CHARLIE’S 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.
- 2021-04-01: Federal exemption Rule 506(b); Types of securities offered Equity; SecurityToBeAcquired; Date of first sale 2021-03-19; Total offering amount $3,000,000.
- 2019-05-10: Federal exemption Rule 506(b); Types of securities offered Equity; SecurityToBeAcquired; Date of first sale 2019-04-26; Total offering amount $27,499,928.
- 2015-03-13: Federal exemption Rule 506(b); Types of securities offered Equity; OptionToAcquire; Date of first sale 2015-02-20; Total offering amount $4,300,000.
- 2014-02-20: Federal exemption Rule 506(b); Types of securities offered Equity; OptionToAcquire; Date of first sale 2013-11-25; Total offering amount $8,000,000.
| 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 |
|---|---|---|---|---|---|---|---|
| 2021-04-01 | Rule 506(b) | Equity; SecurityToBeAcquired | 2021-03-19 | $3,000,000 | $3,000,000 | $0 | 2 |
| 2019-05-10 | Rule 506(b) | Equity; SecurityToBeAcquired | 2019-04-26 | $27,499,928 | $27,499,928 | $0 | 119 |
| 2015-03-13 | Rule 506(b) | Equity; OptionToAcquire | 2015-02-20 | $4,300,000 | $1,800,000 | $2,500,000 | 2 |
| 2014-02-20 | Rule 506(b) | Equity; OptionToAcquire | 2013-11-25 | $8,000,000 | $8,000,000 | $0 | 28 |
| 2013-12-04 | Rule 506(b) | Equity; OptionToAcquire | 2013-11-25 | $8,000,000 | $5,190,000 | $2,810,000 | 14 |
| 2013-07-01 | Rule 506 | Debt; OptionToAcquire | 2013-06-20 | $2,700,000 | $900,000 | $1,800,000 | 6 |
| 2012-10-29 | Rule 506 | OptionToAcquire; SecurityToBeAcquired | 2012-10-15 | $15,445,650 | $15,445,650 | $0 | 69 |
| 2011-07-13 | Rule 506 | Equity; OptionToAcquire | 2011-06-22 | $1,000,000 | $500,000 | $500,000 | 10 |