Sonoma Pharmaceuticals upsizes ATM offering by up to $420,838

Sonoma Pharmaceuticals, Inc.

Entered amendment to ATM offering agreement with Ladenburg Thalmann on Feb 24, 2023.
Aggregate offering amount increased; already sold $2,699,906 under prior agreement.
Filed prospectus supplement for additional $420,838 in aggregate offering price.
Shares sold under existing effective S-3 registration statement (No. 333-250925).

Key facts

Extracted from this filing and checked against the source text.

Material Agreements SEC 8-K Item 1.01/1.02 confidence 0.95

Sonoma Pharmaceuticals, Inc. amended At-The-Market Offering Agreement with Ladenburg Thalmann & Co. Inc. valued at aggregate offering amount increased to Maximum Amount; additional $420,838 (effective 2023-02-24).

Action: amendment
Agreement: atm program
Counterparty: Ladenburg Thalmann & Co. Inc.
Value: aggregate offering amount increased to Maximum Amount; additional $420,838
Effective: 2023-02-24

Exact text from the filing

On February 24, 2023, we entered into an amendment (the “ATM Amendment”) to our At-The-Market Offering Agreement, dated December 23, 2022 (as amended by the ATM Amendment, the “Agreement”), with Ladenburg Thalmann & Co. Inc. Pursuant to the ATM Amendment, the aggregate offering amount of shares of the Company’s common stock, $0.0001 par value per share (the “Shares”), which the Company may sell and issue through Ladenburg, as the sales agent, was increased to the Maximum Amount as defined in the Agreement (the “ATM Upsize”).

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Sonoma Pharmaceuticals, Inc. filing history →

Source: SEC EDGAR

accession 0001683168-23-001128

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