Form D · Other
EMX Royalty Corp
Vancouver, A1 · CIK 0001285786
Offering snapshot reported Nov 18, 2021 · SEC filing
- Reported sold
- $9.6M Offering amount: $16.2M
- Investors reported
- 148 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Nov 5, 2021 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Nov 18, 2021 | Initial | $9,599,697 | No comparison | 148 | SEC filing |
| Oct 5, 2018 | Initial | $37,351 | No comparison | 1 | SEC filing |
| Jul 27, 2017 | Initial | $18,000 | No comparison | 1 | SEC filing |
| Jun 8, 2017 | Initial | $60,000 | No comparison | 1 | SEC filing |
| Apr 25, 2017 | Initial | $3,711,527 | No comparison | 136 | SEC filing |
| Feb 29, 2016 | Initial | Yet to sell | No comparison | 1 | SEC filing |
| Mar 28, 2011 | Initial | $8,763,180 | No comparison | 188 | SEC filing |
| Nov 22, 2010 | Initial | $7,649,001 | No comparison | 137 | SEC filing |
| Aug 25, 2010 | Initial | $315,225 | No comparison | 1 | SEC filing |
| Feb 10, 2010 | Initial | $3,096,783 | No comparison | 13 | SEC filing |
| Oct 19, 2007 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Aug 20, 2007 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Jan 9, 2006 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Equity, Option to acquire, Security to be acquired
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $0
- Finders' fees
- $207K
- Form D file number
- 021-421696
3,678,045 units were sold at a price of $2.61 USD. Total remaining to be sold represents amounts that may be received upon exercise of warrants at a maximum price of $4.50 CAD $1 CAD = $0.8031 USD
$257,505 CAD finders fees were paid in cash ($1 CAD = $0.8031) 78,032 finders warrants exercisable at C$3.50 were also issued. No value is included for finder warrants as exercise price was less than market price at time of closing
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Sprott Global Resource Investments, Ltd. | 35878 |
Source: Form D, filed Nov 18, 2021. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Valerie Barlow | Executive |
| Brian Eric Bayley | Director |
| Kim Charisse Casswell | Executive |
| Christina Cepeliauskas | Executive |
| David Morrell Cole | Director, Executive |
| Rocio Echegaray | Executive |
| Merrit Stephen Enders | Director |
| Brian Kenneth Levet | Director |
| George Kok Chean Lim | Director |
| S.C. Sunny Lowe | Director |
| Henrik Lundin | Director |
| Larry Minoru Okada | Director |
| Douglas Reed | Executive |
| Michael Dempsey Winn | Director |
Issuer details
Industry: Other (See others in industry)
Address:
Suite 501 543 Granville Street
Vancouver, A1, V6C 1X8
Vancouver, A1, V6C 1X8