Sintx 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.
- 2014-07-15: Federal exemption Rule 506(b); Types of securities offered Debt; OptionToAcquire; Date of first sale 2014-06-30; Total offering amount $9,045,333.
- 2013-10-04: Federal exemption Rule 506(b); Types of securities offered Equity; OptionToAcquire; The Company sold units consisting of preferred stock and warrants to purchase common stock.; Date of first sale 2013-08-30; Total offering amount $10,000,000.
- 2013-09-13: Federal exemption Rule 506; Types of securities offered Equity; OptionToAcquire; The Company sold units consisting of preferred stock and warrants to purchase common stock.; Date of first sale 2013-08-30; Total offering amount $10,000,000.
- 2013-04-12: Federal exemption Rule 506; Types of securities offered Equity; OptionToAcquire; In connection with the cash exercise of already outstanding common warrants, the issuer issued replacement warrants.; Date of first sale 2013-02-25; Total offering amount $3,128,800.
| 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 |
|---|---|---|---|---|---|---|---|
| 2014-07-15 | Rule 506(b) | Debt; OptionToAcquire | 2014-06-30 | $9,045,333 | $5,545,333 | $3,500,000 | 1 |
| 2013-10-04 D/A | Rule 506(b) | Equity; OptionToAcquire; The Company sold units consisting of preferred stock and warrants to purchase common stock. | 2013-08-30 | $10,000,000 | $9,480,000 | $520,000 | 45 |
| 2013-09-13 | Rule 506 | Equity; OptionToAcquire; The Company sold units consisting of preferred stock and warrants to purchase common stock. | 2013-08-30 | $10,000,000 | $7,505,000 | $2,495,000 | 33 |
| 2013-04-12 D/A | Rule 506 | Equity; OptionToAcquire; In connection with the cash exercise of already outstanding common warrants, the issuer issued replacement warrants. | 2013-02-25 | $3,128,800 | $3,128,800 | $0 | 34 |
| 2013-03-11 | Rule 506 | Equity; OptionToAcquire; In connection with the cash exercise of already outstanding common warrants, the issuer issued replacement warrants. | 2013-02-25 | $3,128,800 | $3,128,800 | $0 | 34 |
| 2012-12-31 | Rule 506 | OptionToAcquire | 2012-12-17 | $540,000 | $540,000 | $0 | 2 |
| 2011-07-15 D/A | Rule 506 | Debt; OptionToAcquire; SecurityToBeAcquired | 2011-03-04 | $30,000,000 | $22,125,000 | $7,875,000 | 69 |
| 2011-03-15 | Rule 506 | Debt; OptionToAcquire; SecurityToBeAcquired | 2011-03-04 | $30,000,000 | $22,125,000 | $7,875,000 | 69 |
| 2010-10-05 | Rule 506 | Issue of Series E Preferred Stock pursuant to Merger Agreement. | 2010-09-20 | $26,832,500 | $13,632,500 | $13,200,000 | 90 |
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