Form D Raw Data - Electronic Filing Depository

EFDID: 167539EFD: Raw Data

Issuer: Thetis Pharmaceuticals LLC (0001528491) - D/A

Accession: 0001528491-17-000001 () (EDGAR Files) (Form D)

Edgar Posted: Jan. 17, 2017
EFD Posted: Jan. 17, 2017

- < edgarSubmission >

< schemaVersion > X0707 </ schemaVersion >

< submissionType > D/A </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001528491 </ cik >

< entityName > Thetis Pharmaceuticals LLC </ entityName >

- < issuerAddress >

< street1 > 167 OLD POST ROAD </ street1 >

< street2 > 2ND FLOOR </ street2 >

< city > SOUTHPORT </ city >

< stateOrCountry > CT </ stateOrCountry >

< stateOrCountryDescription > CONNECTICUT </ stateOrCountryDescription >

< zipCode > 06890 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > 203-431-2446 </ issuerPhoneNumber >

< jurisdictionOfInc > CONNECTICUT </ jurisdictionOfInc >

- < issuerPreviousNameList >

< value > None </ value >

</ issuerPreviousNameList >

- < edgarPreviousNameList >

< value > None </ value >

</ edgarPreviousNameList >

< entityType > Limited Liability Company </ entityType >

- < yearOfInc >

< overFiveYears > true </ overFiveYears >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Gary </ firstName >

< middleName > F </ middleName >

< lastName > Mathias </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 167 Old Post Road </ street1 >

< street2 > 2nd Floor </ street2 >

< city > Southport </ city >

< stateOrCountry > CT </ stateOrCountry >

< stateOrCountryDescription > CONNECTICUT </ stateOrCountryDescription >

< zipCode > 06890 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Manager & Chief Executive Officer </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Walter </ firstName >

< lastName > Ogier </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 443 Main Street </ street1 >

< city > Winchester </ city >

< stateOrCountry > MA </ stateOrCountry >

< stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >

< zipCode > 01890 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Manager </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Frank </ firstName >

< middleName > C </ middleName >

< lastName > Sciavolino </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 51 Oswegatchie Road </ street1 >

< city > Waterford </ city >

< stateOrCountry > CT </ stateOrCountry >

< stateOrCountryDescription > CONNECTICUT </ stateOrCountryDescription >

< zipCode > 06385 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Manager, President and Chief Scientific Officer </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > David </ firstName >

< middleName > M </ middleName >

< lastName > Wurzer </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > c/o Connecticut Innovations Inc. </ street1 >

< street2 > 885 Brook Street </ street2 >

< city > Rocky Hill </ city >

< stateOrCountry > CT </ stateOrCountry >

< stateOrCountryDescription > CONNECTICUT </ stateOrCountryDescription >

< zipCode > 06087 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Manager </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Dennis </ firstName >

< middleName > F </ middleName >

< lastName > Willson </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 471 Timber Lane </ street1 >

< city > Devon </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 19333 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Manager </ relationshipClarification >

</ relatedPersonInfo >

</ relatedPersonsList >

- < offeringData >

- < industryGroup >

< industryGroupType > Pharmaceuticals </ industryGroupType >

</ industryGroup >

- < issuerSize >

< revenueRange > Decline to Disclose </ revenueRange >

</ issuerSize >

- < federalExemptionsExclusions >

< item > 06b </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > true </ isAmendment >

< previousAccessionNumber > 0001528491-16-000002 </ previousAccessionNumber >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2016-06-17 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > false </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isEquityType > true </ isEquityType >

< isOptionToAcquireType > true </ isOptionToAcquireType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 0 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > Fairport Capital, Inc. </ recipientName >

< recipientCRDNumber > 15034 </ recipientCRDNumber >

< associatedBDName > Fairport Capital, Inc. </ associatedBDName >

< associatedBDCRDNumber > 15034 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 14358 N. Frank Lloyd Wright Boulevard </ street1 >

< street2 > Suite B-14 </ street2 >

< city > Scottsdale </ city >

< stateOrCountry > AZ </ stateOrCountry >

< stateOrCountryDescription > ARIZONA </ stateOrCountryDescription >

< zipCode > 85260 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > 8000062 </ totalOfferingAmount >

< totalAmountSold > 4105495 </ totalAmountSold >

< totalRemaining > 3894567 </ totalRemaining >

< clarificationOfResponse />

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 52 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 200000 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

< clarificationOfResponse > Broker will be paid a commission of 5% cash and 1.5% equity of total amount sold through broker. </ clarificationOfResponse >

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 0 </ dollarAmount >

</ grossProceedsUsed >

< clarificationOfResponse > No payments other than ordinary course employment compensation is being paid to officers or managers. </ clarificationOfResponse >

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > Thetis Pharmaceuticals LLC </ issuerName >

< signatureName > Gary F. Mathias </ signatureName >

< nameOfSigner > Gary F. Mathias </ nameOfSigner >

< signatureTitle > Manager & CEO </ signatureTitle >

< signatureDate > 2017-01-13 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >