Form D Raw Data - Electronic Filing Depository

EFDID: 305861EFD: Raw Data

Issuer: GENEOS Therapeutics, Inc. (0001769177) - D

Accession: 0001769177-19-000001 () (EDGAR Files) (Form D)

Edgar Posted: Feb. 27, 2019
EFD Posted: Feb. 27, 2019

- < edgarSubmission >

< schemaVersion > X0708 </ schemaVersion >

< submissionType > D </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001769177 </ cik >

< entityName > GENEOS Therapeutics, Inc. </ entityName >

- < issuerAddress >

< street1 > 660 WEST GERMANTOWN PIKE </ street1 >

< street2 > SUITE 110 </ street2 >

< city > PLYMOUTH MEETING </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 19462 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > 267-440-4232 </ issuerPhoneNumber >

< jurisdictionOfInc > DELAWARE </ jurisdictionOfInc >

- < issuerPreviousNameList >

< previousName > Aeneos Therapeutics, Inc. </ previousName >

</ issuerPreviousNameList >

- < edgarPreviousNameList >

< value > None </ value >

</ edgarPreviousNameList >

< entityType > Corporation </ entityType >

- < yearOfInc >

< withinFiveYears > true </ withinFiveYears >

< value > 2016 </ value >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Niranjan </ firstName >

< middleName > Y. </ middleName >

< lastName > Sardesai </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > c/o GENEOS Therapeutics, Inc. </ street1 >

< street2 > 660 West Germantown Pike, Suite 110 </ street2 >

< city > Plymouth Meeting </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 19462 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > James </ firstName >

< lastName > Eadie </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > c/o GENEOS Therapeutics, Inc. </ street1 >

< street2 > 660 West Germantown Pike, Suite 110 </ street2 >

< city > Plymouth Meeting </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 19462 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Casey </ firstName >

< lastName > Cunningham </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > c/o GENEOS Therapeutics, Inc. </ street1 >

< street2 > 660 West Germantown Pike, Suite 110 </ street2 >

< city > Plymouth Meeting </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 19462 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Samuel </ firstName >

< lastName > Dr. Broder </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > c/o GENEOS Therapeutics, Inc. </ street1 >

< street2 > 660 West Germantown Pike, Suite 110 </ street2 >

< city > Plymouth Meeting </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 19462 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > J. </ firstName >

< middleName > Joseph </ middleName >

< lastName > Kim </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > c/o GENEOS Therapeutics, Inc. </ street1 >

< street2 > 660 West Germantown Pike, Suite 110 </ street2 >

< city > Plymouth Meeting </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 19462 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

</ relatedPersonsList >

- < offeringData >

- < industryGroup >

< industryGroupType > Biotechnology </ industryGroupType >

</ industryGroup >

- < issuerSize >

< revenueRange > Decline to Disclose </ revenueRange >

</ issuerSize >

- < federalExemptionsExclusions >

< item > 06b </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > false </ isAmendment >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2019-02-21 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > true </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isEquityType > true </ isEquityType >

< isOptionToAcquireType > true </ isOptionToAcquireType >

< isOtherType > true </ isOtherType >

< descriptionOfOtherType > Warrants to purchase Common Stock will be issued to M.M. Dillon & Co. and designees of Brookline Capital Markets in addition to any fees paid for commissions and financial advice. </ descriptionOfOtherType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 0 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > William B. Buchanan, Jr. </ recipientName >

< recipientCRDNumber > 1048722 </ recipientCRDNumber >

< associatedBDName > CIM Securities, LLC (Brookline Capital Markets) </ associatedBDName >

< associatedBDCRDNumber > 120852 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 509 Madison Avenue, 9th Floor </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10022 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Andrew D. Daniels </ recipientName >

< recipientCRDNumber > 2251612 </ recipientCRDNumber >

< associatedBDName > CIM Securities, LLC (Brookline Capital Markets) </ associatedBDName >

< associatedBDCRDNumber > 120852 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 509 Madison Avenue, 9th Floor </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10022 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Angela C. Dong </ recipientName >

< recipientCRDNumber > 4367592 </ recipientCRDNumber >

< associatedBDName > CIM Securities, LLC (Brookline Capital Markets) </ associatedBDName >

< associatedBDCRDNumber > 120852 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 509 Madison Avenue, 9th Floor </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10022 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > John Dexter Pearson </ recipientName >

< recipientCRDNumber > 6093501 </ recipientCRDNumber >

< associatedBDName > CIM Securities, LLC (Brookline Capital Markets) </ associatedBDName >

< associatedBDCRDNumber > 120852 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 509 Madison Avenue, 9th Floor </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10022 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Scott A. Katzmann </ recipientName >

< recipientCRDNumber > 1087840 </ recipientCRDNumber >

< associatedBDName > CIM Securities, LLC (Brookline Capital Markets) </ associatedBDName >

< associatedBDCRDNumber > 120852 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 509 Madison Avenue, 9th Floor </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10022 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Harris R.L. Lydon Jr. </ recipientName >

< recipientCRDNumber > 1796845 </ recipientCRDNumber >

< associatedBDName > CIM Securities, LLC (Brookline Capital Markets) </ associatedBDName >

< associatedBDCRDNumber > 120852 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 509 Madison Avenue, 9th Floor </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10022 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Graham A Powis </ recipientName >

< recipientCRDNumber > 2420999 </ recipientCRDNumber >

< associatedBDName > CIM Securities, LLC (Brookline Capital Markets) </ associatedBDName >

< associatedBDCRDNumber > 120852 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 509 Madison Avenue, 9th Floor </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10022 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Samuel P. Wertheimer </ recipientName >

< recipientCRDNumber > 5984076 </ recipientCRDNumber >

< associatedBDName > CIM Securities, LLC (Brookline Capital Markets) </ associatedBDName >

< associatedBDCRDNumber > 120852 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 509 Madison Avenue, 9th Floor </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10022 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > M.M.Dillon & Co., LLC </ recipientName >

< recipientCRDNumber > 19878 </ recipientCRDNumber >

< associatedBDName > M.M. Dillon & Co., LLC </ associatedBDName >

< associatedBDCRDNumber > 19878 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > One Sound Shore Drive </ street1 >

< street2 > Suite 100 </ street2 >

< city > Greenwich </ city >

< stateOrCountry > CT </ stateOrCountry >

< stateOrCountryDescription > CONNECTICUT </ stateOrCountryDescription >

< zipCode > 06830 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > 10499993 </ totalOfferingAmount >

< totalAmountSold > 4499998 </ totalAmountSold >

< totalRemaining > 5999995 </ totalRemaining >

< clarificationOfResponse />

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 3 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 50000 </ dollarAmount >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

< clarificationOfResponse > In addition to $50,000, Brookline Capital Markets or its designees will be given Warrants to purchase common stock. </ clarificationOfResponse >

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 0 </ dollarAmount >

</ grossProceedsUsed >

< clarificationOfResponse />

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > GENEOS Therapeutics, Inc. </ issuerName >

< signatureName > /w/Niranjan Y. Sardesai </ signatureName >

< nameOfSigner > Niranjan Y. Sardesai </ nameOfSigner >

< signatureTitle > President and Chief Executive Officer </ signatureTitle >

< signatureDate > 2019-02-27 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >