root9B 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.
- 2016-09-26: Federal exemption Rule 506(b); Types of securities offered Debt; OptionToAcquire; SecurityToBeAcquired; Date of first sale 2016-09-09; Total offering amount $10,000,000.
- 2015-12-02: Federal exemption Rule 506(b); Types of securities offered Equity; OptionToAcquire; Date of first sale 2015-11-05; Total offering amount $7,700,000.
- 2015-08-13: Federal exemption Rule 506(b); Types of securities offered OptionToAcquire; Date of first sale 2015-08-11; Total offering amount $0.
- 2015-03-17: Federal exemption Rule 506(b); Types of securities offered Equity; OptionToAcquire; Date of first sale 2015-03-12; Total offering amount $4,055,498.
| 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 |
|---|---|---|---|---|---|---|---|
| 2016-09-26 | Rule 506(b) | Debt; OptionToAcquire; SecurityToBeAcquired | 2016-09-09 | $10,000,000 | $3,636,000 | $6,364,000 | 6 |
| 2015-12-02 | Rule 506(b) | Equity; OptionToAcquire | 2015-11-05 | $7,700,000 | $845,750 | $6,854,250 | 4 |
| 2015-08-13 | Rule 506(b) | OptionToAcquire | 2015-08-11 | $0 | $0 | $0 | 2 |
| 2015-03-17 | Rule 506(b) | Equity; OptionToAcquire | 2015-03-12 | $4,055,498 | $4,055,498 | $0 | 17 |
| 2015-02-20 | Rule 506(b) | Equity; OptionToAcquire | 2015-02-09 | $7,353,753 | $7,353,753 | $0 | 1 |
| 2014-12-03 D/A | Rule 506(b) | OptionToAcquire; Convertible Promissory Note and Warrant | 2014-10-23 | $2,000,000 | $1,800,000 | $200,000 | 7 |
| 2014-11-06 | Rule 506(b) | OptionToAcquire; Convertible Promissory Note and Warrant | 2014-10-23 | $2,000,000 | $1,250,000 | $750,000 | 5 |
| 2013-07-02 D/A | Rule 506 | OptionToAcquire; Convertible Promissory Note | 2012-11-16 | $1,000,000 | $750,000 | $250,000 | 6 |
| 2013-03-07 D/A | Rule 506 | Equity; OptionToAcquire; Preferred Stock | 2012-12-26 | $15,000,000 | $13,126,000 | $1,874,000 | 118 |
| 2013-01-31 D/A | Rule 506 | Equity; OptionToAcquire; Preferred Stock | 2012-12-26 | $15,000,000 | $11,100,100 | $3,899,900 | 99 |
| 2013-01-08 | Rule 506 | Equity; OptionToAcquire; Preferred Stock | 2012-12-26 | $15,000,000 | $7,046,000 | $7,954,000 | 38 |
| 2013-01-08 | Rule 506 | OptionToAcquire; Convertible Promissory Note | 2012-11-16 | $1,000,000 | $750,000 | $250,000 | 7 |
| 2011-03-09 | Rule 506 | OptionToAcquire; Convertible Preferred Stock | 2011-03-03 | $5,000,000 | $5,000,000 | $0 | 2 |
| 2010-12-22 | Rule 506 | Units, consisting of preferred stock and warrants | 2010-12-06 | $560,000 | $112,000 | $448,000 | 4 |
| 2010-07-06 D/A | Rule 506 | Units, consisting of preferred stock and warrants | 2010-04-30 | $1,120,000 | $672,000 | $448,000 | 19 |
| 2010-06-02 | Rule 506 | Secured Convertible Note, Common Stock and Warrants | 2010-05-21 | $350,000 | $350,000 | $0 | 1 |
| 2010-06-02 D/A | Rule 506 | Units, consisting of preferred stock and warrants | 2010-04-30 | $1,120,000 | $602,000 | $518,000 | 17 |
| 2010-05-17 | Rule 506 | Units, consisting of preferred stock and warrants | 2010-04-30 | $1,120,000 | $364,000 | $756,000 | 8 |