SOBRsafe closes $2M private placement of common stock and warrants

SOBR Safe, Inc.

Gross proceeds of $2.0M from sale of 1,290,324 shares (or pre-funded warrants), Series C and D warrants.
Warrants exercise price $1.30 per share; Series C expires in 5 years, Series D in 24 months from registration effective date.
H.C. Wainwright acted as exclusive placement agent; $33,333 tail fee paid to Aegis Capital Corp.
Net proceeds used for working capital and general corporate purposes; resale registration statement to be filed.

Key facts

Extracted from this filing and checked against the source text.

Equity Issuances SEC 8-K Item 3.02/3.03 confidence 0.9

SOBR Safe, Inc. issued 370,000 shares of common stock of common stock to certain institutional investors for purchase price of $1.55 per share.

Security: common stock
Shares: 370,000 shares of common stock
Purchaser: certain institutional investors
Consideration: purchase price of $1.55 per share

Exact text from the filing

to purchase up to 1,290,324 shares of Common Stock (each a “Series D Warrant” and with the Pre-Funded Warrants and Series C Warrants, the “Warrants”)) at a purchase price of $1.55 per share and accompanying Series C Warrant and Series D Warrant and $1.5499 per Pre-Funded Warrant and accompanying Series C Warrant and Series D Warrant. The Warrants are

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Equity Issuances SEC 8-K Item 3.02/3.03 confidence 0.9

SOBR Safe, Inc. issued warrants to purchase up to 96,774 shares of Common Stock of warrant to H.C. Wainwright & Co., LLC for exercise price of $1.9375.

Security: warrant
Shares: warrants to purchase up to 96,774 shares of Common Stock
Purchaser: H.C. Wainwright & Co., LLC
Consideration: exercise price of $1.9375

Exact text from the filing

HCW received warrants to purchase up to 96,774 shares of Common Stock at an exercise price of $1.9375

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Equity Issuances SEC 8-K Item 3.02/3.03 confidence 0.9

SOBR Safe, Inc. issued Pre-Funded Warrants to purchase up to 920,324 shares of Common Stock of warrant to certain institutional investors for $1.5499 per Pre-Funded Warrant.

Security: warrant
Shares: Pre-Funded Warrants to purchase up to 920,324 shares of Common Stock
Purchaser: certain institutional investors
Consideration: $1.5499 per Pre-Funded Warrant

Exact text from the filing

to purchase up to 1,290,324 shares of Common Stock (each a “Series D Warrant” and with the Pre-Funded Warrants and Series C Warrants, the “Warrants”)) at a purchase price of $1.55 per share and accompanying Series C Warrant and Series D Warrant and $1.5499 per Pre-Funded Warrant and accompanying Series C Warrant and Series D Warrant. The Warrants are

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Material Agreements SEC 8-K Item 1.01/1.02 confidence 0.99

SOBR Safe, Inc. entered into Securities Purchase Agreement with certain institutional investors valued at $2,000,002.20 (effective 2025-12-24).

Action: entry
Agreement: equity purchase
Counterparty: certain institutional investors
Value: $2,000,002.20
Effective: 2025-12-24

Exact text from the filing

On December 24, 2025, SOBR Safe, Inc., a Delaware corporation (the "Company"), entered into a private placement transaction (the "Private Placement"), pursuant to a Securities Purchase Agreement (the "Purchase Agreement") with certain institutional investors (the "Purchasers") for aggregate gross proceeds of $2,000,002.20, before deducting fees to the placement agent and other expenses payable by the Company in connection with the Private Placement.

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Material Agreements SEC 8-K Item 1.01/1.02 confidence 0.98

SOBR Safe, Inc. entered into Placement Agent Agreement with H.C. Wainwright & Co., LLC valued at cash placement fee equal to 7.5% of the gross cash proceeds received at Closing (effective 2025-12-22).

Action: entry
Agreement: underwriting
Counterparty: H.C. Wainwright & Co., LLC
Value: cash placement fee equal to 7.5% of the gross cash proceeds received at Closing
Effective: 2025-12-22

Exact text from the filing

On December 22, 2025, the Company entered into a letter of engagement (the "Placement Agent Agreement") with HCW, pursuant to which HCW agreed to serve as the exclusive placement agent for the Company in connection with the Private Placement.

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Material Agreements SEC 8-K Item 1.01/1.02 confidence 0.97

SOBR Safe, Inc. entered into Registration Rights Agreement with certain institutional investors (Purchasers) valued at Company shall file resale registration statement within 20 calendar days; to be effective within 60 (effective 2025-12-24).

Action: entry
Counterparty: certain institutional investors (Purchasers)
Value: Company shall file resale registration statement within 20 calendar days; to be effective within 60
Effective: 2025-12-24

Exact text from the filing

On December 24, 2025, the Company and the Purchasers entered into a Registration Rights Agreement (the "Registration Rights Agreement") whereby the Company has undertaken to file a resale registration statement covering all of the shares of Common Stock, shares underlying the Warrants, and shares underlying the Placement Agent Warrants.

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SOBR Safe, Inc. filing history →

Source: SEC EDGAR

accession 0001477932-25-009234

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