Form D · Manufacturing

TANTECH HOLDINGS LTD

Lishui, F4 · CIK 0001588084

Offering snapshot reported Dec 7, 2020 · SEC filing

Reported sold: $10M
Investors reported: 4
Minimum accepted: $0
First sale: Nov 20, 2020

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
Dec 7, 2020	Initial	$10,000,003	No comparison	4	SEC filing

Offering details

Securities: Option to acquire, Security to be acquired
Exemptions: 06b
Duration over one year: No
Business combination: No

Sales commissions: $700K
Finders' fees: $0
Form D file number: 021-382494

Total proceeds received from public offering of shares and warrants and concurrent private offering of warrants.

The placement agent received a fee of 7% of the gross proceeds from the offering and reimbursement of $75,000 in expenses. In consideration for $100, the placement agent also received warrants to purchase up to 363,637 common shares of the issuer.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Univest Securities, LLC	36105

Source: Form D, filed Dec 7, 2020. 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.

People and organizations reported in Form D filings
Name	Reported role
Qian Hongdao	Director
Dong Mingqin	Executive
Wang Shudong	Director
Yan Wangfeng	Executive
Zhang Weilin	Executive
Pan Wencai	Director
Zhang Yefang	Director
Wang Zhengyu	Director

Issuer details

Industry: Manufacturing (See others in industry)

Address:

C/O Tantech Holdings (Lishui) Co., Ltd. No. 10 Cen Shan Rd, Shuige Indtrl Zone
Lishui, F4, 323600