<SEC-DOCUMENT>0000911420-24-000032.txt : 20240212
<SEC-HEADER>0000911420-24-000032.hdr.sgml : 20240212
<ACCEPTANCE-DATETIME>20240212101619
ACCESSION NUMBER: 0000911420-24-000032
CONFORMED SUBMISSION TYPE: D/A
PUBLIC DOCUMENT COUNT: 1
ITEM INFORMATION: <ITEMS>06b
FILED AS OF DATE: 20240212
DATE AS OF CHANGE: 20240212
EFFECTIVENESS DATE: 20240212
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: THIRD POLE, INC.
CENTRAL INDEX KEY: 0001661812
ORGANIZATION NAME:
IRS NUMBER: 471615610
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: D/A
SEC ACT: 1933 Act
SEC FILE NUMBER: 021-335121
FILM NUMBER: 24617871
BUSINESS ADDRESS:
STREET 1: 309 WAVERLEY OAKS ROAD
STREET 2: SUITE 404
CITY: WALTHAM
STATE: MA
ZIP: 02452
BUSINESS PHONE: 800-838-1471
MAIL ADDRESS:
STREET 1: 309 WAVERLEY OAKS ROAD
STREET 2: SUITE 404
CITY: WALTHAM
STATE: MA
ZIP: 02452
FORMER COMPANY:
FORMER CONFORMED NAME: Third Pole, Inc.
DATE OF NAME CHANGE: 20151223
</SEC-HEADER>
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<TYPE>D/A
<SEQUENCE>1
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<cik>0001661812</cik>
<entityName>THIRD POLE, INC.</entityName>
<issuerAddress>
<street1>309 WAVERLEY OAKS ROAD</street1>
<street2>SUITE 404</street2>
<city>WALTHAM</city>
<stateOrCountry>MA</stateOrCountry>
<stateOrCountryDescription>MASSACHUSETTS</stateOrCountryDescription>
<zipCode>02452</zipCode>
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<issuerPhoneNumber>800-838-1471</issuerPhoneNumber>
<jurisdictionOfInc>DELAWARE</jurisdictionOfInc>
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<previousName>Third Pole, Inc.</previousName>
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<relatedPersonsList>
<relatedPersonInfo>
<relatedPersonName>
<firstName>Basil</firstName>
<lastName>Athenson</lastName>
</relatedPersonName>
<relatedPersonAddress>
<street1>Third Pole, Inc.</street1>
<street2>309 Waverley Oaks Road, Suite 404</street2>
<city>Waltham</city>
<stateOrCountry>MA</stateOrCountry>
<stateOrCountryDescription>MASSACHUSETTS</stateOrCountryDescription>
<zipCode>02452</zipCode>
</relatedPersonAddress>
<relatedPersonRelationshipList>
<relationship>Director</relationship>
<relationship>Executive Officer</relationship>
</relatedPersonRelationshipList>
<relationshipClarification>Chief Executive Officer and President</relationshipClarification>
</relatedPersonInfo>
<relatedPersonInfo>
<relatedPersonName>
<firstName>Jeffrey</firstName>
<lastName>McCormick</lastName>
</relatedPersonName>
<relatedPersonAddress>
<street1>Third Pole, Inc.</street1>
<street2>309 Waverly Oaks Road, Suite 404</street2>
<city>Waltham</city>
<stateOrCountry>MA</stateOrCountry>
<stateOrCountryDescription>MASSACHUSETTS</stateOrCountryDescription>
<zipCode>02452</zipCode>
</relatedPersonAddress>
<relatedPersonRelationshipList>
<relationship>Director</relationship>
</relatedPersonRelationshipList>
</relatedPersonInfo>
<relatedPersonInfo>
<relatedPersonName>
<firstName>William</firstName>
<lastName>Heiden</lastName>
</relatedPersonName>
<relatedPersonAddress>
<street1>Third Pole, Inc.</street1>
<street2>309 Waverly Oaks Road, Suite 404</street2>
<city>Waltham</city>
<stateOrCountry>MA</stateOrCountry>
<stateOrCountryDescription>MASSACHUSETTS</stateOrCountryDescription>
<zipCode>02452</zipCode>
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<relationship>Director</relationship>
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<relatedPersonInfo>
<relatedPersonName>
<firstName>Werner</firstName>
<lastName>Cautreels</lastName>
</relatedPersonName>
<relatedPersonAddress>
<street1>Third Pole, Inc.</street1>
<street2>309 Waverly Oaks Road, Suite 404</street2>
<city>Waltham</city>
<stateOrCountry>MA</stateOrCountry>
<stateOrCountryDescription>MASSACHUSETTS</stateOrCountryDescription>
<zipCode>02452</zipCode>
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<relatedPersonRelationshipList>
<relationship>Director</relationship>
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</relatedPersonInfo>
<relatedPersonInfo>
<relatedPersonName>
<firstName>Matthew</firstName>
<lastName>Gaylord</lastName>
</relatedPersonName>
<relatedPersonAddress>
<street1>Third Pole, Inc.</street1>
<street2>309 Waverly Oaks Road, Suite 404</street2>
<city>Waltham</city>
<stateOrCountry>MA</stateOrCountry>
<stateOrCountryDescription>MASSACHUSETTS</stateOrCountryDescription>
<zipCode>02452</zipCode>
</relatedPersonAddress>
<relatedPersonRelationshipList>
<relationship>Director</relationship>
</relatedPersonRelationshipList>
</relatedPersonInfo>
<relatedPersonInfo>
<relatedPersonName>
<firstName>Ron</firstName>
<lastName>Robison</lastName>
</relatedPersonName>
<relatedPersonAddress>
<street1>Third Pole, Inc.</street1>
<street2>309 Waverly Oaks Road, Suite 404</street2>
<city>Waltham</city>
<stateOrCountry>MA</stateOrCountry>
<stateOrCountryDescription>MASSACHUSETTS</stateOrCountryDescription>
<zipCode>02452</zipCode>
</relatedPersonAddress>
<relatedPersonRelationshipList>
<relationship>Director</relationship>
</relatedPersonRelationshipList>
</relatedPersonInfo>
<relatedPersonInfo>
<relatedPersonName>
<firstName>Emily</firstName>
<lastName>Ladd-Kravitz</lastName>
</relatedPersonName>
<relatedPersonAddress>
<street1>Third Pole, Inc.</street1>
<street2>309 Waverly Oaks Road, Suite 404</street2>
<city>Waltham</city>
<stateOrCountry>MA</stateOrCountry>
<stateOrCountryDescription>MASSACHUSETTS</stateOrCountryDescription>
<zipCode>02452</zipCode>
</relatedPersonAddress>
<relatedPersonRelationshipList>
<relationship>Executive Officer</relationship>
</relatedPersonRelationshipList>
<relationshipClarification>Secretary</relationshipClarification>
</relatedPersonInfo>
<relatedPersonInfo>
<relatedPersonName>
<firstName>Elizabeth</firstName>
<lastName>Holmberg</lastName>
</relatedPersonName>
<relatedPersonAddress>
<street1>Third Pole, Inc.</street1>
<street2>309 Waverly Oaks Road, Suite 404</street2>
<city>Waltham</city>
<stateOrCountry>MA</stateOrCountry>
<stateOrCountryDescription>MASSACHUSETTS</stateOrCountryDescription>
<zipCode>02452</zipCode>
</relatedPersonAddress>
<relatedPersonRelationshipList>
<relationship>Executive Officer</relationship>
</relatedPersonRelationshipList>
<relationshipClarification>CFO and Treasurer</relationshipClarification>
</relatedPersonInfo>
</relatedPersonsList>
<offeringData>
<industryGroup>
<industryGroupType>Other Technology</industryGroupType>
</industryGroup>
<issuerSize>
<revenueRange>Decline to Disclose</revenueRange>
</issuerSize>
<federalExemptionsExclusions>
<item>06b</item>
</federalExemptionsExclusions>
<typeOfFiling>
<newOrAmendment>
<isAmendment>true</isAmendment>
<previousAccessionNumber>0001567619-23-003160</previousAccessionNumber>
</newOrAmendment>
<dateOfFirstSale>
<value>2019-03-05</value>
</dateOfFirstSale>
</typeOfFiling>
<durationOfOffering>
<moreThanOneYear>true</moreThanOneYear>
</durationOfOffering>
<typesOfSecuritiesOffered>
<isEquityType>true</isEquityType>
<isOptionToAcquireType>true</isOptionToAcquireType>
<isSecurityToBeAcquiredType>true</isSecurityToBeAcquiredType>
<isOtherType>true</isOtherType>
<descriptionOfOtherType>Series B-1/B-2 Preferred Stock (B Shares)convertible into Common Stock (Conversion Shares) & Series B-1/B-2 warrants, underlying Series B Shares & Conversion Shares.</descriptionOfOtherType>
</typesOfSecuritiesOffered>
<businessCombinationTransaction>
<isBusinessCombinationTransaction>false</isBusinessCombinationTransaction>
</businessCombinationTransaction>
<minimumInvestmentAccepted>0</minimumInvestmentAccepted>
<salesCompensationList>
<recipient>
<recipientName>Saturn Capital, Inc.</recipientName>
<recipientCRDNumber>15412</recipientCRDNumber>
<associatedBDName>None</associatedBDName>
<associatedBDCRDNumber>None</associatedBDCRDNumber>
<recipientAddress>
<street1>75 Federal Street</street1>
<street2>Suite 1320</street2>
<city>Boston</city>
<stateOrCountry>MA</stateOrCountry>
<stateOrCountryDescription>MASSACHUSETTS</stateOrCountryDescription>
<zipCode>02110</zipCode>
</recipientAddress>
<statesOfSolicitationList>
<state>AL</state>
<description>ALABAMA</description>
<state>AZ</state>
<description>ARIZONA</description>
<state>CA</state>
<description>CALIFORNIA</description>
<state>CO</state>
<description>COLORADO</description>
<state>CT</state>
<description>CONNECTICUT</description>
<state>DE</state>
<description>DELAWARE</description>
<state>DC</state>
<description>DISTRICT OF COLUMBIA</description>
<state>FL</state>
<description>FLORIDA</description>
<state>GA</state>
<description>GEORGIA</description>
<state>IL</state>
<description>ILLINOIS</description>
<state>KS</state>
<description>KANSAS</description>
<state>KY</state>
<description>KENTUCKY</description>
<state>ME</state>
<description>MAINE</description>
<state>MD</state>
<description>MARYLAND</description>
<state>MA</state>
<description>MASSACHUSETTS</description>
<state>MI</state>
<description>MICHIGAN</description>
<state>MN</state>
<description>MINNESOTA</description>
<state>MS</state>
<description>MISSISSIPPI</description>
<state>MO</state>
<description>MISSOURI</description>
<state>NV</state>
<description>NEVADA</description>
<state>NH</state>
<description>NEW HAMPSHIRE</description>
<state>NJ</state>
<description>NEW JERSEY</description>
<state>NY</state>
<description>NEW YORK</description>
<state>NC</state>
<description>NORTH CAROLINA</description>
<state>OH</state>
<description>OHIO</description>
<state>OK</state>
<description>OKLAHOMA</description>
<state>OR</state>
<description>OREGON</description>
<state>PA</state>
<description>PENNSYLVANIA</description>
<state>RI</state>
<description>RHODE ISLAND</description>
<state>TX</state>
<description>TEXAS</description>
<state>VT</state>
<description>VERMONT</description>
<state>VA</state>
<description>VIRGINIA</description>
<state>WI</state>
<description>WISCONSIN</description>
</statesOfSolicitationList>
</recipient>
</salesCompensationList>
<offeringSalesAmounts>
<totalOfferingAmount>Indefinite</totalOfferingAmount>
<totalAmountSold>55193367</totalAmountSold>
<totalRemaining>Indefinite</totalRemaining>
</offeringSalesAmounts>
<investors>
<hasNonAccreditedInvestors>false</hasNonAccreditedInvestors>
<totalNumberAlreadyInvested>85</totalNumberAlreadyInvested>
</investors>
<salesCommissionsFindersFees>
<salesCommissions>
<dollarAmount>0</dollarAmount>
<isEstimate>true</isEstimate>
</salesCommissions>
<findersFees>
<dollarAmount>0</dollarAmount>
</findersFees>
<clarificationOfResponse>Amount not known at this time, but includes (i) fee of up to 7.5% of gross proceeds & (ii) warrant(s) for Series B Convertible Preferred Stock, dependent upon additional tranche closings in the offering.</clarificationOfResponse>
</salesCommissionsFindersFees>
<useOfProceeds>
<grossProceedsUsed>
<dollarAmount>0</dollarAmount>
<isEstimate>true</isEstimate>
</grossProceedsUsed>
<clarificationOfResponse>Certain persons named in Item 3 or affiliate(s)thereof may receive payments deemed made from the proceeds of the offering, including management and/or administrative fees. The amounts of such payments cannot be estimated at this time.</clarificationOfResponse>
</useOfProceeds>
<signatureBlock>
<signature>
<issuerName>THIRD POLE, INC.</issuerName>
<signatureName>/s/ Basil Athenson</signatureName>
<nameOfSigner>Basil Athenson</nameOfSigner>
<signatureTitle>Chief Executive Officer and President</signatureTitle>
<signatureDate>2024-02-06</signatureDate>
</signature>
</signatureBlock>
</offeringData>
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</TEXT>
</DOCUMENT>
</SEC-DOCUMENT>