SRAX, 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.
- 2022-08-22: Federal exemption Rule 506(b); Types of securities offered Debt; SecurityToBeAcquired; Date of first sale 2022-08-08; Total offering amount $9,450,000.
- 2020-07-01: Federal exemption Rule 506(b); Types of securities offered Debt; OptionToAcquire; SecurityToBeAcquired; Date of first sale 2020-06-30; Total offering amount $16,101,388.
- 2019-08-30: Federal exemption Rule 506(b); Types of securities offered OptionToAcquire; SecurityToBeAcquired; Private portion of offering includes Series B warrants and Series C warrants to purchase our Class A common stock; Date of first sale 2019-08-14; Total offering amount $5,490,000.
- 2018-12-13: Federal exemption Rule 506(b); Types of securities offered OptionToAcquire; Date of first sale 2018-11-29; Total offering amount $0.
| 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 |
|---|---|---|---|---|---|---|---|
| 2022-08-22 | Rule 506(b) | Debt; SecurityToBeAcquired | 2022-08-08 | $9,450,000 | $9,450,000 | $0 | 1 |
| 2020-07-01 | Rule 506(b) | Debt; OptionToAcquire; SecurityToBeAcquired | 2020-06-30 | $16,101,388 | $16,101,388 | $0 | 12 |
| 2019-08-30 | Rule 506(b) | OptionToAcquire; SecurityToBeAcquired; Private portion of offering includes Series B warrants and Series C warrants to purchase our Class A common stock | 2019-08-14 | $5,490,000 | $5,490,000 | $0 | 55 |
| 2018-12-13 | Rule 506(b) | OptionToAcquire | 2018-11-29 | $0 | $0 | $0 | 5 |
| 2017-11-09 | Rule 506(b) | Debt; OptionToAcquire; SecurityToBeAcquired | 2017-10-27 | $5,500,000 | $5,180,158 | $319,842 | 9 |
| 2017-05-04 | Rule 506(b) | Debt; OptionToAcquire; SecurityToBeAcquired | 2017-04-21 | $5,000,000 | $5,000,000 | $0 | 10 |
| 2017-01-17 | Rule 506(b) | OptionToAcquire; SecurityToBeAcquired | 2017-01-05 | $4,000,000 | $4,000,000 | $0 | 4 |
| 2016-09-27 | Rule 506(b) | Equity; OptionToAcquire | Yet to occur | $5,000,000 | $0 | $5,000,000 | 0 |
| 2014-11-06 | Rule 506(b) | Debt; OptionToAcquire | 2014-10-30 | $20,000,000 | $20,000,000 | $0 | 1 |
| 2014-10-03 D/A | Rule 506(b) | Equity; OptionToAcquire | Yet to occur | $7,000,000 | $0 | $7,000,000 | 0 |
| 2014-10-02 | Rule 506(b) | Equity; OptionToAcquire | Yet to occur | $7,000,000 | $0 | $7,000,000 | 0 |
| 2013-11-14 D/A | Rule 506(b) | Equity; OptionToAcquire | 2013-11-06 | $325,000 | $325,000 | $0 | 9 |
| 2013-11-01 | Rule 506(b) | Equity; OptionToAcquire | Yet to occur | $275,000 | $0 | $275,000 | 0 |
| 2013-10-18 D/A | Rule 506(b) | Equity; OptionToAcquire | 2013-10-08 | $2,400,000 | $688,000 | $1,712,000 | 10 |
| 2013-10-11 | Rule 506(b) | Equity; OptionToAcquire | 2013-10-08 | $2,400,000 | $688,000 | $1,712,000 | 0 |