Securities Act

SentinelOne Announces Underwriters’ Full Exercise of Greenshoe Option and Closing of Initial Public Offering

Retrieved on: 
Tuesday, July 6, 2021
Networks, Internet, Security, Technology, Software, Financial markets, Finance, Stock market, Financial District, San Francisco, SentinelOne, Initial public offering, Securities Act, Goldman Sachs, Security, Greenshoe, Wells Fargo, Underwriting

SentinelOne, Inc. (SentinelOne), an autonomous cybersecurity platform company, today announced the closing of its initial public offering of 40,250,000 shares of its Class A common stock, including the full exercise by the underwriters of their overallotment option to purchase 5,250,000 shares of Class A common stock, at a public offering price of $35.00 per share.

Key Points: 
  • SentinelOne, Inc. (SentinelOne), an autonomous cybersecurity platform company, today announced the closing of its initial public offering of 40,250,000 shares of its Class A common stock, including the full exercise by the underwriters of their overallotment option to purchase 5,250,000 shares of Class A common stock, at a public offering price of $35.00 per share.
  • Morgan Stanley and Goldman Sachs & Co. LLC acted as lead book-running managers and representatives of the underwriters for the offering.
  • BofA Securities, Barclays, and Wells Fargo Securities acted as active book-running managers for the offering.
  • Piper Sandler, BTIG, Cowen, Needham & Company, Loop Capital Markets, Drexel Hamilton, and R. Seelaus & Co., LLC acted as co-managers for the offering.

InMed Pharmaceuticals Announces Closing of US$12 Million Private Placement Priced At-the-Market under Nasdaq Rules

Retrieved on: 
Friday, July 2, 2021
Finance, Money, Financial markets, Stock market, 73rd United States Congress, Private equity, Corporate finance, U.S. Securities and Exchange Commission, Private placement, Security, United States Securities Regulation, Securities Act

H.C. Wainwright & Co. acted as the exclusive placement agent for the private placement.

Key Points: 
  • H.C. Wainwright & Co. acted as the exclusive placement agent for the private placement.
  • The warrants have an exercise price of US$2.848 per share, are exercisable immediately and have a term of five years.
  • After deducting the placement agent fees and estimated offering expenses payable by the Company, the Company received net proceeds of approximately US$11 million.
  • The securities issued in the private placement have not been registered under the Securities Act of 1933, as amended (the Securities Act), or applicable state securities laws.

RegeneRx Biopharmaceuticals, Inc. Closes $2 Million Private Placement

Retrieved on: 
Thursday, July 1, 2021
U.S. Securities and Exchange Commission, 73rd United States Congress, Finance, United States Securities Regulation, Money, Securities Act, Private Securities Litigation Reform Act, Private placement, Forward-looking statement, Economy, United States securities law, Regulation S-K

Roth Capital Partners served as sole placement agent.

Key Points: 
  • Roth Capital Partners served as sole placement agent.
  • After the placement agent fees and estimated offering expenses payable by the company, the company expects to receive net proceeds of approximately $1,800,000.
  • The securities offered in the private placement have not been registered under the Securities Act of 1933, as amended, or applicable under state securities laws.
  • Any statements in this press release that are not historical facts are forward-looking statements made under the provisions of the Private Securities Litigation Reform Act of 1995.

Flower One Issues Common Shares in Satisfaction of Interest Payment Obligations Under Its 9.5% Unsecured Convertible Debentures

Retrieved on: 
Thursday, July 1, 2021
Other Consumer, Consumer, Retail, Tobacco, Specialty, Finance, Money, Sports, Corporate finance, Stock market, Debenture, Debt, Security, Securities Act, United States Securities Regulation

No fractional Common Shares will be issued in satisfaction of the Interest Payment.

Key Points: 
  • No fractional Common Shares will be issued in satisfaction of the Interest Payment.
  • The Common Shares issuable in satisfaction of interest payable under the March debentures and the November debentures will not be subject to any hold period resale restrictions under Canadian securities laws.
  • Any Common Shares issued to a holder of the debentures in the United States will be restricted securities under the U.S. Securities Act of 1933, as amended.
  • Flower One is the largest cannabis cultivator, producer, and full-service brand fulfillment partner in the state of Nevada.

Elastic Announces Upsizing and Pricing of $575 Million of Senior Unsecured Notes Due 2029

Retrieved on: 
Wednesday, June 30, 2021
Internet, Security, Data management, Technology, Software, Financial markets, U.S. Securities and Exchange Commission, Stock market, 73rd United States Congress, Securities Act, Security, United States Securities Regulation

The aggregate principal amount of the offering was increased by $75 million from the previously announced offering size.

Key Points: 
  • The aggregate principal amount of the offering was increased by $75 million from the previously announced offering size.
  • The notes have not been and will not be registered under the Securities Act, or the securities laws of any other jurisdiction.
  • Elastic offers three solutions for enterprise search, observability, and security, built on one technology stack that can be deployed anywhere.
  • From finding documents to monitoring infrastructure to hunting for threats, Elastic makes data usable in real time and at scale.

DGAP-News: Mister Spex sets final offer price at €25.00 per share

Retrieved on: 
Wednesday, June 30, 2021
U.S. Securities and Exchange Commission, Financial markets, 73rd United States Congress, Finance, Security, Stock market, Securities Act, Financial economics, United States securities law, Regulation D, Form 144

These materials do not constitute an offer of securities for sale or a solicitation of an offer to purchase securities (the "Securities") of Mister Spex SE (the "Company") in the United States, Australia, Canada, Japan or any other jurisdiction in which such offer or solicitation is unlawful.

Key Points: 
  • These materials do not constitute an offer of securities for sale or a solicitation of an offer to purchase securities (the "Securities") of Mister Spex SE (the "Company") in the United States, Australia, Canada, Japan or any other jurisdiction in which such offer or solicitation is unlawful.
  • The Securities have not been, and will not be, registered under the Securities Act.
  • This publication constitutes neither an offer to sell nor a solicitation to buy securities.
  • Stabilization transactions may result in a market price that is higher than would otherwise prevail.

ROX Financial LP Announces the Filing of a Registration Statement for Its Proposed Initial Public Offering of Series AMZL

Retrieved on: 
Tuesday, June 29, 2021
Commercial Building & Real Estate, Construction & Property, REIT, Finance, Money, Financial markets, Stock market, U.S. Securities and Exchange Commission, Corporate finance, 73rd United States Congress, SEC filings, Securities Act, Form S-1, UBS, Security

ROX Financial LP today announced that it has filed a registration statement on Form S-11 with the U.S. Securities and Exchange Commission, or SEC, for the proposed initial public offering of 8,250,000 Series AMZL shares, which represent limited partner interests associated with a series of ROX called Series AMZL, at an initial public offering price of $10.00 per share.

Key Points: 
  • ROX Financial LP today announced that it has filed a registration statement on Form S-11 with the U.S. Securities and Exchange Commission, or SEC, for the proposed initial public offering of 8,250,000 Series AMZL shares, which represent limited partner interests associated with a series of ROX called Series AMZL, at an initial public offering price of $10.00 per share.
  • UBS Investment Bank is acting as lead book-running manager and as representative of the underwriters for the proposed offering.
  • The proposed offering is subject to market and other conditions, including the effectiveness of the registration statement under the Securities Act of 1933, as amended.
  • About ROX Financial LP: ROX Financial LP is a newly organized Delaware series limited partnership that has been formed to expand access to differentiated commercial real estate investment opportunities.

Playground Ventures Announces Closing of First Tranche of Non-brokered Financing

Retrieved on: 
Tuesday, June 29, 2021
Financial markets, Finance, Security, Stock market, United States Securities Regulation, Money, Securities Act, Financial law, Fixed-income securities

The net proceeds of the Offering from the sale of the Units will be used by the Company for general working capital purposes.

Key Points: 
  • The net proceeds of the Offering from the sale of the Units will be used by the Company for general working capital purposes.
  • "Playground offers investors a unique opportunity to participate in a diversified portfolio of cash flow market ready assets and early-stage venture companies.
  • In addition to ThreeD Capital's lead investment into Playground, Mr. Inwentash currently sits on the Company's advisory board.
  • Persons unless registered under the U.S. Securities Act and applicable state securities laws or an exemption from such registration is available.

NevGold Corp. Begins Trading on the TSX-V Under Symbol NAU

Retrieved on: 
Tuesday, June 29, 2021
Contract law, 73rd United States Congress, Securities Act, U.S. Securities and Exchange Commission, Contract, United States Securities Regulation, Forward-looking statement, Articles, Law, Private law

The Company is an exploration and development company targeting large-scale mineral systems in the proven districts of Nevada and British Columbia.

Key Points: 
  • The Company is an exploration and development company targeting large-scale mineral systems in the proven districts of Nevada and British Columbia.
  • NevGold owns a 100% interest in the Limousine Butte and Cedar Wash Projects in Nevada, and the Ptarmigan silver polymetallic project in Southeast BC that was owned by the former Silver Mountain Mines.
  • Persons unless registered under the U.S. Securities Act and applicable state securities laws unless pursuant to an exemption from such registration.
  • Forward-looking statements are not guarantees of future performance and accordingly undue reliance should not be put on such statements due to the inherent uncertainty therein.

Pedro Announces Delisting from the TSX Venture Exchange and Conditional Approval from the Canadian Securities Exchange

Retrieved on: 
Tuesday, June 29, 2021
Financial markets, Security, Stock market, Toronto Stock Exchange, Securities Act, TSX Venture Exchange, Finance, Alberta, Alberta Securities Commission, Regulation S-K

Disinterested shareholders of the Company approved the delisting of the common shares at the annual and special meeting of shareholders held on March 26, 2021.

Key Points: 
  • Disinterested shareholders of the Company approved the delisting of the common shares at the annual and special meeting of shareholders held on March 26, 2021.
  • The Company has received conditional approval from the Canadian Securities Exchange to list its common shares.
  • Persons unless registered under the U.S. Securities Act and applicable state securities laws or an exemption from such registration is available.
  • Further details
    Neither TSX Venture Exchange nor its Regulation Services Provider (as that term is defined in policies of the TSX Venture Exchange) accepts responsibility for the adequacy or accuracy of this release.