Small Company Offering and Sale of Securities Without Registration (d)

Date : 10/15/2019 @ 7:47PM
Source : Edgar (US Regulatory)
Stock : Themaven, Inc. (QB) (MVEN)
Quote : 0.75  0.0 (0.00%) @ 12:43PM

Small Company Offering and Sale of Securities Without Registration (d)

o NoneEntity Type
0000894871
Integrated Surgical Systems, Inc.
THEMAVEN, INC.
INTEGRATED SURGICAL SYSTEMS INC
 
x Corporation
o Limited Partnership
o Limited Liability Company
o General Partnership
o Business Trust
o Other
Name of Issuer
 theMaven, Inc.
Jurisdiction of Incorporation/Organization
DELAWARE
 
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 
 theMaven, Inc. 
Street Address 1Street Address 2
 1500 FOURTH AVENUE, SUITE 200 
CityState/Province/CountryZIP/Postal CodePhone No. of Issuer
 SEATTLE WASHINGTON 98101 775-600-2765 



3. Related Persons
Last NameFirst NameMiddle Name
HeckmanJames
Street Address 1Street Address 2
1500 FOURTH AVENUE, SUITE 200
CityState/Province/CountryZIP/Postal Code
SEATTLEWASHINGTON98101
Relationship: x Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last NameFirst NameMiddle Name
JacobsJosh
Street Address 1Street Address 2
1500 FOURTH AVENUE, SUITE 200
CityState/Province/CountryZIP/Postal Code
SEATTLEWASHINGTON98101
Relationship: x Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last NameFirst NameMiddle Name
SmithDoug
Street Address 1Street Address 2
1500 FOURTH AVENUE, SUITE 200
CityState/Province/CountryZIP/Postal Code
SEATTLEWASHINGTON98101
Relationship: x Executive Officer o Director o Promoter
Clarification of Response (if Necessary)
 

Last NameFirst NameMiddle Name
EdmondsonPaul
Street Address 1Street Address 2
1500 FOURTH AVENUE, SUITE 200
CityState/Province/CountryZIP/Postal Code
SEATTLEWASHINGTON98101
Relationship: x Executive Officer o Director o Promoter
Clarification of Response (if Necessary)
 

 
Last NameFirst NameMiddle Name
JoldersmaBenjamin
Street Address 1Street Address 2
1500 FOURTH AVENUE, SUITE 200
CityState/Province/CountryZIP/Postal Code
SEATTLEWASHINGTON98101
Relationship: x Executive Officer o Director o Promoter
Clarification of Response (if Necessary)
 

Last NameFirst NameMiddle Name
FichthornJohn
Street Address 1Street Address 2
1500 FOURTH AVENUE, SUITE 200
CityState/Province/CountryZIP/Postal Code
SEATTLEWASHINGTON98101
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last NameFirst NameMiddle Name
SimsTodd
Street Address 1Street Address 2
1500 FOURTH AVENUE, SUITE 200
CityState/Province/CountryZIP/Postal Code
SEATTLEWASHINGTON98101
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last NameFirst NameMiddle Name
MillsPeter
Street Address 1Street Address 2
1500 FOURTH AVENUE, SUITE 200
CityState/Province/CountryZIP/Postal Code
SEATTLEWASHINGTON98101
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

 
Last NameFirst NameMiddle Name
SenRinku
Street Address 1Street Address 2
1500 FOURTH AVENUE, SUITE 200
CityState/Province/CountryZIP/Postal Code
SEATTLEWASHINGTON98101
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last NameFirst NameMiddle Name
BaileyDavid
Street Address 1Street Address 2
1500 FOURTH AVENUE, SUITE 200
CityState/Province/CountryZIP/Postal Code
SEATTLEWASHINGTON98101
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   o 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  x 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 2019-10-08 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 x Equity
o Tenant-in-Common Securities o Debt
o Mineral Property Securities o Option, Warrant or Other Right to Acquire Another Security
o 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
 B. Riley FBR, Inc. 25027
(Associated) Broker or Dealer x None(Associated) Broker or Dealer CRD Number x None
    
Street Address 1Street Address 2
 1300 NORTH 17TH STREET SUITE 1300
City State/Province/CountryZIP/Postal Code
 ARLINGTON VIRGINIA 22209
State(s) of Solicitation x All States o Foreign/Non-US
 

 



13. Offering and Sales Amounts
Total Offering Amount $ 20000000 USD o Indefinite
Total Amount Sold $ 20000000 USD 
Total Remaining to be Sold $ 0 USD o Indefinite
 
Clarification of Response (if Necessary)
  


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: 26


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$ 525240 USD o Estimate
Finders' Fees$ 0 USD o Estimate
 
Clarification of Response (if Necessary)
  


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

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