0001484565-15-000004.txt : 20151022 0001484565-15-000004.hdr.sgml : 20151022 20151021200811 ACCESSION NUMBER: 0001484565-15-000004 CONFORMED SUBMISSION TYPE: D PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b FILED AS OF DATE: 20151022 DATE AS OF CHANGE: 20151021 EFFECTIVENESS DATE: 20151022 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Capnia, Inc. CENTRAL INDEX KEY: 0001484565 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 770523891 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: D SEC ACT: 1933 Act SEC FILE NUMBER: 021-249875 FILM NUMBER: 151168936 BUSINESS ADDRESS: STREET 1: 3 TWIN DOLPHIN DRIVE STREET 2: SUITE 160 CITY: REDWOOD CITY STATE: CA ZIP: 94065 BUSINESS PHONE: 650-213-8444 MAIL ADDRESS: STREET 1: 3 TWIN DOLPHIN DRIVE STREET 2: SUITE 160 CITY: REDWOOD CITY STATE: CA ZIP: 94065 D 1 primary_doc.xml X0707 D LIVE 0001484565 Capnia, Inc. 1235 RADIO ROAD SUITE 110 REDWOOD CITY CA CALIFORNIA 94065 650-213-8444 DELAWARE None None Corporation true Ernest Mario 1235 Radio Road Suite 110 Redwood City CA CALIFORNIA 94065 Director Anish Bhatnagar 1235 Radio Road Suite 110 Redwood City CA CALIFORNIA 94065 Executive Officer Director William James Alexander 1235 Radio Road Suite 110 Redwood City CA CALIFORNIA 94065 Director Steinar Engelsen 1235 Radio Road Suite 110 Redwood City CA CALIFORNIA 94065 Director Edgar G. Engleman 1235 Radio Road Suite 110 Redwood City CA CALIFORNIA 94065 Director Stephen N. Kirnon 1235 Radio Road Suite 110 Redwood City CA CALIFORNIA 94065 Director William G. Harris 1235 Radio Road Suite 110 Redwood City CA CALIFORNIA 94065 Director David D. O'Toole 1235 Radio Road Suite 110 Redwood City CA CALIFORNIA 94065 Executive Officer Other Health Care Decline to Disclose 06b false 2015-10-15 false true true true false 0 Maxim Group LLC 120708 None None 405 Lexington Avenue New York NY NEW YORK 10174 NJ NEW JERSEY NY NEW YORK false 10000000 4555000 5445000 Also sold: Series D Common Stock Warrants to purchase up to 2,702,704 Common Stock shares and Placement Agent Warrants to purchase up to 108,108 Common Stock shares, each at a fixed per share exercise price of $2.46 false 3 319000 0 Compensation also includes warrants to purchase up to 108,108 Common Stock shares at an exercise price of $2.46, a fee of up to 7% of the total amount raised, and $35,000 paid as legal expenses 0 false Capnia, Inc. /s/David D. O'Toole David D. O'Toole CFO 2015-10-21