---
schema_version: "secwatch.filing_event.v1"
accession: "0001654954-23-013878"
form_type: "8-K"
ticker: "TOMZ"
cik: "0000314227"
company_name: "TOMI Environmental Solutions, Inc."
filed_at: "2023-11-07T23:59:59+00:00"
generated_at: "2026-06-08T17:57:22.351632+00:00"
event_type: "debt"
sentiment: "neutral"
materiality_score: 0.6
calibrated_materiality_score: 0.6
confidence: "high"
source: SEC EDGAR
---

# TOMI issues $2.6M in 12% convertible notes; up to $5M total available

## Summary
- Issued $2.6M of 12% convertible notes due in 5 years; aggregate principal capacity of $5M.
- Notes convertible at $1.25/share (cap $1.55); company can force conversion if stock ≥$1.55 for 20 of 30 days.
- Net proceeds used for working capital and general corporate purposes.
- Registration Rights Agreement requires filing resale registration statement within 60 days of initial closing.

## SEC filing metadata
- accession: 0001654954-23-013878
- form_type: 8-K
- ticker: TOMZ
- cik: 0000314227
- company_name: TOMI Environmental Solutions, Inc.
- filed_at: 2023-11-07T23:59:59+00:00
- event_type: debt
- sentiment: neutral
- materiality_score: 0.6
- calibrated_materiality_score: 0.6
- confidence: high
- sec_items: 1.01, 3.02, 9.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/314227/000165495423013878/0001654954-23-013878-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/314227/000165495423013878/tomz_8k.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001654954-23-013878
- JSON: https://secwatch.observer/filing/0001654954-23-013878.json
- Plain text: https://secwatch.observer/filing/0001654954-23-013878.txt

## Key facts
- Material Agreements
  TOMI Environmental Solutions, Inc. entered into Securities Purchase Agreement with certain accredited investors valued at $5,000,000 (effective 2023-11-07).
  - Action: entry
  - Agreement: equity purchase
  - Counterparty: certain accredited investors
  - Value: $5,000,000
  - Effective: 2023-11-07
  source text: TOMI Environmental Solutions, Inc. (the “Company”) entered into a Securities Purchase Agreement (the “SPA”) with certain accredited investors (collectively, the “Investors”) pursuant to which the Company agreed to sell and issue to the Investors in a private placement transaction (the “Private Placement”) in one or more closings up to an aggregate principal amount of $5,000,000 (the “Notes”).
  evidence_url: https://www.sec.gov/Archives/edgar/data/314227/000165495423013878/0001654954-23-013878-index.htm

This AI-assisted summary is a reading aid. Review the linked SEC EDGAR filing before relying on any specific claim.