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[D] Phio Pharmaceuticals Corp. SEC Filing

Filing Impact
(Low)
Filing Sentiment
(Neutral)
Form Type
D
Rhea-AI Filing Summary

Phio Pharmaceuticals Corp. (PHIO) filed a Form D announcing a Rule 506(b) private placement that opened 28-Jul-2025.

  • Target size: up to $5.08 million in warrants and the underlying common shares.
  • Raised to date: $232,149 (鈮�4.6% of target) from two accredited investors; minimum investment $0.
  • Remaining to sell: $4.85 million.
  • Broker compensation: $261,753 cash (鈮�5.2% of capital raised) plus 69,645 warrants (7,500 exercisable at $2.8125; 62,145 at $3.4188).
  • Securities offered: options/warrants and the shares issuable upon exercise; no debt or pooled-fund interests.
  • Offering duration: expected to close within one year; not linked to a business combination.
  • Issuer profile: Delaware-incorporated biotechnology company headquartered in King of Prussia, PA; revenue size undisclosed.

No proceeds are slated for payments to directors, officers or promoters. Reliance on Reg D limits the sale to accredited investors and keeps detailed financials private. Execution risk remains until the full amount is subscribed.

Phio Pharmaceuticals Corp. (PHIO) ha depositato un Modulo D annunciando un private placement secondo la Regola 506(b) aperto dal 28 luglio 2025.

  • Obiettivo raccolta: fino a 5,08 milioni di dollari in warrant e azioni ordinarie sottostanti.
  • Raccolto finora: 232.149 dollari (circa il 4,6% dell鈥檕biettivo) da due investitori accreditati; investimento minimo pari a 0 dollari.
  • Residuo da vendere: 4,85 milioni di dollari.
  • Compenso per il broker: 261.753 dollari in contanti (circa il 5,2% del capitale raccolto) pi霉 69.645 warrant (7.500 esercitabili a 2,8125$; 62.145 a 3,4188$).
  • Titoli offerti: opzioni/warrant e le azioni derivanti dall鈥檈sercizio; nessun debito o interessi in fondi comuni.
  • Durata dell鈥檕fferta: prevista chiusura entro un anno; non collegata a una fusione o acquisizione.
  • Profilo dell鈥檈mittente: societ脿 biotecnologica incorporata nel Delaware con sede a King of Prussia, PA; fatturato non divulgato.

Non sono previsti proventi destinati a pagamenti a direttori, dirigenti o promotori. L鈥檜so del Regolamento D limita la vendita agli investitori accreditati e mantiene riservati i dati finanziari dettagliati. Il rischio di esecuzione permane fino a quando l鈥檌ntero importo non sar脿 sottoscritto.

Phio Pharmaceuticals Corp. (PHIO) present贸 un Formulario D anunciando una colocaci贸n privada bajo la Regla 506(b) que inici贸 el 28 de julio de 2025.

  • Tama帽o objetivo: hasta 5,08 millones de d贸lares en warrants y las acciones comunes subyacentes.
  • Recaudado hasta la fecha: 232,149 d贸lares (aproximadamente 4,6% del objetivo) de dos inversores acreditados; inversi贸n m铆nima de 0 d贸lares.
  • Restante por vender: 4,85 millones de d贸lares.
  • Compensaci贸n al corredor: 261,753 d贸lares en efectivo (aproximadamente 5,2% del capital recaudado) m谩s 69,645 warrants (7,500 ejercitables a 2,8125$; 62,145 a 3,4188$).
  • Valores ofrecidos: opciones/warrants y las acciones emitibles tras su ejercicio; sin deuda ni intereses en fondos colectivos.
  • Duraci贸n de la oferta: se espera cierre dentro de un a帽o; no vinculada a una combinaci贸n de negocios.
  • Perfil del emisor: empresa biotecnol贸gica incorporada en Delaware con sede en King of Prussia, PA; ingresos no divulgados.

No se destinar谩n ingresos para pagos a directores, oficiales o promotores. La dependencia del Reglamento D limita la venta a inversores acreditados y mantiene en privado los estados financieros detallados. El riesgo de ejecuci贸n persiste hasta que se suscriba el monto total.

Phio Pharmaceuticals Corp. (PHIO)電� 2025雲� 7鞗� 28鞚检棎 鞁滌瀾霅� 攴滌箼 506(b) 靷 氚滍枆鞚� 鞎岆Μ電� Form D毳� 鞝滌稖頄堨姷雼堧嫟.

  • 氇╉憸 攴滊: 鞗岆煱韸� 氚� 旮办磮 氤错喌欤� 頃╆硠 斓滊寑 5.08氚彪 雼煬.
  • 順勳灛旯岇 氇笀鞎�: 霊� 氇呾潣 瓿奠澑 韴瀽鞛愲攵�韯� 232,149雼煬(氇╉憸鞚� 鞎� 4.6%); 斓滌唽 韴瀽旮堨暋 0雼煬.
  • 韺愲Г 鞛旍暋: 4.85氚彪 雼煬.
  • 欷戧皽鞚� 氤挫垬: 順勱笀 261,753雼煬(氇笀鞎§潣 鞎� 5.2%) 氚� 69,645 鞗岆煱韸�(7,500臧滊姅 頄夓偓臧� 2.8125雼煬, 62,145臧滊姅 3.4188雼煬).
  • 鞝滉车 歃濌秾: 鞓奠厴/鞗岆煱韸� 氚� 頄夓偓 鞁� 氚滍枆霅橂姅 欤检嫕; 攵�毂勲倶 瓿惦彊 韼�霌� 歆�攵� 鞐嗢潓.
  • 瓿惦 旮瓣皠: 1雲� 鞚措偞 膦呺 鞓堨爼; 靷梾 瓴绊暕瓿� 氍搓磤.
  • 氚滍枆鞚� 頂勲頃�: 雿鸽澕鞗柎鞐� 靹る霅� 靸濍獏瓿淀暀 須岇偓搿� 韼滌嫟氩犾澊雼堨晞欤� 韨� 鞓る笇 頂勲（鞁滌晞鞐� 氤胳偓; 靾橃澋 攴滊 氙戈车臧�.

鞚挫澋旮堨潃 鞚挫偓, 鞛勳洂 霕愲姅 頇嶋炒鞛愳棎瓴� 歆�旮夒悩歆� 鞎婌姷雼堧嫟. Reg D鞐� 鞚橃〈頃溂搿滌崹 韺愲Г電� 瓿奠澑 韴瀽鞛愲 鞝滍暅霅橂┌ 靸侅劯 鞛 鞝曤炒電� 牍勱车臧滊 鞙犾霅╇媹雼�. 鞝勳泊 旮堨暋鞚� 觳暯霅� 霑岅箤歆� 鞁ろ枆 鞙勴棙鞚� 臁挫灛頃╇媹雼�.

Phio Pharmaceuticals Corp. (PHIO) a d茅pos茅 un formulaire D annon莽ant un placement priv茅 selon la r猫gle 506(b) ouvert depuis le 28 juillet 2025.

  • Taille cible : jusqu'脿 5,08 millions de dollars en bons de souscription et actions ordinaires sous-jacentes.
  • Montant lev茅 脿 ce jour : 232 149 dollars (environ 4,6 % de l'objectif) aupr猫s de deux investisseurs accr茅dit茅s ; investissement minimum de 0 dollar.
  • Montant restant 脿 vendre : 4,85 millions de dollars.
  • R茅mun茅ration du courtier : 261 753 dollars en esp猫ces (environ 5,2 % des fonds lev茅s) plus 69 645 bons de souscription (7 500 exer莽ables 脿 2,8125 $ ; 62 145 脿 3,4188 $).
  • Valeurs mobili猫res offertes : options/bon de souscription et actions pouvant 锚tre 茅mises 脿 l'exercice ; pas de dette ni de parts de fonds communs.
  • Dur茅e de l'offre : cl么ture pr茅vue dans un d茅lai d鈥檜n an ; sans lien avec une fusion-acquisition.
  • Profil de l鈥櫭﹎etteur : soci茅t茅 biotechnologique incorpor茅e dans le Delaware, bas茅e 脿 King of Prussia, PA ; chiffre d鈥檃ffaires non divulgu茅.

Aucun produit n鈥檈st destin茅 脿 des paiements aux administrateurs, dirigeants ou promoteurs. Le recours au r猫glement D limite la vente aux investisseurs accr茅dit茅s et conserve la confidentialit茅 des informations financi猫res d茅taill茅es. Le risque d鈥檈x茅cution demeure tant que le montant total n鈥檈st pas souscrit.

Phio Pharmaceuticals Corp. (PHIO) reichte ein Formular D ein, das eine Private Placement nach Regel 506(b) ank眉ndigt, das am 28. Juli 2025 begann.

  • 窜颈别濒驳谤枚脽别: bis zu 5,08 Millionen US-Dollar in Warrants und den zugrundeliegenden Stammaktien.
  • Bisher eingeworben: 232.149 US-Dollar (ca. 4,6 % des Ziels) von zwei akkreditierten Investoren; Mindestanlage 0 US-Dollar.
  • Verbleibend zum Verkauf: 4,85 Millionen US-Dollar.
  • 惭补办濒别谤惫别谤驳眉迟耻苍驳: 261.753 US-Dollar in bar (ca. 5,2 % des eingeworbenen Kapitals) plus 69.645 Warrants (7.500 aus眉bbar zu 2,8125 $; 62.145 zu 3,4188 $).
  • Angebotene Wertpapiere: Optionen/Warrants und die bei Aus眉bung auszugebenden Aktien; keine Schulden oder Fondsanteile.
  • Angebotsdauer: voraussichtlich innerhalb eines Jahres abgeschlossen; nicht mit einer Unternehmenszusammenf眉hrung verbunden.
  • Emittentenprofil: Biotechnologieunternehmen mit Sitz in King of Prussia, PA, eingetragen in Delaware; Umsatzgr枚脽e nicht offengelegt.

Keine Erl枚se sind f眉r Zahlungen an Direktoren, F眉hrungskr盲fte oder Promoter vorgesehen. Die Nutzung von Reg D beschr盲nkt den Verkauf auf akkreditierte Investoren und h盲lt detaillierte Finanzdaten privat. Das Ausf眉hrungsrisiko bleibt bestehen, bis der volle Betrag gezeichnet ist.

Positive
  • Fresh capital access: Up to $5.08 million available to extend operating runway.
  • No insider payments: 0% of proceeds earmarked for executives, reducing governance red flags.
  • Broker fee reasonable: ~5% cash commission aligns with micro-cap norms and preserves majority of proceeds.
Negative
  • Low subscription rate: Only 4.6% of target raised at filing date, creating funding uncertainty.
  • Potential dilution: 69,645 placement-agent warrants plus investor warrants will expand share count if exercised.
  • Limited investor pool: Rule 506(b) restricts offering to accredited investors, possibly slowing capital inflow.

Insights

TL;DR: Small Reg D raise adds cash but only 4.6% funded; dilution capped by warrant exercise prices鈥攐verall neutral until more capital closes.

The $5.1 million target is modest versus biotech burn rates, yet fresh cash and warrant proceeds can extend runway without immediate debt. Placement fees at ~5% are typical for micro-cap deals, and no insider payouts reduce governance concerns. However, early uptake is slow (two investors), implying execution risk and possible need for sweeter terms or follow-on raises. With warrants priced above market, near-term dilution is limited, but full subscription would expand share count materially. Overall, impact is neutral pending additional sales progress.

TL;DR: Cash infusion helpful, but size unlikely to fund clinical milestones; reliance on accredited buyers narrows capital pool.

PHIO鈥檚 therapeutic platform demands sustained R&D spend; $5 million covers only a few quarters of operating expense. A Reg D structure accelerates closing yet limits marketing flexibility and may signal constrained access to traditional equity lines. Absence of non-accredited investors streamlines compliance but reduces breadth. Exercise prices above current quotes could delay cash-inflow from warrants, pushing management back to capital markets sooner. Investors should watch pace of subscriptions and any shift to shelf offerings or partnering for non-dilutive funding.

Phio Pharmaceuticals Corp. (PHIO) ha depositato un Modulo D annunciando un private placement secondo la Regola 506(b) aperto dal 28 luglio 2025.

  • Obiettivo raccolta: fino a 5,08 milioni di dollari in warrant e azioni ordinarie sottostanti.
  • Raccolto finora: 232.149 dollari (circa il 4,6% dell鈥檕biettivo) da due investitori accreditati; investimento minimo pari a 0 dollari.
  • Residuo da vendere: 4,85 milioni di dollari.
  • Compenso per il broker: 261.753 dollari in contanti (circa il 5,2% del capitale raccolto) pi霉 69.645 warrant (7.500 esercitabili a 2,8125$; 62.145 a 3,4188$).
  • Titoli offerti: opzioni/warrant e le azioni derivanti dall鈥檈sercizio; nessun debito o interessi in fondi comuni.
  • Durata dell鈥檕fferta: prevista chiusura entro un anno; non collegata a una fusione o acquisizione.
  • Profilo dell鈥檈mittente: societ脿 biotecnologica incorporata nel Delaware con sede a King of Prussia, PA; fatturato non divulgato.

Non sono previsti proventi destinati a pagamenti a direttori, dirigenti o promotori. L鈥檜so del Regolamento D limita la vendita agli investitori accreditati e mantiene riservati i dati finanziari dettagliati. Il rischio di esecuzione permane fino a quando l鈥檌ntero importo non sar脿 sottoscritto.

Phio Pharmaceuticals Corp. (PHIO) present贸 un Formulario D anunciando una colocaci贸n privada bajo la Regla 506(b) que inici贸 el 28 de julio de 2025.

  • Tama帽o objetivo: hasta 5,08 millones de d贸lares en warrants y las acciones comunes subyacentes.
  • Recaudado hasta la fecha: 232,149 d贸lares (aproximadamente 4,6% del objetivo) de dos inversores acreditados; inversi贸n m铆nima de 0 d贸lares.
  • Restante por vender: 4,85 millones de d贸lares.
  • Compensaci贸n al corredor: 261,753 d贸lares en efectivo (aproximadamente 5,2% del capital recaudado) m谩s 69,645 warrants (7,500 ejercitables a 2,8125$; 62,145 a 3,4188$).
  • Valores ofrecidos: opciones/warrants y las acciones emitibles tras su ejercicio; sin deuda ni intereses en fondos colectivos.
  • Duraci贸n de la oferta: se espera cierre dentro de un a帽o; no vinculada a una combinaci贸n de negocios.
  • Perfil del emisor: empresa biotecnol贸gica incorporada en Delaware con sede en King of Prussia, PA; ingresos no divulgados.

No se destinar谩n ingresos para pagos a directores, oficiales o promotores. La dependencia del Reglamento D limita la venta a inversores acreditados y mantiene en privado los estados financieros detallados. El riesgo de ejecuci贸n persiste hasta que se suscriba el monto total.

Phio Pharmaceuticals Corp. (PHIO)電� 2025雲� 7鞗� 28鞚检棎 鞁滌瀾霅� 攴滌箼 506(b) 靷 氚滍枆鞚� 鞎岆Μ電� Form D毳� 鞝滌稖頄堨姷雼堧嫟.

  • 氇╉憸 攴滊: 鞗岆煱韸� 氚� 旮办磮 氤错喌欤� 頃╆硠 斓滊寑 5.08氚彪 雼煬.
  • 順勳灛旯岇 氇笀鞎�: 霊� 氇呾潣 瓿奠澑 韴瀽鞛愲攵�韯� 232,149雼煬(氇╉憸鞚� 鞎� 4.6%); 斓滌唽 韴瀽旮堨暋 0雼煬.
  • 韺愲Г 鞛旍暋: 4.85氚彪 雼煬.
  • 欷戧皽鞚� 氤挫垬: 順勱笀 261,753雼煬(氇笀鞎§潣 鞎� 5.2%) 氚� 69,645 鞗岆煱韸�(7,500臧滊姅 頄夓偓臧� 2.8125雼煬, 62,145臧滊姅 3.4188雼煬).
  • 鞝滉车 歃濌秾: 鞓奠厴/鞗岆煱韸� 氚� 頄夓偓 鞁� 氚滍枆霅橂姅 欤检嫕; 攵�毂勲倶 瓿惦彊 韼�霌� 歆�攵� 鞐嗢潓.
  • 瓿惦 旮瓣皠: 1雲� 鞚措偞 膦呺 鞓堨爼; 靷梾 瓴绊暕瓿� 氍搓磤.
  • 氚滍枆鞚� 頂勲頃�: 雿鸽澕鞗柎鞐� 靹る霅� 靸濍獏瓿淀暀 須岇偓搿� 韼滌嫟氩犾澊雼堨晞欤� 韨� 鞓る笇 頂勲（鞁滌晞鞐� 氤胳偓; 靾橃澋 攴滊 氙戈车臧�.

鞚挫澋旮堨潃 鞚挫偓, 鞛勳洂 霕愲姅 頇嶋炒鞛愳棎瓴� 歆�旮夒悩歆� 鞎婌姷雼堧嫟. Reg D鞐� 鞚橃〈頃溂搿滌崹 韺愲Г電� 瓿奠澑 韴瀽鞛愲 鞝滍暅霅橂┌ 靸侅劯 鞛 鞝曤炒電� 牍勱车臧滊 鞙犾霅╇媹雼�. 鞝勳泊 旮堨暋鞚� 觳暯霅� 霑岅箤歆� 鞁ろ枆 鞙勴棙鞚� 臁挫灛頃╇媹雼�.

Phio Pharmaceuticals Corp. (PHIO) a d茅pos茅 un formulaire D annon莽ant un placement priv茅 selon la r猫gle 506(b) ouvert depuis le 28 juillet 2025.

  • Taille cible : jusqu'脿 5,08 millions de dollars en bons de souscription et actions ordinaires sous-jacentes.
  • Montant lev茅 脿 ce jour : 232 149 dollars (environ 4,6 % de l'objectif) aupr猫s de deux investisseurs accr茅dit茅s ; investissement minimum de 0 dollar.
  • Montant restant 脿 vendre : 4,85 millions de dollars.
  • R茅mun茅ration du courtier : 261 753 dollars en esp猫ces (environ 5,2 % des fonds lev茅s) plus 69 645 bons de souscription (7 500 exer莽ables 脿 2,8125 $ ; 62 145 脿 3,4188 $).
  • Valeurs mobili猫res offertes : options/bon de souscription et actions pouvant 锚tre 茅mises 脿 l'exercice ; pas de dette ni de parts de fonds communs.
  • Dur茅e de l'offre : cl么ture pr茅vue dans un d茅lai d鈥檜n an ; sans lien avec une fusion-acquisition.
  • Profil de l鈥櫭﹎etteur : soci茅t茅 biotechnologique incorpor茅e dans le Delaware, bas茅e 脿 King of Prussia, PA ; chiffre d鈥檃ffaires non divulgu茅.

Aucun produit n鈥檈st destin茅 脿 des paiements aux administrateurs, dirigeants ou promoteurs. Le recours au r猫glement D limite la vente aux investisseurs accr茅dit茅s et conserve la confidentialit茅 des informations financi猫res d茅taill茅es. Le risque d鈥檈x茅cution demeure tant que le montant total n鈥檈st pas souscrit.

Phio Pharmaceuticals Corp. (PHIO) reichte ein Formular D ein, das eine Private Placement nach Regel 506(b) ank眉ndigt, das am 28. Juli 2025 begann.

  • 窜颈别濒驳谤枚脽别: bis zu 5,08 Millionen US-Dollar in Warrants und den zugrundeliegenden Stammaktien.
  • Bisher eingeworben: 232.149 US-Dollar (ca. 4,6 % des Ziels) von zwei akkreditierten Investoren; Mindestanlage 0 US-Dollar.
  • Verbleibend zum Verkauf: 4,85 Millionen US-Dollar.
  • 惭补办濒别谤惫别谤驳眉迟耻苍驳: 261.753 US-Dollar in bar (ca. 5,2 % des eingeworbenen Kapitals) plus 69.645 Warrants (7.500 aus眉bbar zu 2,8125 $; 62.145 zu 3,4188 $).
  • Angebotene Wertpapiere: Optionen/Warrants und die bei Aus眉bung auszugebenden Aktien; keine Schulden oder Fondsanteile.
  • Angebotsdauer: voraussichtlich innerhalb eines Jahres abgeschlossen; nicht mit einer Unternehmenszusammenf眉hrung verbunden.
  • Emittentenprofil: Biotechnologieunternehmen mit Sitz in King of Prussia, PA, eingetragen in Delaware; Umsatzgr枚脽e nicht offengelegt.

Keine Erl枚se sind f眉r Zahlungen an Direktoren, F眉hrungskr盲fte oder Promoter vorgesehen. Die Nutzung von Reg D beschr盲nkt den Verkauf auf akkreditierte Investoren und h盲lt detaillierte Finanzdaten privat. Das Ausf眉hrungsrisiko bleibt bestehen, bis der volle Betrag gezeichnet ist.

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM D

Notice of Exempt Offering of Securities
OMB APPROVAL
OMB Number: 3235-0076
Estimated average burden
hours per response: 4.00

1. Issuer's Identity

CIK (Filer ID Number) Previous Names
None
Entity Type
0001533040
RXi Pharmaceuticals Corp
Rxi Pharmaceuticals Corporation
X Corporation
Limited Partnership
Limited Liability Company
General Partnership
Business Trust
Other (Specify)

Name of Issuer
Phio Pharmaceuticals Corp.
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
X Over Five Years Ago
Within Last Five Years (Specify Year)
Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
Phio Pharmaceuticals Corp.
Street Address 1 Street Address 2
411 SWEDELAND ROAD SUITE 23-1080
City State/Province/Country ZIP/PostalCode Phone Number of Issuer
KING OF PRUSSIA PENNSYLVANIA 19406 (508) 767-3861

3. Related Persons

Last Name First Name Middle Name
Bitterman Robert J.
Street Address 1 Street Address 2
411 SWEDELAND ROAD SUITE 23-1080
City State/Province/Country ZIP/PostalCode
KING OF PRUSSIA PENNSYLVANIA 19406
Relationship: X Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Bradford Patricia A.
Street Address 1 Street Address 2
411 SWEDELAND ROAD SUITE 23-1080
City State/Province/Country ZIP/PostalCode
KING OF PRUSSIA PENNSYLVANIA 19406
Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Ferrara Robert
Street Address 1 Street Address 2
411 SWEDELAND ROAD SUITE 23-1080
City State/Province/Country ZIP/PostalCode
KING OF PRUSSIA PENNSYLVANIA 19406
Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Freeman Jonathan
Street Address 1 Street Address 2
411 SWEDELAND ROAD SUITE 23-1080
City State/Province/Country ZIP/PostalCode
KING OF PRUSSIA PENNSYLVANIA 19406
Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Lockshin, Ph.D. Curtis
Street Address 1 Street Address 2
411 SWEDELAND ROAD SUITE 23-1080
City State/Province/Country ZIP/PostalCode
KING OF PRUSSIA PENNSYLVANIA 19406
Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Carson Lisa
Street Address 1 Street Address 2
411 SWEDELAND ROAD SUITE 23-1080
City State/Province/Country ZIP/PostalCode
KING OF PRUSSIA PENNSYLVANIA 19406
Relationship: X Executive Officer Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Deming David H.
Street Address 1 Street Address 2
411 SWEDELAND ROAD SUITE 23-1080
City State/Province/Country ZIP/PostalCode
KING OF PRUSSIA PENNSYLVANIA 19406
Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

4. Industry Group

Agriculture
Banking & Financial Services
Commercial Banking
Insurance
Investing
Investment Banking
Pooled Investment Fund
Is the issuer registered as
an investment company under
the Investment Company
Act of 1940?
Yes No
Other Banking & Financial Services
Business Services
Energy
Coal Mining
Electric Utilities
Energy Conservation
Environmental Services
Oil & Gas
Other Energy
Health Care
X Biotechnology
Health Insurance
Hospitals & Physicians
Pharmaceuticals
Other Health Care
Manufacturing
AG真人官方 Estate
Commercial
Construction
REITS & Finance
Residential
Other AG真人官方 Estate
Retailing
Restaurants
Technology
Computers
Telecommunications
Other Technology
Travel
Airlines & Airports
Lodging & Conventions
Tourism & Travel Services
Other Travel
Other

5. Issuer Size

Revenue Range OR Aggregate Net Asset Value Range
No Revenues No Aggregate Net Asset Value
$1 - $1,000,000 $1 - $5,000,000
$1,000,001 - $5,000,000 $5,000,001 - $25,000,000
$5,000,001 - $25,000,000 $25,000,001 - $50,000,000
$25,000,001 - $100,000,000 $50,000,001 - $100,000,000
Over $100,000,000 Over $100,000,000
X Decline to Disclose Decline to Disclose
Not Applicable Not Applicable

6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)

Rule 504(b)(1) (not (i), (ii) or (iii))
Rule 504 (b)(1)(i)
Rule 504 (b)(1)(ii)
Rule 504 (b)(1)(iii)
X Rule 506(b)
Rule 506(c)
Securities Act Section 4(a)(5)
Investment Company Act Section 3(c)
Section 3(c)(1) Section 3(c)(9)
Section 3(c)(2) Section 3(c)(10)
Section 3(c)(3) Section 3(c)(11)
Section 3(c)(4) Section 3(c)(12)
Section 3(c)(5) Section 3(c)(13)
Section 3(c)(6) Section 3(c)(14)
Section 3(c)(7)

7. Type of Filing

X New Notice Date of First Sale 2025-07-28 First Sale Yet to Occur
Amendment

8. Duration of Offering

Does the Issuer intend this offering to last more than one year?
Yes X No

9. Type(s) of Securities Offered (select all that apply)

Equity Pooled Investment Fund Interests
Debt Tenant-in-Common Securities
X Option, Warrant or Other Right to Acquire Another Security Mineral Property Securities
X Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security 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?
Yes X No

Clarification of Response (if Necessary):

11. Minimum Investment

Minimum investment accepted from any outside investor $0 USD

12. Sales Compensation

Recipient
Recipient CRD Number X None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
Street Address 1 Street Address 2
City State/Province/Country ZIP/Postal Code
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States		 All States
Foreign/non-US

13. Offering and Sales Amounts

Total Offering Amount $5,080,826 USD
or Indefinite
Total Amount Sold $232,149 USD
Total Remaining to be Sold $4,848,677 USD
or Indefinite

Clarification of Response (if Necessary):

The offering amount reflects the aggregate purchase price received and exercise price due to the Company assuming cash exercise of all warrants issued to the accredited investors and placement agent in the private placement under Rule 506(b).

14. Investors

 Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the 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:
2

15. Sales Commissions & Finder's 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 $261,753 USD
Estimate
Finders' Fees $0 USD
Estimate

Clarification of Response (if Necessary):

In connection with the offering, the placement agent received $261,753 and warrants to purchase up to 69,645 shares of common stock, 7,500 of which are exercisable at $2.8125 per share and 62,145 of which are exercisable at $3.4188 per share.

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
Estimate

Clarification of Response (if Necessary):

Signature and Submission

Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.

Terms of Submission

In submitting this notice, each issuer named above is:
  • Notifying the SEC and/or each State in which this notice is filed of the offering of securities described and undertaking to furnish them, upon written request, in the accordance with applicable law, the information furnished to offerees.*
  • Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator or other legally designated officer of the State in which the issuer maintains its principal place of business and any State in which this notice is filed, as its agents for service of process, and agreeing that these persons may accept service on its behalf, of any notice, process or pleading, and further agreeing that such service may be made by registered or certified mail, in any Federal or state action, administrative proceeding, or arbitration brought against the issuer in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in connection with the offering of securities that is the subject of this notice, and (b) is founded, directly or indirectly, upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii) the laws of the State in which the issuer maintains its principal place of business or any State in which this notice is filed.
  • Certifying that, if the issuer is claiming a Regulation D exemption for the offering, the issuer is not disqualified from relying on Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) or Rule 506(d).

Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.

For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.

Issuer Signature Name of Signer Title Date
Phio Pharmaceuticals Corp. /s/ Robert J. Bitterman Robert J. Bitterman President and Chief Executive Officer 2025-08-04

Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.

* This undertaking does not affect any limits Section 102(a) of the National Securities Markets Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to require information. As a result, if the securities that are the subject of this Form D are "covered securities" for purposes of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot routinely require offering materials under this undertaking or otherwise and can require offering materials only to the extent NSMIA permits them to do so under NSMIA's preservation of their anti-fraud authority.

Source:

FAQ

How much capital is Phio Pharmaceuticals (PHIO) seeking to raise in this Form D offering?

The company is targeting $5.08 million through warrants and the underlying shares.

How much has PHIO raised so far?

As of the filing, $232,149 has been received from two accredited investors.

What securities are being offered?

Investors receive warrants or other rights plus the common shares issuable upon exercise; no debt is included.

What fees does the placement agent earn?

The agent receives $261,753 cash and 69,645 warrants with exercise prices of $2.8125 and $3.4188.

Will any proceeds go to PHIO executives or directors?

No, the filing indicates $0 of proceeds are allocated to officers, directors, or promoters.

When did the offering start and how long will it last?

First sale occurred on 28-Jul-2025; the company does not expect the offering to exceed one year.
Stock PHIO logo
Phio Pharmaceuticals Corp

NASDAQ:PHIO

PHIO Rankings

#5991 Ranked by Market Cap
N/A Ranked by Dividends

PHIO Latest News

Aug 14, 2025
Phio Pharmaceuticals Reports Second Quarter 2025 Financial Results and Provides Business Update
Jul 25, 2025
Phio Pharmaceuticals Announces Exercise of Warrants for Approximately $2.5 Million Gross Proceeds
Jul 25, 2025
Phio Pharmaceuticals Announces Pathology Results for Four of Five Patients in Fourth Cohort
Jul 25, 2025
Phio Pharmaceuticals Announces Agreement with U.S. Manufacturing Source for Drug Substance
Jun 25, 2025
Phio Pharmaceuticals Announces Positive Safety Monitoring Committee Recommendation to Advance INTASYL PH-762 Skin Cancer Clinical Trial to Fifth Dose Escalation Cohort

PHIO Latest SEC Filings

Aug 14, 2025
[10-Q] Phio Pharmaceuticals Corp. Quarterly Earnings Report
Aug 7, 2025
[SCHEDULE 13G/A] Phio Pharmaceuticals Corp. SEC Filing
Jul 30, 2025
[8-K] Phio Pharmaceuticals Corp. Reports Material Event
Jul 30, 2025
[DEF 14A] Phio Pharmaceuticals Corp. Definitive Proxy Statement
Jul 25, 2025
[8-K] Phio Pharmaceuticals Corp. Reports Material Event

PHIO Stock Data

10.27M
4.74M
1.14%
15.77%
6.86%
Biotechnology
Pharmaceutical Preparations
United States
MARLBOROUGH