Capital Raising in the U.S – Analyzing Offerings Using Reg D Exemption – William Rosellini

Division of Economic and Risk Analysis (DERA) U.S. Securities and Exchange Commission

By William Rosellini – In 2012, we issued a report on capital raising in the U.S. through unregistered offerings, using information extracted from Form D filings received by the U.S. Securities and Exchange Commission since the beginning of 2009 through the first quarter of 2011. In this report we update our analysis through the end of 2012 and provide additional analysis on the types of issuers, investors, and financial intermediaries that participate in such offerings.

As with our previous report, the results are intended to inform the Commission about the amount and nature of capital raised through unregistered offerings claiming a Regulation D exemption, and to provide some perspective on the state of competition and potential regulatory burden in capital markets. In particular, we compare the amount of capital raised in reliance on Regulation D to capital raised from registered and other unregistered offering methods. This information may be particularly useful in assessing the potential need for current or future rulemaking activity. This analysis is not intended to inform the Commission about compliance with or enforcement of federal securities laws.

About :

William Rosellini is the President of CytoImmune Therapeutics, Inc, a clinical stage biotechnology company. Previously, William Rosellini was the CEO of Perimeter Medical, Inc. (TSX:V “PINK”) where he oversaw 2 510K clearances, an RTO and $30M in capital raised. Prior to that William Rosellini was the CEO Nexeon Medsystems, Inc., (“OTC:QB, NXNN”)a medicaldevice manufacturing company that went public in 2017. Before that William Rosellini founded, raised $16M across A/B rounds and led Lexington Technology Group, LLC, a database company commercializing an electronic health record database solution to an exit (“DSS” NYSE). Before that William Rosellini founded Sarif Biomedical LLC, a stereotactic cancer microsurgery with IP spun-out of Medtronic and led company to an exit with Marathon Patent Group, Inc. (“MARA” NSDQ). William Rosellini subsequently served on the Marathon board of directors and chaired the Audit committee. William Rosellini completed 2 acquisitions to form Telemend Medical, Inc. a clinical engineering services company and led that company to an exit in 2016. William Rosellini was also CEO at Microtransponder, an implantable neurostimulation developer with solutions for stroke rehabilitation. William Rosellini is a former minor league pitcher with the Diamondbacks of the Arizona League, holds a JD, MBA, MS of Accounting, MS of Computational Biology, MS of Neuroscience and MS of Regulatory Science.

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