ECOSPHERE TECHNOLOGIES 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.
- 2014-01-02: Federal exemption Rule 506(b); Types of securities offered Debt; OptionToAcquire; Date of first sale 2013-12-18; Total offering amount $5,000,000.
- 2013-06-07: Federal exemption Rule 506; Types of securities offered SecurityToBeAcquired; Date of first sale 2013-05-23; Total offering amount $8,750.
- 2013-05-22: Federal exemption Rule 506; Types of securities offered SecurityToBeAcquired; Date of first sale 2013-05-08; Total offering amount $18,750.
- 2013-03-01: Federal exemption Rule 506; Types of securities offered Debt; OptionToAcquire; Date of first sale 2013-02-19; Total offering amount $3,400,000.
| 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 |
|---|---|---|---|---|---|---|---|
| 2014-01-02 | Rule 506(b) | Debt; OptionToAcquire | 2013-12-18 | $5,000,000 | $1,700,000 | $3,300,000 | 7 |
| 2013-06-07 | Rule 506 | SecurityToBeAcquired | 2013-05-23 | $8,750 | $8,750 | $0 | 1 |
| 2013-05-22 | Rule 506 | SecurityToBeAcquired | 2013-05-08 | $18,750 | $18,750 | $0 | 1 |
| 2013-03-01 | Rule 506 | Debt; OptionToAcquire | 2013-02-19 | $3,400,000 | $750,000 | $2,650,000 | 2 |
| 2011-06-16 | Rule 506 | SecurityToBeAcquired | 2011-06-16 | $9,999 | $9,999 | $0 | 1 |
| 2010-12-20 | Rule 506 | Equity; OptionToAcquire; Consisted of shares of common stock at $0.77 per share and five-year warrants exercisable at $1.00 per share. For each two shares purchased, one warrant was issued. | 2010-07-23 | $3,000,000 | $545,000 | $2,455,000 | 3 |
| 2010-12-03 D/A | Rule 506 | Debt; OptionToAcquire; Two-year, convertible notes with 10% interest, convertible at $0.70 per share, together with five-year warrants equal to one-half the number of shares of common stock issuable upon conversion, exercisable at $0.70 per share. | 2010-11-18 | $2,000,000 | $275,000 | $1,725,000 | 1 |
| 2010-12-02 | Rule 506 | Equity; Debt | 2010-11-18 | $2,000,000 | $275,000 | $1,725,000 | 1 |
| 2010-04-05 | Rule 506 | OptionToAcquire | 2010-02-24 | Indefinite | $75,938 | Indefinite | 6 |
| 2008-10-09 | Rule 506 | Secured Convertible Notes | 2008-09-23 | $1,885,000 | $1,265,000 | $620,000 | 15 |