WAFERGEN BIO-SYSTEMS, 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.
- 2013-09-10: Federal exemption Rule 506; Types of securities offered Equity; OptionToAcquire; SecurityToBeAcquired; Date of first sale 2013-08-27; Total offering amount $15,000,000.
- 2011-06-01: Federal exemption Rule 506; Types of securities offered Equity; Debt; OptionToAcquire; SecurityToBeAcquired; Date of first sale 2011-05-25; Total offering amount $30,550,000.
- 2010-02-24: Federal exemption Rule 506; Types of securities offered Equity; OptionToAcquire; Units consisting of one share of common stock and one warrant to purchase 25% of one share of common stock.; Date of first sale 2009-11-11; Total offering amount $5,085,500.
- 2009-09-15: Federal exemption Rule 506; Types of securities offered Equity; OptionToAcquire; Units consisting of one share of common stock and one warrant to purchase 30% of one share of common stock.; Date of first sale 2009-05-28; Total offering amount $6,261,250.
| 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 |
|---|---|---|---|---|---|---|---|
| 2013-09-10 | Rule 506 | Equity; OptionToAcquire; SecurityToBeAcquired | 2013-08-27 | $15,000,000 | $13,668,500 | $1,331,500 | 179 |
| 2011-06-01 | Rule 506 | Equity; Debt; OptionToAcquire; SecurityToBeAcquired | 2011-05-25 | $30,550,000 | $30,550,000 | $0 | 22 |
| 2010-02-24 | Rule 506 | Equity; OptionToAcquire; Units consisting of one share of common stock and one warrant to purchase 25% of one share of common stock. | 2009-11-11 | $5,085,500 | $5,085,500 | $0 | 37 |
| 2009-09-15 D/A | Rule 506 | Equity; OptionToAcquire; Units consisting of one share of common stock and one warrant to purchase 30% of one share of common stock. | 2009-05-28 | $6,261,250 | $6,261,250 | $0 | 32 |
| 2009-07-06 | Rule 506 | Equity; OptionToAcquire; Units consisting of one share of common stock and one warrant to purchase 30% of one share of common stock. | 2009-05-28 | $8,000,000 | $4,131,250 | $3,868,750 | 11 |