0001296743-14-000003.txt : 20141205 0001296743-14-000003.hdr.sgml : 20141205 20141204181746 ACCESSION NUMBER: 0001296743-14-000003 CONFORMED SUBMISSION TYPE: D PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b FILED AS OF DATE: 20141205 DATE AS OF CHANGE: 20141204 EFFECTIVENESS DATE: 20141205 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Direct Flow Medical, Inc. CENTRAL INDEX KEY: 0001296743 IRS NUMBER: 201270340 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: D SEC ACT: 1933 Act SEC FILE NUMBER: 021-229506 FILM NUMBER: 141267447 BUSINESS ADDRESS: STREET 1: 451 AVIATION BLVD., SUITE 107A CITY: SANTA ROSA STATE: CA ZIP: 95403 BUSINESS PHONE: (707)576-0420 MAIL ADDRESS: STREET 1: 451 AVIATION BLVD., SUITE 107A CITY: SANTA ROSA STATE: CA ZIP: 95403 FORMER COMPANY: FORMER CONFORMED NAME: Direct Flow Medical, Inc DATE OF NAME CHANGE: 20091001 FORMER COMPANY: FORMER CONFORMED NAME: Direct Flow Medical Inc DATE OF NAME CHANGE: 20040709 D 1 primary_doc.xml X0707 D LIVE 0001296743 Direct Flow Medical, Inc. 451 AVIATION BLVD., SUITE 107A SANTA ROSA CA CALIFORNIA 95403 (707) 576-0420 DELAWARE Direct Flow Medical, Inc Direct Flow Medical Inc Corporation true Bernard E. Lyons 451 Aviation Blvd., Suite 107A Santa Rosa CA CALIFORNIA 95403 Executive Officer Director Gordon Bishop 451 Aviation Blvd., Suite 107A Santa Rosa CA CALIFORNIA 95403 Executive Officer Director Michael DeVries 451 Aviation Blvd., Suite 107A Santa Rosa CA CALIFORNIA 95403 Director J. Daniel Cole 451 Aviation Blvd., Suite 107A Santa Rosa CA CALIFORNIA 95403 Director Jeani Delagardelle 451 Aviation Blvd., Suite 107A Santa Rosa CA CALIFORNIA 95403 Director Lee Wrubel 451 Aviation Blvd., Suite 107A Santa Rosa CA CALIFORNIA 95403 Director Renee Ryan 451 Aviation Blvd., Suite 107A Santa Rosa CA CALIFORNIA 95403 Director Paul LaViolette 451 Aviation Blvd., Suite 107A Santa Rosa CA CALIFORNIA 95403 Director Mike Burgess 451 Aviation Blvd., Suite 107A Santa Rosa CA CALIFORNIA 95403 Executive Officer David R. Elizondo 451 Aviation Blvd., Suite 107A Santa Rosa CA CALIFORNIA 95403 Executive Officer Julie Selstrom 451 Aviation Blvd., Suite 107A Santa Rosa CA CALIFORNIA 95403 Executive Officer Dan Rose 451 Aviation Blvd., Suite 107A Santa Rosa CA CALIFORNIA 95403 Executive Officer Charles J. Davidson 451 Aviation Blvd., Suite 107A Santa Rosa CA CALIFORNIA 95403 Executive Officer Other Health Care Decline to Disclose 06b false 2014-09-12 false true true true true Sale and issuance of (i) Series C-1 Preferred Stock, (ii) Warrants to purchase Series C-1 Preferred Stock, (iii) Series C-1 Preferred Stock upon exercise of Warrants, and (iv) Common Stock issuable upon conversion of Series C-1 Preferred Stock & Warrants. false 0 29925497 17063607 12861890 Total offering amount includes the warrant purchase price and assumes the exercise of warrants (total of $12,825,495.07). false 27 0 0 0 false Direct Flow Medical, Inc. /s/ Bernard E. Lyons Bernard E. Lyons Chief Executive Officer 2014-12-04