Form D Raw Data - Electronic Filing Depository

EFDID: 340482EFD: Raw Data

Issuer: 9 METERS BIOPHARMA, INC. (0001551986) - D

Accession: 0001551986-20-000146 () (EDGAR Files) (Form D)

Edgar Posted: May. 15, 2020
EFD Posted: May. 15, 2020

- < edgarSubmission >

< schemaVersion > X0708 </ schemaVersion >

< submissionType > D </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001551986 </ cik >

< entityName > 9 METERS BIOPHARMA, INC. </ entityName >

- < issuerAddress >

< street1 > 8480 HONEYCUTT ROAD </ street1 >

< street2 > SUITE 120 </ street2 >

< city > RALEIGH </ city >

< stateOrCountry > NC </ stateOrCountry >

< stateOrCountryDescription > NORTH CAROLINA </ stateOrCountryDescription >

< zipCode > 27615 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > 919-485-8080 </ issuerPhoneNumber >

< jurisdictionOfInc > DELAWARE </ jurisdictionOfInc >

- < edgarPreviousNameList >

< previousName > INNOVATE BIOPHARMACEUTICALS, INC. </ previousName >

< previousName > Monster Digital, Inc. </ previousName >

< previousName > Tandon Digital, Inc. </ previousName >

</ edgarPreviousNameList >

< entityType > Corporation </ entityType >

- < yearOfInc >

< overFiveYears > true </ overFiveYears >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > John </ firstName >

< lastName > Temperato </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 8480 HONEYCUTT ROAD </ street1 >

< street2 > SUITE 120 </ street2 >

< city > RALEIGH </ city >

< stateOrCountry > NC </ stateOrCountry >

< stateOrCountryDescription > NORTH CAROLINA </ stateOrCountryDescription >

< zipCode > 27615 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Edward </ firstName >

< middleName > J. </ middleName >

< lastName > Sitar </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 8480 HONEYCUTT ROAD </ street1 >

< street2 > SUITE 120 </ street2 >

< city > RALEIGH </ city >

< stateOrCountry > NC </ stateOrCountry >

< stateOrCountryDescription > NORTH CAROLINA </ stateOrCountryDescription >

< zipCode > 27615 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Nissim </ firstName >

< lastName > Darvish </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 8480 HONEYCUTT ROAD </ street1 >

< street2 > SUITE 120 </ street2 >

< city > RALEIGH </ city >

< stateOrCountry > NC </ stateOrCountry >

< stateOrCountryDescription > NORTH CAROLINA </ stateOrCountryDescription >

< zipCode > 27615 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Lorin </ firstName >

< middleName > K. </ middleName >

< lastName > Johnson </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 8480 HONEYCUTT ROAD </ street1 >

< street2 > SUITE 120 </ street2 >

< city > RALEIGH </ city >

< stateOrCountry > NC </ stateOrCountry >

< stateOrCountryDescription > NORTH CAROLINA </ stateOrCountryDescription >

< zipCode > 27615 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Sandeep </ firstName >

< lastName > Laumas </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 8480 HONEYCUTT ROAD </ street1 >

< street2 > SUITE 120 </ street2 >

< city > RALEIGH </ city >

< stateOrCountry > NC </ stateOrCountry >

< stateOrCountryDescription > NORTH CAROLINA </ stateOrCountryDescription >

< zipCode > 27615 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Roy </ firstName >

< lastName > Proujansky </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 8480 HONEYCUTT ROAD </ street1 >

< street2 > SUITE 120 </ street2 >

< city > RALEIGH </ city >

< stateOrCountry > NC </ stateOrCountry >

< stateOrCountryDescription > NORTH CAROLINA </ stateOrCountryDescription >

< zipCode > 27615 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Mark </ firstName >

< lastName > Sirgo </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 8480 HONEYCUTT ROAD </ street1 >

< street2 > SUITE 120 </ street2 >

< city > RALEIGH </ city >

< stateOrCountry > NC </ stateOrCountry >

< stateOrCountryDescription > NORTH CAROLINA </ stateOrCountryDescription >

< zipCode > 27615 </ 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 > 2020-05-04 </ 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 > William Blair & Company, L.L.C. </ recipientName >

< recipientCRDNumber > 1252 </ recipientCRDNumber >

< associatedBDName > William Blair & Company, LLC. </ associatedBDName >

< associatedBDCRDNumber > 1252 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 150 North Riverside Plaza </ street1 >

< street2 > 35th Floor </ street2 >

< city > Chicago </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60606 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > National Securities Corporation </ recipientName >

< recipientCRDNumber > 7569 </ recipientCRDNumber >

< associatedBDName > National Securities Corporation </ associatedBDName >

< associatedBDCRDNumber > 7569 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5000 T-Rex Avenue </ street1 >

< street2 > Suite 300 </ street2 >

< city > Boca Raton </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33431 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > WY </ state >

< description > WYOMING </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

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

< recipientCRDNumber > 39914 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 39914 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1900 Avenue of the Stars </ street1 >

< street2 > Suite 310 </ street2 >

< city > Los Angeles </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 90067 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Wynston Hill Capital </ recipientName >

< recipientCRDNumber > 103811 </ recipientCRDNumber >

< associatedBDName > Wynston Hill Capital </ associatedBDName >

< associatedBDCRDNumber > 103811 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 246 Roanoke Road </ street1 >

< city > Fletcher </ city >

< stateOrCountry > NC </ stateOrCountry >

< stateOrCountryDescription > NORTH CAROLINA </ stateOrCountryDescription >

< zipCode > 28732 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > GP Numenkari Inc. </ recipientName >

< recipientCRDNumber > 153480 </ recipientCRDNumber >

< associatedBDName > GP Numenkari Inc. </ associatedBDName >

< associatedBDCRDNumber > 153480 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 22 Elizabeth Street, Sono Square </ street1 >

< street2 > Suite 1J </ street2 >

< city > Norwalk </ city >

< stateOrCountry > CT </ stateOrCountry >

< stateOrCountryDescription > CONNECTICUT </ stateOrCountryDescription >

< zipCode > 06854 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > DE </ state >

< description > DELAWARE </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > 22565371 </ totalOfferingAmount >

< totalAmountSold > 22565371 </ totalAmountSold >

< totalRemaining > 0 </ totalRemaining >

< clarificationOfResponse />

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > true </ hasNonAccreditedInvestors >

< numberNonAccreditedInvestors > 5 </ numberNonAccreditedInvestors >

< totalNumberAlreadyInvested > 149 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 2148354 </ dollarAmount >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

< clarificationOfResponse />

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 0 </ dollarAmount >

</ grossProceedsUsed >

< clarificationOfResponse > Other than the payment of salaries and other compensation and benefits and reimbursement of expenses, no officer, director, partner, manager or promoter will receive any payments from the proceeds of this offering. </ clarificationOfResponse >

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > 9 METERS BIOPHARMA, INC. </ issuerName >

< signatureName > /s/ Edward J. Sitar </ signatureName >

< nameOfSigner > Edward J. Sitar </ nameOfSigner >

< signatureTitle > Chief Financial Officer </ signatureTitle >

< signatureDate > 2020-05-15 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >