stateOrCountry >

< stateOrCountryDescription > UNITED KINGDOM </ stateOrCountryDescription >

< zipCode > M9 8GQ </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Klaas </ firstName >

< lastName > de Boer </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > Manchester Technology Ctr, Hexagon Tower </ street1 >

< street2 > Delaunays Rd., Blackley </ street2 >

< city > Manchester </ city >

< stateOrCountry > X0 </ stateOrCountry >

< stateOrCountryDescription > UNITED KINGDOM </ stateOrCountryDescription >

< zipCode > M9 8GQ </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Beverley </ firstName >

< lastName > Brown </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > Manchester Technology Ctr, Hexagon Tower </ street1 >

< street2 > Delaunays Rd., Blackley </ street2 >

< city > Manchester </ city >

< stateOrCountry > X0 </ stateOrCountry >

< stateOrCountryDescription > UNITED KINGDOM </ stateOrCountryDescription >

< zipCode > M9 8GQ </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Simon </ firstName >

< lastName > Ogier </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > Manchester Technology Ctr, Hexagon Tower </ street1 >

< street2 > Delaunays Rd., Blackley </ street2 >

< city > Manchester </ city >

< stateOrCountry > X0 </ stateOrCountry >

< stateOrCountryDescription > UNITED KINGDOM </ stateOrCountryDescription >

< zipCode > M9 8GQ </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ 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 > true </ isAmendment >

< previousAccessionNumber > 0001493152-23-022016 </ previousAccessionNumber >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2023-06-14 </ 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 > 0 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > Dawson James Securities, Inc. </ recipientName >

< recipientCRDNumber > 130645 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 101 NORTH FEDERAL HIGHWAY </ street1 >

< street2 > SUITE 600 </ street2 >

< city > BOCA RATON </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33432 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Katalyst Securities LLC </ recipientName >

< recipientCRDNumber > 112494 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 655 THIRD AVENUE </ street1 >

< street2 > 18TH FLOOR </ street2 >

< city > NEW YORK </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10017 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > 14329065 </ totalOfferingAmount >

< totalAmountSold > 14329065 </ totalAmountSold >

< totalRemaining > 0 </ totalRemaining >

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 89 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 1146030 </ dollarAmount >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

< clarificationOfResponse />

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 0 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ grossProceedsUsed >

< clarificationOfResponse > The Company shall use the net proceeds from the sale for working capital purposes. </ clarificationOfResponse >

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > SmartKem, Inc. </ issuerName >

< signatureName > /s/ Barbra Keck </ signatureName >

< nameOfSigner > Barbra Keck </ nameOfSigner >

< signatureTitle > Chief Financial Officer </ signatureTitle >

< signatureDate > 2023-06-28 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >