STEM 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.
- 2021-03-09: Federal exemption Rule 506(b); Types of securities offered Equity; Date of first sale 2020-12-06; Total offering amount $10,000,000.
- 2019-04-18: Federal exemption Rule 506(b); Types of securities offered Equity; Date of first sale 2019-03-29; Total offering amount $8,870,000.
- 2018-05-09: Federal exemption Rule 506(b); Types of securities offered Equity; Date of first sale 2016-09-01; Total offering amount $6,500,000.
- 2017-04-05: Federal exemption Rule 506(b); Types of securities offered Equity; Date of first sale 2016-09-01; Total offering amount $3,000,000.
| 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 |
|---|---|---|---|---|---|---|---|
| 2021-03-09 | Rule 506(b) | Equity | 2020-12-06 | $10,000,000 | $6,500,000 | $3,500,000 | 50 |
| 2019-04-18 | Rule 506(b) | Equity | 2019-03-29 | $8,870,000 | $8,870,000 | $0 | 39 |
| 2018-05-09 D/A | Rule 506(b) | Equity | 2016-09-01 | $6,500,000 | $6,465,470 | $34,530 | 75 |
| 2017-04-05 | Rule 506(b) | Equity | 2016-09-01 | $3,000,000 | $2,700,000 | $300,000 | 30 |