Form D Raw Data - Electronic Filing Depository

EFDID: 311518EFD: Raw Data

Issuer: Northern Swan Holdings, Inc. (0001716131) - D/A

Accession: 0001716131-19-000003 () (EDGAR Files) (Form D)

Edgar Posted: May. 20, 2019
EFD Posted: May. 21, 2019

- < edgarSubmission >

< schemaVersion > X0708 </ schemaVersion >

< submissionType > D/A </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001716131 </ cik >

< entityName > Northern Swan Holdings, Inc. </ entityName >

- < issuerAddress >

< street1 > 489 FIFTH AVENUE, 27TH FLOOR </ street1 >

< city > NEW YORK </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10017 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > 646-880-4382 </ issuerPhoneNumber >

< jurisdictionOfInc > BRITISH COLUMBIA, CANADA </ jurisdictionOfInc >

- < issuerPreviousNameList >

< value > None </ value >

</ issuerPreviousNameList >

- < edgarPreviousNameList >

< value > None </ value >

</ edgarPreviousNameList >

< entityType > Corporation </ entityType >

- < yearOfInc >

< withinFiveYears > true </ withinFiveYears >

< value > 2017 </ value >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > TIMOTHY </ firstName >

< middleName > BERNARD </ middleName >

< lastName > TULLY </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 489 FIFTH AVENUE, 27TH FLOOR </ street1 >

< city > NEW YORK </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10017 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > KYLE </ firstName >

< middleName > PAUL </ middleName >

< lastName > DETWILER </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 489 FIFTH AVENUE, 27TH FLOOR </ street1 >

< city > NEW YORK </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10017 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > DELROY </ firstName >

< lastName > WRIGHT </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 489 FIFTH AVENUE, 27TH FLOOR </ street1 >

< city > NEW YORK </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10017 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > CHRIS </ firstName >

< lastName > SIM </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 489 FIFTH AVENUE, 27TH FLOOR </ street1 >

< city > NEW YORK </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10017 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

</ relatedPersonsList >

- < offeringData >

- < industryGroup >

< industryGroupType > Other </ industryGroupType >

</ industryGroup >

- < issuerSize >

< revenueRange > Decline to Disclose </ revenueRange >

</ issuerSize >

- < federalExemptionsExclusions >

< item > 06b </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > true </ isAmendment >

< previousAccessionNumber > 0001716131-19-000002 </ previousAccessionNumber >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2019-03-30 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > false </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isEquityType > true </ isEquityType >

< isDebtType > true </ isDebtType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 0 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > COWEN AND COMPANY, LLC </ recipientName >

< recipientCRDNumber > 7616 </ recipientCRDNumber >

< associatedBDName > COWEN AND COMPANY, LLC </ associatedBDName >

< associatedBDCRDNumber > 7616 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 559 LEXINGTON AVE., 27TH FLOOR </ street1 >

< city > NEW YORK </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10022 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > UT </ state >

< description > UTAH </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > 62500000 </ totalOfferingAmount >

< totalAmountSold > 57515004 </ totalAmountSold >

< totalRemaining > 4984996 </ totalRemaining >

< clarificationOfResponse > Of the $57,515,004.80 raised in this offering, $53,370,001.51 was sold to investors resident in the USA. Additional amounts were sold outside of the United States. </ clarificationOfResponse >

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 66 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 2433499 </ dollarAmount >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

< clarificationOfResponse > Also received: 27,645 Class C Preferred Shares at a price of US$8.79 per share and Convertible secured notes in the principal amount of US$250,000. </ clarificationOfResponse >

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 0 </ dollarAmount >

</ grossProceedsUsed >

< clarificationOfResponse />

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > Northern Swan Holdings, Inc. </ issuerName >

< signatureName > KYLE DETWILER </ signatureName >

< nameOfSigner > KYLE DETWILER </ nameOfSigner >

< signatureTitle > DIRECTOR </ signatureTitle >

< signatureDate > 2019-05-20 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >