Form D · Other
Novo Resources Corp.
Vancouver, A1 · CIK 0001536674
Offering snapshot reported May 18, 2021 · SEC filing
- Reported sold
- $1.3M Offering amount: $13.9M
- Investors reported
- 2 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- May 4, 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 |
|---|---|---|---|---|---|
| May 18, 2021 | Initial | $1,304,507 | No comparison | 2 | SEC filing |
| Sep 22, 2020 | Amendment | $5,542,493 | $0vs Sep 11, 2020 | 24 | SEC filing |
| Sep 11, 2020 | Initial | $5,542,493 | No comparison | 24 | SEC filing |
| May 11, 2017 | Initial | $3,208,333 | No comparison | 8 | SEC filing |
| Aug 26, 2016 | Initial | $1,158,339 | No comparison | 15 | SEC filing |
| Mar 23, 2016 | Initial | $442,870 | No comparison | 1 | SEC filing |
| Mar 23, 2016 | Initial | $499,123 | No comparison | 4 | SEC filing |
| Jul 31, 2015 | Amendment | $212,481 | $100,015vs Jul 13, 2015 | 3 | SEC filing |
| Jul 13, 2015 | Initial | $112,466 | No comparison | 2 | SEC filing |
| Dec 20, 2012 | Initial | $145,118 | No comparison | 2 | SEC filing |
| Dec 14, 2011 | Initial | $294,204 | No comparison | 2 | SEC filing |
Offering details
- Securities
- Equity, Option to acquire, Security to be acquired, Other
- Exemptions
- 06b
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $78.3K (estimated)
- Finders' fees
- $0
- Form D file number
- 021-399736
The additional $12,610,231.00 may be received upon the exercise of purchase warrants sold inside or outside the U.S. The U.S. dollar amounts are based on the Bank of Canada average rate of exchange reported on May 4, 2021, which was Cdn$1.2315=USD$1.00.
Each special warrant is comprised of one unit, which is comprised of one common share and one-half common share purchase warrant. Each whole warrant is exercisable for one common share at an exercise price of Cdn$3.00 per share for a period of 36 months.
Includes non-transferable broker warrants to purchase 391,353 common shares at Cdn$3.00 per unit for a period of 36 months.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| STIFEL, NICOLAUS & COMPANY, INCORPORATED | 793 | |
| PI FINANCIAL (US) CORP. | 127404 | |
| HAYWOOD SECURITIES (USA) INC. | 42072 | |
| CIBC WORLD MARKETS CORP. | 630 |
Source: Form D, filed May 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 |
|---|---|
| Michael Barrett | Director |
| Luca Bechis | Director |
| Ross Hamilton | Director |
| Dr. Quinton Hennigh | Director, Executive |
| Quinton Hennigh | Director, Executive |
| Rob Humphryson | Director, Executive |
| Robert Humphryson | Director, Executive |
| Yoshikazu Ishikawa | Director |
| Leo Karabelas | Executive |
| Herrick Lau | Director, Executive |
| Akiko Levinson | Director |
| Simon Pooley | Executive |
| Ronan Sabo Walsh | Executive |
| Michael Spreadborough | Director |
| David Velisek | Director |
Issuer details
Industry: Other (See others in industry)
Address:
880 580 Hornby Street
Vancouver, A1, V6C 3B6
Vancouver, A1, V6C 3B6