Statera Biopharma, 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.
- 2022-11-07: Federal exemption Rule 506(b); Types of securities offered Equity; OptionToAcquire; Date of first sale 2022-11-01; Total offering amount $764,500.
- 2020-06-04: Federal exemption Rule 506(b); Types of securities offered Equity; OptionToAcquire; SecurityToBeAcquired; Date of first sale 2020-06-03; Total offering amount $1,588,262.
- 2014-07-03: Federal exemption Rule 506(b); Types of securities offered Equity; OptionToAcquire; Date of first sale 2014-06-20; Total offering amount $3,500,000.
- 2010-03-05: Federal exemption Rule 506; Types of securities offered Equity; OptionToAcquire; Date of first sale 2010-03-02; Total offering amount $5,000,000.
| 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 |
|---|---|---|---|---|---|---|---|
| 2022-11-07 | Rule 506(b) | Equity; OptionToAcquire | 2022-11-01 | $764,500 | $577,000 | $187,500 | 12 |
| 2020-06-04 | Rule 506(b) | Equity; OptionToAcquire; SecurityToBeAcquired | 2020-06-03 | $1,588,262 | $1,588,262 | $0 | 3 |
| 2014-07-03 | Rule 506(b) | Equity; OptionToAcquire | 2014-06-20 | $3,500,000 | $3,500,000 | $0 | 3 |
| 2010-03-05 | Rule 506 | Equity; OptionToAcquire | 2010-03-02 | $5,000,000 | $5,000,000 | $0 | 9 |
| 2009-04-03 | Rule 506 | Series D Convertible Preferred; Common Stock Purchase Warrants | 2009-03-20 | $3,726,557 | $3,726,557 | $0 | 43 |