SORRENTO TECH, 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.
- 2016-09-30: Federal exemption Rule 506(b); Types of securities offered Equity; OptionToAcquire; Warrants and Preferred Stock convertible into Common Stock; Date of first sale 2016-09-21; Total offering amount $22,500,000.
- 2013-12-05: Federal exemption Rule 506(b); Types of securities offered Equity; Series E Preferred Stock convertible into Series A Common Stock; Date of first sale 2013-11-20; Total offering amount $16,996,657.
- 2013-06-27: Federal exemption Rule 506; Types of securities offered Equity; OptionToAcquire; Class E Preferred Stock and Series A Warrants to purchase Series A Preferred Stock; Date of first sale 2013-06-13; Total offering amount $24,999,999.
- 2011-12-28: Federal exemption Rule 506; Types of securities offered Equity; Class D Preferred Stock; Date of first sale 2009-09-10; 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 |
|---|---|---|---|---|---|---|---|
| 2016-09-30 | Rule 506(b) | Equity; OptionToAcquire; Warrants and Preferred Stock convertible into Common Stock | 2016-09-21 | $22,500,000 | $22,500,000 | $0 | 32 |
| 2013-12-05 | Rule 506(b) | Equity; Series E Preferred Stock convertible into Series A Common Stock | 2013-11-20 | $16,996,657 | $16,996,657 | $0 | 5 |
| 2013-06-27 | Rule 506 | Equity; OptionToAcquire; Class E Preferred Stock and Series A Warrants to purchase Series A Preferred Stock | 2013-06-13 | $24,999,999 | $24,999,999 | $0 | 5 |
| 2011-12-28 D/A | Rule 506 | Equity; Class D Preferred Stock | 2009-09-10 | Indefinite | $27,500,000 | Indefinite | 5 |
| 2009-09-23 | Rule 506 | Equity; OptionToAcquire; The offering consists of 9,816,575 shares of Series A Preferred Stock; 2,312,949 shares of Series A-1 Preferred Stock; 37,200,000 shares of Series B Preferred Stock and 2,480,000 warrants to purchase Series B Preferred Stock. | 2009-09-10 | $49,329,524 | $29,438,587 | $19,890,937 | 6 |