OPTINOSE, 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.
- 2021-11-30: Federal exemption Rule 506(b); Types of securities offered Equity; OptionToAcquire; SecurityToBeAcquired; Date of first sale 2021-11-16; Total offering amount $4,000,000.
- 2019-09-25: Federal exemption Rule 506(b); Types of securities offered Equity; OptionToAcquire; SecurityToBeAcquired; Date of first sale 2019-09-12; Total offering amount $5,445,599.
- 2017-04-07: Federal exemption Rule 506(b); Types of securities offered Equity; OptionToAcquire; SecurityToBeAcquired; Date of first sale 2017-03-24; Total offering amount $35,000,065.
- 2015-10-13: Federal exemption Rule 506(b); Types of securities offered Equity; OptionToAcquire; SecurityToBeAcquired; Date of first sale 2014-07-22; Total offering amount $34,999,943.
| 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 |
|---|---|---|---|---|---|---|---|
| 2021-11-30 | Rule 506(b) | Equity; OptionToAcquire; SecurityToBeAcquired | 2021-11-16 | $4,000,000 | $4,000,000 | $0 | 2 |
| 2019-09-25 | Rule 506(b) | Equity; OptionToAcquire; SecurityToBeAcquired | 2019-09-12 | $5,445,599 | $5,445,599 | $0 | 2 |
| 2017-04-07 | Rule 506(b) | Equity; OptionToAcquire; SecurityToBeAcquired | 2017-03-24 | $35,000,065 | $35,000,065 | $0 | 8 |
| 2015-10-13 D/A | Rule 506(b) | Equity; OptionToAcquire; SecurityToBeAcquired | 2014-07-22 | $34,999,943 | $34,999,943 | $0 | 23 |
| 2015-10-13 | Rule 506(b) | Equity; Debt; OptionToAcquire; SecurityToBeAcquired | 2015-09-30 | $30,000,000 | $15,000,000 | $15,000,000 | 21 |
| 2014-08-04 | Rule 506(b) | Equity; OptionToAcquire; SecurityToBeAcquired | 2014-07-22 | $34,999,943 | $29,999,972 | $4,999,971 | 23 |
| 2010-06-21 | Rule 506 | Equity; OptionToAcquire; SecurityToBeAcquired; Common Stock; Series A, B-1, B-2 and C Preferred Stock; Common Stock Warrants | 2010-06-07 | $48,750,011 | $21,055,999 | $27,694,012 | 23 |