NEPTUNE WELLNESS SOLUTIONS 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.
- 2022-07-27: Federal exemption Rule 506(b); Types of securities offered Equity; The securities were issued as consideration for a $3,000,000 convertible loan.; Date of first sale 2022-07-13; Total offering amount $3,599,999.
- 2020-11-05: Federal exemption Rule 506(b); Types of securities offered Equity; OptionToAcquire; Date of first sale 2020-10-21; Total offering amount $58,697,894.
- 2011-05-17: Federal exemption Rule 506; Types of securities offered Equity; OptionToAcquire; The securities offered are units, each consisting of one common share and one quarter (1/4) of one common share purchase warrant.; Date of first sale 2011-05-02; Total offering amount $6,125,000.
| 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 |
|---|---|---|---|---|---|---|---|
| 2022-07-27 | Rule 506(b) | Equity; The securities were issued as consideration for a $3,000,000 convertible loan. | 2022-07-13 | $3,599,999 | $3,599,999 | $0 | 1 |
| 2020-11-05 | Rule 506(b) | Equity; OptionToAcquire | 2020-10-21 | $58,697,894 | $34,999,992 | $23,697,902 | 11 |
| 2011-05-17 | Rule 506 | Equity; OptionToAcquire; The securities offered are units, each consisting of one common share and one quarter (1/4) of one common share purchase warrant. | 2011-05-02 | $6,125,000 | $6,125,000 | $0 | 8 |