Article: Form 424B5 Farmmi, Inc.

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Form 424B5 Farmmi, Inc.

Toppan Merrill/FA, 23 March 2021

We are offering 6,469,467 ordinary shares, at a public offering price of $1.15 per ordinary share, pursuant to this prospectus supplement and the accompanying prospectus. See “Description of Ordinary Shares” in the accompanying prospectus for more information.

The ordinary shares trade on The Nasdaq Capital Market, or Nasdaq, under the symbol “FAMI”. On March 18, 2021, the last reported price of the ordinary shares on Nasdaq was $1.38 per ordinary share.

On March 19, 2021, the aggregate market value of our ordinary shares held by non-affiliates was approximately $16,260,024, based on 21,114,303 ordinary shares outstanding, 11,614,303 of which are held by non-affiliates, and a per ordinary share price of $1.40 based on the closing sale price of our ordinary shares on Nasdaq on March 19, 2021. We have not sold any of our ordinary shares pursuant to General Instruction I.B.5 on Form F-3 during the prior 12 calendar month period that ends on and includes the date hereof (but excluding this offering).

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Article: Bank of America, Morgan Stanley win dismissal of metals spoofing litigation

Article - Media, Publications

Bank of America, Morgan Stanley win dismissal of metals spoofing litigation

Jonathan Stempel, 05 March 2021

NEW YORK (Reuters) – A federal judge in Manhattan on Thursday dismissed litigation by traders and trading firms accusing Bank of America Corp and Morgan Stanley of manipulating the precious metals futures market by placing trades and then cancelling them before execution, or “spoofing”.

U.S. District Judge Lewis Liman in Manhattan said the June 2019 lawsuit over alleged spoofing in gold, silver, platinum and palladium futures from 2007 to 2014 was filed long after the two-year federal statute of limitations had run out.

The investors said the clock started in January 2018 when the traders Edward Bases and John Pacilio, both from Connecticut and also defendants, were charged with commodities fraud. Six other people were criminally charged at the time. Continue reading “Article: Bank of America, Morgan Stanley win dismissal of metals spoofing litigation”

Article: Form 424B5 Antelope Enterprise Holdings Ltd

Article - Media, Publications

Form 424B5 Antelope Enterprise Holdings Ltd

Toppan Merrill, 12 February 2021

We are offering 588,236 common shares at a price of $3.57 per share (the “Shares”) to selected institutional investors pursuant to this prospectus supplement and the accompanying prospectus and a securities purchase agreement with such investors. In a concurrent private placement, we are selling to such investors warrants to purchase 588,236 common shares (the “Warrants”). The Warrants and the common shares issuable upon the exercise of the Warrants are being offered pursuant to the exemption provided in Section 4(a)(2) under the Securities Act and Rule 506(b) promulgated thereunder, and they are not being offered pursuant to this prospectus supplement and the accompanying prospectus.

As of February 11, 2021, the aggregate market value of our outstanding common shares held by non-affiliates was approximately $8.69 million, based on 3,108,020 outstanding common shares, of which outstanding shares 2,269,037 were held by non-affiliates, and a per share price of $3.83 based on the closing price of our common shares on February 11, 2021.

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Article: Form 6-K Antelope Enterprise Holdings Ltd

Article - Media, Publications

Form 6-K Antelope Enterprise Holdings Ltd

Toppan Merrill, 12 February 2021

On February 12, 2021, Antelope Enterprise Holdings Ltd. (f/k/a China Ceramics Co., Ltd.) (the “Company”) entered into a Securities Purchase Agreement (the “Purchase Agreement”) with certain institutional investors (the “Investors”) for the sale by the Company of 588,236 common shares (the “Common Shares”), at a purchase price of $3.57 per share. The Common Shares were offered by the Company pursuant to its shelf registration statement on Form F-3 (File No. 333-228182), which was declared effective by the Securities and Exchange Commission on November 19, 2019. Continue reading “Article: Form 6-K Antelope Enterprise Holdings Ltd”

Victim: Kraig Higginson

Victim - Company

Kraig Higginson is the Executive Chairman of the Board at Sundance Strategies, Inc. Higginson served as Chief Executive Officer of VIA Motors, Inc., until January 2014. From October 2003 until November 2010, he served as Chairman of the Board of Directors of Raser Technologies. Higginson also founded American Telemedia Network, Inc., a publicly-traded NASDAQ company. In 2019, Raser Technologies filed a lawsuit against Morgan Stanley and claimed the defendants “devised and perpetrated a naked short selling stock manipulation scheme that targeted and intentionally destroyed a Utah company, Raser Technologies.” This action resulted in Raser filing for bankruptcy. Plaintiffs also subsequently sued Merrill, Goldman, and several related entities, for violations of the Utah Pattern of Unlawful Activity Act.

Biography

Sundance Strategies

 

Subject: Andy Sieg

Subject of Interest

Andy Sieg is the President of Merrill Lynch Wealth Management (MLWM) and a member of Bank of America’s executive management team. As head of MLWM, he oversees approximately 25,000 employees – including more than 14,700 financial advisors – who provide investment and wealth management strategies to individuals and businesses across the U.S. From 2005 to 2009, he led the Emerging Affluent Client Segment within Citigroup Global Wealth Management. In 2009, after Merrill’s acquisition by Bank of America, Sieg returned to Merrill. Earlier in his career, Sieg served in the White House as an aide to the assistant to the president for Economic and Domestic Policy. In 2015, he participated in the White House Conference on Aging. Sieg earned a Bachelor of Science in economics from Penn State University, and serves on the external advisory board of its Schreyer Honors College. He also holds a master’s in public policy from the Harvard Kennedy School, where he serves on the Dean’s Council.

Merrill Edge aka “MLPF&S” or “Merrill”

 

Subject: Matthew Gellene

Subject of Interest
Matt Gellene is the Head of Financial Center Merrill Edge & National Performance Executive. He also serves as the National Sales Performance Executive. Previously, Gellene held sales executive roles at Fleet Financial Group, Bank of America’s Premier Banking and Investments team and Banc of America Investment Services, Inc. Gellene received a Bachelor of Business Administration from The George Washington University and a Masters of Business Administration from the University of California, Berkeley, Haas School of Business.

Merrill Edge aka “MLPF&S” or “Merrill”

 

Subject: Tracy Mazzoni

Subject of Interest
Tracy Mazzoni is the Head of Merrill Edge Client Management. Mazzoni leads Merrill Edge Client Management (MECM) and the centralized Financial Solutions Advisors (FSAs). Prior to joining Merrill Edge, Mazzoni has held various sales, service and talent development roles during her career within Merrill Lynch Wealth Management including PMD Manager and Sales Manager for the South Atlantic division, Financial Advisor and Registered Client Associate. She graduated from the University of Virginia with degrees in Economics and International Relations.

Biography

Merrill Edge aka “MLPF&S” or “Merrill”

 

Subject: Forrest Skriletz

Subject of Interest
Forrest Skriletz is the Head of Merrill Edge Business Planning & Operations.

Skriletz leads the Merrill Edge Business Planning & Operations team. In this role, Forrest is responsible for Merrill Edge strategic initiatives, business planning and optimization efforts.  Skriletz began his career at Merrill Lynch in 2001 when he joined the Merrill Lynch as an Investor Services Advisor. He has held a variety of roles including business analyst, project manager and business development manager responsible for client acquisition strategy and program development for the Merrill Edge Advisory Center. Most recently, he led the Merrill Edge Client Management organization. Forrest holds Series 7, 9, 10 and 66 FINRA registrations.

Biography

Merrill Edge aka “MLPF&S” or “Merrill”

 

Subject: Deb A. Ruick

Subject of Interest
Deb A. Ruick is the Head of Merrill Edge Client Services. She leads the Merrill Edge Client Services division with a focus on primarily serving as a primary point of contact for all Merrill Edge clients and assisting with trading, investing and account information. Ruick also has responsibility for the Merrill Edge talent management, recruiting, diversity and development efforts. Ruick previously worked at E*TRADE and Fidelity Investments. She has a BS in Finance from Weber State University. She holds Series 6, 7, 24, 8 and 63 FINRA registrations.

Merrill Edge aka “MLPF&S” or “Merrill”

 

Subject: Teron Douglas

Subject of Interest
Teron Douglas is  the Head of Merrill Edge Digital Capabilities and leads the team responsible for the Merrill Edge digital channels and investing capabilities. Douglas joined Merrill Edge from E*TRADE in 2015, where he was Senior Vice President and COO of Investor services. Douglas began his career at Wells Fargo, where he worked in mortgage underwriting supporting their early digitization efforts. He has a BS in Economics and an MBA from the University of Wyoming. He holds Series 4, 7, 24, 63 and 65 FINRA registrations.

Biography

Merrill Edge aka “MLPF&S” or “Merrill”

 

Subject: Rob DeJesus

Subject of Interest
Rob DeJesus is the Head of Merrill Edge Sales & GWIM Integration and is responsible for Merrill Edge’s online investing and trading platform, self-directed sales and relationship management. DeJesus joined Merrill Edge from Citi in 2011, where he spent five years and was director of the National Investment Center. Prior to joining Citi, Rob spent 12 years at TD Ameritrade, where he held positions across sales, service, operations, risk, and strategic initiatives. Rob holds Series 7, 63, 65, 24, 9 and 10 FINRA registrations.

Subject: David Poole

Subject of Interest

David Poole is the Consumer Investments Solutions & Client Services Executive and leads the Consumer Investments Solutions & Client Services team in Bank of America Corporation’s Merrill division. Prior to joining Bank of America in 2013, he held various senior leadership roles across sales and service at E*Trade over a 14 year period. His most recent role at E*Trade was Vice President of Customer Service. Poole holds an MBA degree from University of Georgia as well as a Bachelor of Social Sciences degree. He received a Certificate of Financial Planning from Florida State University and holds Series 7, 63, 24, and 4 FINRA registrations.

Biography

Merrill Edge aka “MLPF&S” or “Merrill”

 

 

Subject: Aron Levine

Subject of Interest

Aron Levine is the Head of Consumer Banking & Investments and the Consumer Investments group at Merrill Edge. Levine joined the company through Fleet Financial group in 1993 and has held leadership roles in Commercial Real Estate Banking, Marketing, Corporate Strategy, and Global Wealth Management. He graduated from the University of Rochester with a degree in both Economics and History.

Biography

Merrill Edge aka “MLPF&S” or “Merrill”

 

Article: Form 6-K Inmode Ltd.

Article - Media, Publications

Form 6-K Inmode Ltd.

TOPPAN MERRILL, 12 August 2019

On August 12, 2019, InMode Ltd., an Israeli company (the “Company”) closed its previously announced initial public offering (the “IPO”) in which the Company offered 5,000,000 ordinary shares. The aggregate gross proceeds, before deducting underwriting discounts and commissions and other offering expenses, to InMode from the offering were approximately $70.0 million. In connection with the sale of the ordinary shares on August 12, 2019, on August 7, 2019, the Company entered into an underwriting agreement (the “Underwriting Agreement”) by and among the Company, Barclays Capital Inc. and UBS Securities LLC, acting as representative of the several underwriters named on Schedule I thereto (the “Underwriters”), pursuant to which the Company agreed to issue and sell the ordinary shares to the Underwriters. A copy of the executed Underwriting Agreement is attached hereto as Exhibit 1.1 and is incorporated herein by reference.

On August 12, 2019, the Company issued a press release announcing the closing of the IPO. A copy of the press release is attached hereto as Exhibit 99.1 and is incorporated herein by reference.

On July 29, 2019, the Company filed the form Amended and Restated Articles of Association. On August 7, 2019, they became effective. A copy of the Amended and Restated Articles of Association is attached hereto as Exhibit 3.1 and is incorporated by reference.

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