o NoneEntity Type
0001357459
Neuralstem, Inc.
 
x Corporation
o Limited Partnership
o Limited Liability Company
o General Partnership
o Business Trust
o Other
Name of Issuer
 Seneca Biopharma, Inc.
Jurisdiction of Incorporation/OrganizationDELAWARE 
Year of Incorporation/Organization
  x Over Five Years Ago
  o Within Last Five Years (Specify Year)  
  o Yet to Be Formed 



2. Principal Place of Business and Contact Information
Name of Issuer 
 Seneca Biopharma, Inc. 
Street Address 1Street Address 2
 20271 GOLDENROD LANE STE 2024
CityState/Province/CountryZIP/Postal CodePhone No. of Issuer
 GERMANTOWN MARYLAND 20876 301-366-4841 



3. Related Persons
Last NameFirst NameMiddle Name
CarterKenneth
Street Address 1Street Address 2
20271 Goldenrod LaneSuite 2024
CityState/Province/CountryZIP/Postal Code
GermantownMARYLAND20876
Relationship: x Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last NameFirst NameMiddle Name
MazzoDavid
Street Address 1Street Address 2
20271 Goldenrod LaneSuite 2024
CityState/Province/CountryZIP/Postal Code
GermantownMARYLAND20876
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last NameFirst NameMiddle Name
SmithSandford
Street Address 1Street Address 2
20271 Goldenrod LaneSuite 2024
CityState/Province/CountryZIP/Postal Code
GermantownMARYLAND20876
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last NameFirst NameMiddle Name
OgilvieScott
Street Address 1Street Address 2
20271 Goldenrod LaneSuite 2024
CityState/Province/CountryZIP/Postal Code
GermantownMARYLAND20876
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

 
Last NameFirst NameMiddle Name
GrayMary Ann
Street Address 1Street Address 2
20271 Goldenrod LaneSuite 2024
CityState/Province/CountryZIP/Postal Code
GermantownMARYLAND20876
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last NameFirst NameMiddle Name
CsimmaCristina
Street Address 1Street Address 2
20271 Goldenrod LaneSuite 2024
CityState/Province/CountryZIP/Postal Code
GermantownMARYLAND20876
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last NameFirst NameMiddle Name
WeiBinxian
Street Address 1Street Address 2
20271 Goldenrod LaneSuite 2024
CityState/Province/CountryZIP/Postal Code
GermantownMARYLAND20876
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

 


4. Industry Group
o Agriculture Health Care o Retailing
 Banking & Financial Services   x Biotechnology o Restaurants
  o Commercial Banking   o Health Insurance Technology
  o Insurance  o Hospitals & Physicians  o Computers
  o Investing  o Pharmaceuticals  o Telecommunications
  o Investment Banking  o Other Health Care  o Other Technology
  o Pooled Investment Fund

    Travel
  o Other Banking & Financial Services o Manufacturing  o Airlines & Airports
 Real Estate  o Lodging & Conventions
  o Commercial  o Tourism & Travel Services
  o Construction  o Other Travel
  o REITS & Finance o Other
  o Residential 
  o Other Real Estate 
o Business Services 
 Energy 
  o Coal Mining 
  o Electric Utilities 
  o Energy Conservation 
  o Environmental Services 
  o Oil & Gas 
  o Other Energy 


5. Issuer Size
Revenue RangeAggregate Net Asset Value Range
o No Revenues o No Aggregate Net Asset Value
o $1 - $1,000,000 o $1 - $5,000,000
o $1,000,001 - $5,000,000 o $5,000,001 - $25,000,000
o $5,000,001 - $25,000,000 o $25,000,001 - $50,000,000
o $25,000,001 - $100,000,000 o $50,000,001 - $100,000,000
o Over $100,000,000 o Over $100,000,000
x Decline to Disclose o Decline to Disclose
o Not Applicable o Not Applicable


6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
o Rule 504(b)(1) (not (i), (ii) or (iii)) o Rule 505
o Rule 504 (b)(1)(i) x Rule 506(b)
o Rule 504 (b)(1)(ii) o Rule 506(c)
o Rule 504 (b)(1)(iii) o Securities Act Section 4(a)(5)
  o Investment Company Act Section 3(c)

7. Type of Filing
x New Notice Date of First Sale 2020-01-22 o First Sale Yet to Occur
o Amendment

8. Duration of Offering
Does the Issuer intend this offering to last more than one year? o Yes x No

9. Type(s) of Securities Offered (select all that apply)
o Pooled Investment Fund Interests o Equity
o Tenant-in-Common Securities o Debt
o Mineral Property Securities x Option, Warrant or Other Right to Acquire Another Security
x Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security o Other (describe)
  


10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? o Yes x No
 
Clarification of Response (if Necessary) 
  

11. Minimum Investment
Minimum investment accepted from any outside investor$ 0 USD

12. Sales Compensation
RecipientRecipient CRD Number o None
 H.C. Wainwright & Co. LLC 375
(Associated) Broker or Dealer x None(Associated) Broker or Dealer CRD Number x None
    
Street Address 1Street Address 2
 430 PARK AVENUE  
City State/Province/CountryZIP/Postal Code
 NEW YORK NEW YORK 10022
State(s) of Solicitation o All States o Foreign/Non-US
 FLORIDA
 NEW JERSEY
 NEW YORK
 

 



13. Offering and Sales Amounts
Total Offering Amount $ 7555553 USD o Indefinite
Total Amount Sold $ 7555553 USD 
Total Remaining to be Sold $ 0 USD o Indefinite
 
Clarification of Response (if Necessary)
 common stock warrants were issued for exercising existing warrants at a reduced price pursuant to a warrant exercise agreement


14. Investors
o Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
Number of such non-accredited investors who already have invested in the offering
 
  Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: 3


15. Sales Commissions & Finders’ Fees Expenses
Provide separately the amounts of sales commissions and finders' fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
Sales Commissions$ 604444 USD o Estimate
Finders' Fees$ 0 USD o Estimate
 
Clarification of Response (if Necessary)
 Does not include (i) management fees, (ii) non-accountable expenses, (iii) legal reimbursement and (vi) placement agent warrants


16. Use of Proceeds
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
 $ 0 USD o
Seneca Biopharma (NASDAQ:SNCA)
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