Form D Raw Data - Electronic Filing Depository

EFDID: 127414EFD: Raw Data

Issuer: Applied Cavitation, Inc. (0001613273) - D

Accession: 0001613273-14-000004 () (EDGAR Files) (Form D)

Edgar Posted: Dec. 4, 2014
EFD Posted: Dec. 4, 2014

- < edgarSubmission >

< schemaVersion > X0707 </ schemaVersion >

< submissionType > D </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001613273 </ cik >

< entityName > Applied Cavitation, Inc. </ entityName >

- < issuerAddress >

< street1 > 460 WARD DRIVE </ street1 >

< street2 > E-1 </ street2 >

< city > SANTA BARBARA </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93111 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > 805-324-4486 </ issuerPhoneNumber >

< jurisdictionOfInc > CALIFORNIA </ jurisdictionOfInc >

- < issuerPreviousNameList >

< value > None </ value >

</ issuerPreviousNameList >

- < edgarPreviousNameList >

< value > None </ value >

</ edgarPreviousNameList >

< entityType > Corporation </ entityType >

- < yearOfInc >

< withinFiveYears > true </ withinFiveYears >

< value > 2013 </ value >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Dana </ firstName >

< lastName > Hankey </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 3873 Via Las Brisas </ street1 >

< city > Santa Barbara </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93110 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > CEO </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Craig </ firstName >

< lastName > Allen </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 350 Chapala Street </ street1 >

< street2 > 209 </ street2 >

< city > Santa Barbara </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93101 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > CFO </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Marshall </ firstName >

< lastName > Tibbetts </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 460 Ward Drive </ street1 >

< city > SANTA BARBARA </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93111 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > COO </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Joseph </ firstName >

< lastName > Capobianco </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 460 Ward Drive </ street1 >

< city > SANTA BARBARA </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93111 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > CTO </ relationshipClarification >

</ relatedPersonInfo >

</ relatedPersonsList >

- < offeringData >

- < industryGroup >

< industryGroupType > Other Technology </ industryGroupType >

</ industryGroup >

- < issuerSize >

< revenueRange > $1 - $1,000,000 </ revenueRange >

</ issuerSize >

- < federalExemptionsExclusions >

< item > 06b </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > false </ isAmendment >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2014-10-10 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > false </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isEquityType > true </ isEquityType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 13500 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > Spencer Edwards, Inc. </ recipientName >

< recipientCRDNumber > 22067 </ recipientCRDNumber >

< associatedBDName > Spencer Edwards, Inc. </ associatedBDName >

< associatedBDCRDNumber > 22067 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 6851 South Holly Circle </ street1 >

< street2 > Suite 200 </ street2 >

< city > Centennial </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80112 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > 3024000 </ totalOfferingAmount >

< totalAmountSold > 703800 </ totalAmountSold >

< totalRemaining > 2320200 </ totalRemaining >

< clarificationOfResponse > This round closed on December 3, 2014 with $703,800 raised in total. No further efforts will be made to raise funds on this round. </ clarificationOfResponse >

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 7 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 88823 </ dollarAmount >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

< clarificationOfResponse > There was a 10% commission and an additional 3% charge for expenses. However, we also had a bridge loan of $162,000, which was converted to equity Units, which cost 16%, instead of 13% on remainder of $703,800, or $541,800. The total was $88,823 </ clarificationOfResponse >

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 0 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ grossProceedsUsed >

< clarificationOfResponse > Executive officers will not receive any direct proceeds from this round, other than their normal salaries. </ clarificationOfResponse >

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > Applied Cavitation, Inc. </ issuerName >

< signatureName > Craig D. Allen </ signatureName >

< nameOfSigner > Craig Allen </ nameOfSigner >

< signatureTitle > CFO </ signatureTitle >

< signatureDate > 2014-12-04 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >