Categories: Investor Definitions

Item 3.02 – Unregistered Sales of Equity Securities | 8-K Explained

Private sales of securities exceeding 1 percent of a company’s outstanding shares of that class (or 5 percent for smaller reporting companies) would be reported under this item. Public offerings registered with the SEC need not be disclosed under this item. Investors can use the information provided under this item to determine the amount of capital raised by the company as well as the potential dilutive effect of reported private sales

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