ASCEND WELLNESS HOLDINGS, INC. Form D Notices of Exempt Offering of Securities
Notices filed with the SEC for securities sold without registration under Regulation D or Section 4(a)(5), newest first. Values are as filed.
- 2022-07-25: Federal exemption Rule 506(b); Types of securities offered OptionToAcquire; SecurityToBeAcquired; Class A Common Stock issuable on exercise of Warrants which are exercisable at $3.10 per share of Class A Common Stock until June 30, 2026, subject to acceleration.; Date of first sale Yet to occur; Total offering amount $9,703,443.
- 2022-04-27: Federal exemption Rule 506(b); Types of securities offered Equity; Class A Common Shares; Date of first sale 2022-04-19; Total offering amount $42,800,000.
- 2021-01-21: Federal exemption Rule 506(b); Types of securities offered Debt; OptionToAcquire; Date of first sale 2021-01-06; Total offering amount $49,500,000.
- 2019-06-25: Federal exemption Rule 506(b); Types of securities offered Debt; OptionToAcquire; Date of first sale 2019-06-14; Total offering amount $35,000,000.
| Filed | Federal exemption | Types of securities offered | Date of first sale | Total offering amount | Total amount sold | Total remaining to be sold | Investors who have already invested |
|---|---|---|---|---|---|---|---|
| 2022-07-25 | Rule 506(b) | OptionToAcquire; SecurityToBeAcquired; Class A Common Stock issuable on exercise of Warrants which are exercisable at $3.10 per share of Class A Common Stock until June 30, 2026, subject to acceleration. | Yet to occur | $9,703,443 | $0 | $9,703,443 | 5 |
| 2022-04-27 | Rule 506(b) | Equity; Class A Common Shares | 2022-04-19 | $42,800,000 | $42,800,000 | $0 | 3 |
| 2021-01-21 | Rule 506(b) | Debt; OptionToAcquire | 2021-01-06 | $49,500,000 | $40,700,000 | $8,800,000 | 11 |
| 2019-06-25 | Rule 506(b) | Debt; OptionToAcquire | 2019-06-14 | $35,000,000 | $17,234,000 | $17,766,000 | 9 |