Tag: Aegis Capital

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Article: Farmmi Prices $7.4 Million Underwritten Public Offering of Ordinary Shares

Article - Media, Publications

Farmmi Prices $7.4 Million Underwritten Public Offering of Ordinary Shares

PRNewswire, 22 March 2021

Farmmi, Inc. (“Farmmi” or the “Company”) (NASDAQ: FAMI), an agriculture products supplier in China, today announced the pricing of an underwritten public offering of 6,469,467 ordinary shares of the Company, at a price to the public of $1.15 per share. The closing of the offering is expected to occur on March 24, 2021, subject to customary closing conditions. In addition, the Company has granted the underwriter an option to purchase an additional 15 percent of the ordinary shares offered in the public offering solely to cover over-allotments, if any, exercisable for 25 days, after the closing of this offering, which would bring total gross proceeds to approximately $8.6 million. The Company intends to use the net proceeds from this offering for general corporate and working capital needs.

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Article: Jupiter Wellness, Inc. Announces Closing of Initial Public Offering

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Jupiter Wellness, Inc. Announces Closing of Initial Public Offering

ACCESSWIRE , 04 November 2020

Jupiter Wellness, Inc. (NASDAQ:JUPW) (the “Company”), a cutting-edge wellness brand dedicated to exploring the multiple therapeutic and medical uses of cannabidiol (CBD) via a multitude of convenient products, today announced the closing of its initial public offering of 933,333 units consisting of one share of common stock and one warrant for gross proceeds of $7,000,000, before deducting offering expenses. Aegis Capital has fully exercised its option to purchase up to 140,000 warrants. The shares and warrants began trading on The Nasdaq Capital Market on October 30, 2020, under the symbols “JUPW” and “JUPWW.” Continue reading “Article: Jupiter Wellness, Inc. Announces Closing of Initial Public Offering”

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Article: Form 424B4 Jupiter Wellness, Inc.

Article - Media, Publications

Form 424B4 Jupiter Wellness, Inc.

BONGIOVANNI MICHAEL J, 02 November 2020

We are offering 933,333 units (each, a “Unit”), each Unit consisting of one share of common stock, par value $0.001 per share, and one warrant (each a “Warrant”), in a firm commitment initial public offering at an offering price of US$7.50 per Unit. Each Warrant is immediately exercisable, will entitle the holder to purchase one share of common stock at an exercise price of US$8.50 and will expire five (5) years from the date of issuance. The shares of common stock and Warrants may be transferred separately immediately upon issuance.

We have been approved to list our shares of common stock and Warrants for trading on the Nasdaq Capital Market, subject to official notice of issuance, under the symbols “JUPW” and “JUPWW”. Completion of this offering is contingent on the approval of our listing application for trading on the Nasdaq Market.

We are an emerging growth company under the Jumpstart our Business Startups Act of 2012, or JOBS Act, and, as such, may elect to comply with certain reduced public company reporting requirements for future filings. Investing in our securities involves a high degree of risk.

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Fined: Aegis Capital Corp. Fined by FINRA

Fined

Aegis Capital Corp. Fined by FINRA

10 July 2019

An AWC was issued in which the firm was censured and fined $93,125. Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that while participating in public offerings that were subject to FINRA Rule 5110, it failed to file certain documents specified in FINRA Rule 5110(b)(5) with FINRA after it had filed such documents with the SEC. The findings stated that to date, these documents have not been filed with FINRA.

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Fined: Aegis Capital Corp. Fined by FINRA (December 2018)

Fined

Aegis Capital Corp. Fined by FINRA

14 December 2018

An AWC was issued in which the firm was censured and fined $64,000. Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it failed to report to the Trade Reporting and Compliance Engine® (TRACE®) transactions in TRACE-eligible corporate debt securities and transactions in TRACE-eligible securitized products within the time required by FINRA Rule 6730(a).

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