Form D Raw Data - Electronic Filing Depository

EFDID: 61237EFD: Raw Data

Issuer: Sophono, Inc. (0001556460) - D

Accession: 0001556460-12-000001 () (EDGAR Files) (Form D)

Edgar Posted: Aug. 29, 2012
EFD Posted: Aug. 7, 2014

- < edgarSubmission >

< schemaVersion > X0706 </ schemaVersion >

< submissionType > D </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001556460 </ cik >

< entityName > Sophono, Inc. </ entityName >

- < issuerAddress >

< street1 > 3022 STERLING CIRCLE, SUITE 100 </ street1 >

< city > BOULDER </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80302 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > 720 407 5160 </ issuerPhoneNumber >

< jurisdictionOfInc > COLORADO </ jurisdictionOfInc >

- < issuerPreviousNameList >

< value > None </ value >

</ issuerPreviousNameList >

- < edgarPreviousNameList >

< value > None </ value >

</ edgarPreviousNameList >

< entityType > Corporation </ entityType >

- < yearOfInc >

< withinFiveYears > true </ withinFiveYears >

< value > 2009 </ value >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > James </ firstName >

< middleName > F </ middleName >

< lastName > Kasic II </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 3022 Sterling Circle, Suite 100 </ street1 >

< city > Boulder </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80302 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Markus </ firstName >

< lastName > Haller </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 3022 Sterling Circle, Suite 100 </ street1 >

< city > Boulder </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80301 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Paul </ firstName >

< lastName > Mieyal </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 3022 Sterling Circle, Suite 100 </ street1 >

< city > Boulder </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80301 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Mark </ firstName >

< lastName > Zand </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 3022 Sterling Circle, Suite 100 </ street1 >

< city > Boulder </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80301 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

</ relatedPersonsList >

- < offeringData >

- < industryGroup >

< industryGroupType > Other Health Care </ industryGroupType >

</ industryGroup >

- < issuerSize >

< revenueRange > Decline to Disclose </ revenueRange >

</ issuerSize >

- < federalExemptionsExclusions >

< item > 06 </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > false </ isAmendment >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2012-08-14 </ 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 > Clear Creek Partners </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > LJS Capital, LLC </ associatedBDName >

< associatedBDCRDNumber > 148869 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1743 Wazee Street, Suite 375 </ street1 >

< city > Denver </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80302 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NY </ state >

< description > NEW YORK </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Liberty Tree Advisors, LLC </ recipientName >

< recipientCRDNumber > 143679 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 24 Liberty Street </ street1 >

< city > Acton </ city >

< stateOrCountry > MA </ stateOrCountry >

< stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >

< zipCode > 01720 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NY </ state >

< description > NEW YORK </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > 7000000 </ totalOfferingAmount >

< totalAmountSold > 7000000 </ totalAmountSold >

< totalRemaining > 0 </ totalRemaining >

< clarificationOfResponse > $7,000,000 in Series B Preferred Stock plus warrants to purchase 293,334 shares of Series B Preferred, of which warrants to purchase 200,000 shares of Series B Preferred may terminate upon the occurrence of certain events. </ clarificationOfResponse >

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 9 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 770000 </ dollarAmount >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

< clarificationOfResponse > $140,000 of the amount owed in sales commissions was paid in warrants to purchase shares of the Issuer's Series B Preferred Stock. </ clarificationOfResponse >

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 0 </ dollarAmount >

</ grossProceedsUsed >

< clarificationOfResponse />

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > Sophono, Inc. </ issuerName >

< signatureName > James F. Kasic II </ signatureName >

< nameOfSigner > James F. Kasic II </ nameOfSigner >

< signatureTitle > Chief Executive Officer </ signatureTitle >

< signatureDate > 2012-08-29 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >