Panbela Therapeutics, 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.
- 2024-01-05: Federal exemption Rule 506(b); Types of securities offered Equity; OptionToAcquire; Date of first sale 2023-12-21; Total offering amount Indefinite.
- 2023-11-17: Federal exemption Rule 506(b); Types of securities offered Equity; OptionToAcquire; Date of first sale 2023-11-02; Total offering amount Indefinite.
- 2022-06-29: Federal exemption Rule 506(b); Types of securities offered Equity; OptionToAcquire; Date of first sale 2022-06-15; Total offering amount Indefinite.
- 2019-09-09: Federal exemption Rule 506(b); Types of securities offered Equity; OptionToAcquire; SecurityToBeAcquired; Date of first sale 2019-08-23; Total offering amount Indefinite.
| 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 |
|---|---|---|---|---|---|---|---|
| 2024-01-05 | Rule 506(b) | Equity; OptionToAcquire | 2023-12-21 | Indefinite | $2,000,000 | Indefinite | 2 |
| 2023-11-17 | Rule 506(b) | Equity; OptionToAcquire | 2023-11-02 | Indefinite | $3,322,800 | Indefinite | 3 |
| 2022-06-29 | Rule 506(b) | Equity; OptionToAcquire | 2022-06-15 | Indefinite | $8,800,000 | Indefinite | 70 |
| 2019-09-09 | Rule 506(b) | Equity; OptionToAcquire; SecurityToBeAcquired | 2019-08-23 | Indefinite | $2,500,000 | Indefinite | 38 |
| 2019-01-04 | Rule 506(b) | Debt; OptionToAcquire; SecurityToBeAcquired | 2018-12-21 | $2,000,000 | $1,358,638 | $641,362 | 15 |
| 2018-03-06 | Rule 506(b) | Equity; OptionToAcquire; SecurityToBeAcquired | 2018-02-20 | $20,000,000 | $840,000 | $19,160,000 | 13 |
| 2017-03-06 | Rule 506(b) | Debt; Convertible promissory note and shares of common stock issuable upon conversion. | 2017-02-17 | $5,000,000 | $1,495,000 | $3,505,000 | 14 |
| 2016-06-27 | Rule 506(b) | Equity; OptionToAcquire; COMMON STOCK, WARRANTS TO PURCHASE COMMON STOCK AND THE COMMON STOCK ISSUABLE UPON THE EXERCISE THEREOF. | 2016-06-10 | $5,000,000 | $1,951,000 | $3,049,000 | 27 |