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BYZN reverse merger play - low float
https://microcapdaily.com/the-exciting-rise-of-byzen-digital-inc-otcmkts-byzn/125867/
PASO
$PASO MASSIVE DD MERGER PART 1 - We saw the non disclosure agreement filing on 4-21-2020. Between SiriusIQ representing "Project CLX Joint Venture Partners". There is one more transaction filing coming per PASO. See my next DD post. pic.twitter.com/QIQRmbb2E5
— Jason M3K (@JasonM3k) May 9, 2020
PUGE: The Cheapest $0.0001-Bottom stock! Mere $63K Market Value at its Bottom $0.0001! Only 525M shares FIXED Tiny float! At the Bottom 0.0001 now! Easy to hit its recent high $0.0060 again!
The MV of its peer FONU (1.02B shares large OS and 984M shares Large float) at $0.0018 equals to the MV of PUGE (634M shares OS and 525M shares float) at $0.0029 v.s. at joke low $0.0001 now!
Exploring the Investor Impact of an SEC Rule Proposal.
OTC Markets - Blog:
https://blog.otcmarkets.com/2020/05/01/exploring-the-investor-impact-of-an-sec-rule-proposal/
Thanks friend I have XNNHQ a year ago I take custody MR. DAVID LAZAR .... I think it's for sale for a merger
Market Cap Market Cap
142,305
04/13/2020
Authorized Shares
50,000,000
05/14/2018
Outstanding Shares
28,460,982
03/31/2019
https://www.otcmarkets.com/stock/XNNHQ/security
habla usted en español ?
***$NUSPQ and $TRAE*** both got some nice action last couple of days.
Both recently off the grey's to pink.
Wonder is someone knows something, or what's up on either of them?
NUSPQ are the preferreds for NSLPQ
NUSPQ traded 210k of the 1.9 mill O/S on Friday ...significant, imo
***$NUSPQ and $NSLPQ***
HOLY CRAP!!! I just looked at the market cap for NUSPQ, and its only $113k, and that's at .06!! Even for a shell, thats insanely low, and this isnt an old OTC shell, this was on the big boards ...historical highs of $20+....No wonder someone cleared those 210k the other day!!!
Market cap on NSLPQ is only $165k
These where big board tickers with $20+ pps
NSLPQ has 16.9 mill o/s
NUSPQ has microscopic 1.9 mill o/s
More info on the NSLPQ board
$GLCO TODAY-> articles of merger on NV SOS
MGHL .35 ~ Merger w/ nyse co trading @$41.00 a share. Stock ticker (AC) 1st quarter 2020 Watch For News !
RYE, N.Y.--(BUSINESS WIRE)-- Associated Capital Group, Inc. (NYSE: AC), (the “Company”), announced today that its Board has authorized the Company to explore an offer to exchange shares of its common stock for shares of Morgan Group Holding Company, (OTC: MGHL) (“Morgan”). The analysis should be concluded no later than the end of the first quarter of 2020. There are no assurances that an exchange offer will result.
$KDNG big merger new this morning
UNSS- .01- mega merger powerpoint
https://docs.google.com/presentation/d/1wGtVzVScA_v3WlEy20pmZvnzkD5dWUIMGYJUAhpCoBU/edit?usp=sharing
$AWON Reinstatement coming any day now
today at noon EST was the follow-up court date
waiting on court filing to update on the website.
AWON
LICH still a buy under .02 - expecting filings this month.
$LICH @binance @OKEx https://t.co/VBx4G5ysGA Pending “LIVE” #cryptocurrency listing on popular exchanges per @LiveDAO100 https://t.co/2l6TZCQPYu pic.twitter.com/2nuI03Ra3Q
— Randylus (@randylus) February 5, 2020
$NVGT Merger Time- New Officers Just Posted on Nev SOS- New Owners also own Apex Farms
2 patents approved and an additional 20 patents pending
100 Pre-orders for our newly Launched Residential A5 System
Already 800 investors and $191k raised in this offering
APEX farms
https://www.startengine.com/apex-farms-corp
NVGT
02/4/2020 11:23 AM
Novagant Corp.
Annual List
No more IGNG the R/M is complete were now GPFT and its gonna be so sweet.https://www.streetinsider.com/Globe+Newswire/Grapefruit+USA%2C+Inc.+%28OTCQB+%E2%80%9CGPFT%E2%80%9D%29+Corporate+Name+and+OTC+Ticker+Symbol+Change+Completed%3B+GPFT+Will+Temporarily+Be+Quoted+On+the+OTCPink+Market/16396887.html
LICH RM Getting close. Expecting PR/8K any day now. Old ticker EORZ changed to LICH in December. Power house reverse merger and securities Lawyer "John Lowy" in charge!
$LICH #OTC #LiveDao #5G #livestreaming #cryptocurrency #Blockchaintechnology Supporting Technology:
— Randylus (@randylus) January 28, 2020
Huawei Supports China Media Group's First HD Video Live Broadcast via 5G https://t.co/RCjCKZTQfy
$ASKH sweet shell. Sec filer. $700k market cap. Just got current. 10Q for 9/30/19 is out
http://archive.fast-edgar.com//20200117/APV2U22CZ22Z72Z2222L22ZUEQQGMZ222222/
Wow !!! We now have 3 market makers so as the bid builds you better get those 0002s before the 0003 0004 etc
$TTCS Chart below. current in filings. Low floater ~ 2.5M float: https://www.otcmarkets.com/stock/TTCS/security
12 annual/quarterly reports filed Recently https://www.otcmarkets.com/stock/TTCS/disclosure
Vivos acquisitions adds additional value to merger. Total annual revenues for $RLBY would be approximately $64M after mergers.
current market cap $66m (300m o/s x .22pps)
$RLBY Undervalued currently
14DEF COMING IN 2 WEEKS!
https://investorshub.advfn.com/Red-Cat-Holdings-Inc-RCAT-3864/
RCAT And Rotor Riot merger in Drone Industry!
Reverse Merger with company CURRENTLY producing 2.4m in revs per year and YOY growth of 44% in the drone industry! Plus, have product that is about to be launched working with FAA to track all drones similar to air traffic control. Very huge growth industry moving into the future!
put this on here, sticky it and watch very closely what happens
https://investorshub.advfn.com/Elite-Group-Inc-ELTZ-31195/
6 shell/merger plays with super low market caps. from $800,000 to $203
-in no particular order
1) $ASKH- Market cap $800k SEC FILER
2) $GLCO recently reinstated. Market cap $326k
3) $GNTW clean shell. SEC Filer. Outstanding Shares 10.8m. $356k marker cap
4) $IHGP consolidation ship filed. O/S 20k. Market cap $203
5) $MNELF SEC filer. $178k market cap. 10.8m O/S
6) $BLFR $122k market cap.
is DraftKings upcoming merger with Diamond Eagle (DEAC) an example of a Reverse Merger? i'm just trying to figure out whats going on there. thanks
GMPW is completely under the radar and according to management a company with ASSETS and REVENUES is merging into the shell soon
International Venture Society has assisted in completion of the merger and according to their own tweets a “great merger candidate” is coming into GMPW
https://twitter.com/venture_society?lang=en
GMPW has a float of just 17 million shares and total OS of 27 million
THIS COULD VERY WELL BE THE NEXT OWC* / DCG* MEGA RUNNER
GET IN NOW BEFORE OTHERS CATCH ON TO THIS INSANE R/M OPPORTUNITY
ONCE THE MERGER IS ANNOUNCED THIS WILL FLY PAST .10+
CURRENT SHARE PRICE IS JUST .02
AVP moving to the NYSE- details finalized and approved- info on the board.
ACTL: The Cheapest 0.0001-Bottom stock! Mere $69K Market Value! 300M ~ 350M shares FIXED Tiny float! At the joke low 0.0002 now! The recent high was 0.0012!
To match the same market value with its peer LEAS (with 752M shares OS but it soared 38-Bagger to 0.0094 from the Same Bottom 0.0001), ACTL will hit a New 52-week high $0.0101 which is 101 Times of its current Bottom price!
$IGNG Reverse Merger to California based MJ grower dist GrapeFruit Blvd Investors is now 100% official. New ticker to reflect change soon on the way
Grapefruit/IGNG Announces Completion of GBI Audit and Filing of Super 8-K
Press Release | 12/02/2019
Los Angeles/Desert Hot Springs, CA, Dec. 02, 2019 (GLOBE NEWSWIRE) -- Grapefruit Boulevard Investments, Inc. (“GBI”) a Los Angeles based California corporation and wholly owned subsidiary of Imaging3, Inc., a Delaware corporation (“IGNG”) (OTCQB: IGNG) (collectively “Grapefruit” or the “Company”) is announcing that on Friday November 29, 2019 the Company filed Amendment No. 1 to its current report on Form 8-K which was originally filed on July 16, 2019 which Amendment contains GBI’s audited balance sheets as of April 30, 2019 and 2018 and the related statements of operations, changes in stockholder’s (deficit) equity and cash flows for period August 28, 2017 (inception) to April 30, 2018, the year ended April 30, 2019 and the related notes to the financial statements. (collectively, the Financial Statements) and the Unaudited Pro Forma Combined Financial Information consisting of the unaudited combined balance sheet and statement of operations of GBI and IGNG (collectively, the Pro Forma Financial Statements). Such an Amendment to a current form on 8-K announcing a reorganization transaction is often referred to as a “Super 8-K”. The Financial Statements and the Pro Forma Financial Statements were prepared by GBI’s Independent Auditor, SingerLewak LLP.
With respect to the completion of the GBI audit and the filing of the 8-K Amendment, Bradley J.Yourist, Grapefruit CEO, stated, “We are extremely grateful to SingerLewak and its team for their professionalism and dedication in conducting our initial audit which enabled us to file our Super 8-K. We also acknowledge the efforts of the entire Grapefruit family, without whose unwavering support this Company milestone could not have been achieved. Now that we have successfully completed the challenging task of preparing for and completing the audit of GBI, we will focus our corporate energy on our goal of building Grapefruit into a publically traded, fully compliant cannabis company holding both manufacturing and distribution licenses issued by California with cultivation, manufacturing, distribution and retail channels.
With the GBI audit completed and the 8-K/A filed, we will immediately make the FINRA filings necessary to effect our name and ticker symbol changes, and file all necessary Amendments to our Registration Statement on Form S-1 originally filed with the SEC on July 26, 2019 which will include the audited Financial Statements. SingerLewak has consented to the inclusion of the audited Financial Statements in Amendment No. 1 of the Registration Statement.”
Yourist continued, “With respect to Grapefruit’s ongoing operations, we will continue to ramp up our wholesale cannabis distribution activities which, as was disclosed in Amendment No. 2 to our quarterly report on Form 10-Q for the period ended September 30, 2019, were temporarily placed on hold in late March 2019 in order to insure that the cash management protocols we were using at the time were compliant and auditable and then resumed in early September 2019 once we were sure that the cash management protocols were compliant, which should result in an increase in revenues for the fourth calendar quarter of 2019 and beyond. We have also resumed the operation of our ethanol extraction laboratory which converts clean and tested cannabis “trim” or “biomass” into revenue generating cannabis crude oil. We have continued, throughout the GBI audit period to examine the acquisition of licensed dispensaries. We also continue to develop our “Sugar Stoned” and “Rainbow Dreams” lines of THC edibles and other cannabis products. Lastly, but certainly not of least importance, we continue to move forward with development of our patented THC “patchless patch” which is able to deliver a defined dose of THC to our customers over an extended period of time. We believe this “time release THC” product will be disruptive to both the recreational and medical THC markets. In California, we can load up to 1000mg of THC in a single “patchless patch” for customers that may need a larger dose to ease the suffering caused by a terminal illness or other chronic aliment. Management believes that gradual market acceptance of Grapefruit’s unique, patented “patchless patch” mechanism has the potential to drive significant revenue growth in the near future.
Yourist went on to state, “to summarize, we made a conscious corporate decision to concentrate our efforts from April to now to complete the IGNG/Grapefruit reverse acquisition, finalize the first two tranches of the Auctus financing and complete the GBI audit and the Super 8-K. Once again, we have successfully completed our three defined missions. Now we move on to getting our Registration Statement effective, completing the $10,000,000.00 Auctus funding and growing the business and concomitantly ramping up revenues. We continue our inexorable march forward to provide increasing Company value to our shareholders.”
About GRAPEFRUIT
Grapefruit is a wholly-owned subsidiary of Imaging3, Inc. Grapefruit’s corporate headquarters is in Westwood, Los Angeles, California. Grapefruit holds California permits and licenses to both manufacture and distribute cannabis products. Grapefruit’s extraction laboratory and distribution facilities are located in the industry recognized Coachillin’ Industrial Cultivation and Ancillary Canna-Business Park in Desert Hot Springs, located on the extension of North Canyon Rd., approximately 14 miles north of downtown Palm Springs. Grapefruit obtained its California cannabis licenses in January 2018 and commenced distribution of cannabis products thereafter. Grapefruit’s vision is to become a seed to sale, fully vertically integrated ethical and compliant cannabis product Company. To obtain further information on Grapefruit and its operations, please visit its website at https://grapefruitblvd.com/. To learn more about Grapefruit’s Sugar Stoned branded line of cannabis and CBD infused edibles, please visit us at https://sugarstoned.com/.
Safe Harbor Statement
Imaging3 cautions you that any statement included in this press release that is not a description of historical facts is a forward-looking statement. Many of these forward-looking statements contain the words "anticipate," "believe," "estimate," "may" "intend," "expect" and similar expressions. Actual results, performance or achievements could differ materially from those contemplated, expressed or implied by the forward-looking statements contained herein. These forward-looking statements are based largely on the expectations of the company and are subject to a number of risks and uncertainties inherent in Grapefruit’s business, including, without limitation: the company may not ev
UNSS, entrex.net homepage changed confirms merger. Gonna get big there
KNIT - 50 Mill revs , 106k Float 8K FILED!!
https://www.otcmarkets.com/filing/html?id=13771578&guid=hguvUnsLJ36Ziyh
KNIT 50 mill revs, 50 Mill Revs, 105k Float
Imho
VNTA Security Details
Share Structure
Market Cap 677,318
11/27/2019
Authorized Shares 200,000,000
06/10/2009
Outstanding Shares 55,066,508
06/10/2009
Restricted Not Available
Unrestricted Not Available
Held at DTC Not Available
Float 20,072,008
04/30/2009
FONU: 45M+ shares of Slapped at 0.0002 since 10/02/2019 alone! It is the Cheapest 0.0001-Bottom Clean Shell with the FIXED 1B/2B shares Low OS/AS! Its recent high was 0.03!
Its peer (AFTC) has 71.846B shares Giant OS and 100B shares Giant AS but it soared 38-Bagger to 0.0038 from the Same Bottom 0.0001! To match the same market value, FONU will create a New 52-week high 0.2688 which is 1,344 Times of its current 99.93% Giant discount price 0.0002!
Almost all its peers (such as AFTC, EXLA, PBHG, and PFMS etc.) are trading at at least Ten Times higher market value now!
MGHL Gabelli Investment Fund has taken over this
https://www.sec.gov/Archives/edgar/data/1162283/000114036119019947/form8k.htm
ARTR Wednesday Nov 13 court date
Custodianship provided to you by Small Cap Compliance
Read the research it's quiet the gem.
I'm in from .0005-.0007 large amounts.
Still possible ten bagger from .001 levels
Reverse Merger closed RLBY 8K out
https://www.otcmarkets.com/filing/conv_pdf?id=13706395&guid=71YSUFxzfuzeLth
UNSS ibox updated. 32.3M revs and 174M valuation merger happening.
5 charts/5 Shells/merger plays- poised for big gains $$$:
-in no particular order
1) $ASKH- SEC filer -https://investorshub.advfn.com/boards/read_msg.aspx?message_id=147244108
2) $MNELF -duel listed. merger play. https://investorshub.advfn.com/boards/read_msg.aspx?message_id=151544253
3) $PBEC SEC filer - merger play. 17m float
4) $TTCS 12 annual/quarterly reports filed 08/21/19 - pinksheet current , 2.5m float. https://www.otcmarkets.com/stock/TTCS/disclosure
5) $GNTW clean shell. SEC Filer. Outstanding Shares 10.8m
I will check it out V/Investor
RDGXQ
$NIHK **
This is rated a 100% buy:
https://www.Ibarchart.com/stocks/quotes/NIHK/opinion
Custodianship Play!
PRFC news from 2017, Bridge Rock (prev. Epcylon, prev. Quantitative Alpha Trading) is a hedge fund located in Yorkville, Toronto. The eight-person team is currently scaling up assets under management from $10M to $100M this year. AJ Ostrow's role with Bridge Rock is a mixture of coding, managing and handling overall operations.
And the website is active again.
https://www.bridgerocktech.com/
Video shows CEO DiSanti cares about the shareholders!
CLSI no debt and 1.6 mil. cash. done deal.
CLSI READY TO ANNOUNCE THE COMPANY WHO BOUGHT IT. IMO THIS WEEK.
Increasing shares and going to sell discount shares to retail. Not looking good for initial investors but maybe after the first flush or two... Or three. Lol
"Please be advised that Avraham Bengio, holding approximately 68% of our issued and outstanding shares of stock (the “Majority Stockholder”), has executed a written consent approving (a) the Share Capital Increase and (b) the Merger"
looking for some opinions on this MERGER = https://www.otcmarkets.com/filing/html?id=13672590&guid=5j3fUeBRfGOKmth
ASKH
Only thing missing for a r/m moonshot is a qualified player at the helm, all else is in place.
Imho
REVERSE MERGER AND SHELL PLAYS - produce the biggest stock gains in the shortest period of time.
-> What is a reverse Merger? -http://www.investorshub.com/boards/read_msg.asp?message_id=19587826
-> How to find Reverse Merger candidates before they're announced - http://www.investorshub.com/boards/read_msg.asp?message_id=19588389
-> The Ideal Shell (by Stock_Lobster) - http://www.investorshub.com/boards/read_msg.asp?message_id=18839421
================================================================
HALL OF FAME SHELL and REVERSE MERGER RUNS:
LFZA(USSE) - ran from .0002 to .84 (420,000%) - http://www.investorshub.com/boards/read_msg.asp?message_id=18992316
SXML(AMRP) - ran from 0.03 to $50 (160,000%) - http://www.investorshub.com/boards/read_msg.asp?message_id=19090296
CYBR - ran from 0.001 to 0.50 ( 50,000%) - http://www.investorshub.com/boards/read_msg.asp?message_id=18992336
DEXTQ - ran from 0.0005 to 0.21 ( 42,000%) - http://www.investorshub.com/boards/read_msg.asp?message_id=19010543
CKXE(SPEA) - ran from .10 to 30.60 ( 31,000%) - http://www.investorshub.com/boards/read_msg.asp?message_id=18870287
OBDP(VQPI) - ran from 0.006 to 1.50 ( 25,000%) - http://www.investorshub.com/boards/read_msg.asp?message_id=18961518
PKTO(USAC) - ran from 0.0002 to 0.049( 25,000%) - http://www.investorshub.com/boards/read_msg.asp?message_id=18871819
FCNK - ran from .02 to 3.50 ( 17,000%) - http://www.investorshub.com/boards/read_msg.asp?message_id=18908373
VIPM - ran from 0.0001 to 0.015 ( 15,000%) - http://www.investorshub.com/boards/read_msg.asp?message_id=19393163
SLJB(LFWK) - ran from 0.0015 to 0.20 ( 13,000%)
NXCN(CYKE) - ran from 0.01 to 1.30 ( 13,000%) - http://www.investorshub.com/boards/read_msg.asp?message_id=19010960
HCOM - ran from 0.001 to 0.10 ( 9,900%) - http://www.investorshub.com/boards/read_msg.asp?message_id=19012699
VLNT - ran from 0.0001 to 0.009 ( 8,900%) - http://www.investorshub.com/boards/read_msg.asp?message_id=19012116
CSHD(FHAL) - ran from .05 to 4.00 ( 8,000%)
PRRY(ABDL) - ran from .02 to 1.60 ( 7,900%) - http://www.investorshub.com/boards/read_msg.asp?message_id=18910970
IFLI(PGNT) - ran from .3 to 17.00 ( 6,000%) - http://www.investorshub.com/boards/read_msg.asp?message_id=18839515
LRSY - ran from 0.025 to 1.50 ( 5,900%) - http://www.investorshub.com/boards/read_msg.asp?message_id=19010772
PLSO - ran from .0005 to 0.03 ( 5,900%) - http://www.investorshub.com/boards/read_msg.asp?message_id=18959360
TMXU - ran from .0007 to 0.04 ( 5,600%)
CFUL(CNDO) - ran from .073 to $4.19 ( 5,600%) - http://www.investorshub.com/boards/read_msg.asp?message_id=18839564
GWRX - ran from 0.01 to 0.475 ( 4,700%) - http://www.investorshub.com/boards/read_msg.asp?message_id=19011400
UMCC - ran from 0.003 to 0.14 ( 4,600%)
MXDY(2003) - ran from 0.01 to 0.42 ( 4,100%)
RBID - ran from 0.001 to 0.04 ( 3,900%)
BUIG - ran from 0.0015 to 0.05 ( 3,200%) - http://www.investorshub.com/boards/read_msg.asp?message_id=19208029
DLGIE(TOCK) - ran from 0.011 to 0.35 ( 3,100%) - http://www.investorshub.com/boards/read_msg.asp?message_id=19012421
PGNF - ran from 0.002 to 0.065 ( 3,100%)
FCRZ - ran from 0.003 to 0.095 ( 3,100%)
WPRO - ran from 0.003 to 0.085 ( 2,700%)
DGIF(TDRPQ) - ran from 0.06 to 1.70 ( 2,700%) - http://www.investorshub.com/boards/read_msg.asp?message_id=18915479
RTGV - ran from 0.005 to 0.12 ( 2,300%) - http://www.investorshub.com/boards/read_msg.asp?message_id=18960326
BUNZQ - ran from 0.005 to 0.12 ( 2,300%)
NVBF(NVAO) - ran from 0.25 to 6.00 ( 2,300%)
NNRF(SFDE) - ran from 0.003 to 0.07 ( 2,200%) - http://www.investorshub.com/boards/read_msg.asp?message_id=19013529
FCCN - ran from 0.003 to 0.065 ( 2,100%)
SSTP - ran from 0.017 to 0.38 ( 2,100%) - http://www.investorshub.com/boards/read_msg.asp?message_id=19208498
LNBO - ran from 0.005 to 0.09 ( 1,700%) - http://www.investorshub.com/boards/read_msg.asp?message_id=19208282
MNEI - ran from 0.001 to 0.017 ( 1,600%)
CSBR - ran from 0.05 to 0.80 ( 1,500%) - http://www.investorshub.com/boards/read_msg.asp?message_id=19091611
TVCE - ran from 0.0002 to 0.0028 ( 1,300%)
IOGH - ran from 0.015 to 0.20 ( 1,300%)
PPXP(SFPH) - ran from 0.70 to 10.00 ( 1,300%) - http://www.investorshub.com/boards/read_msg.asp?message_id=18839510
RGNO(FCNK) - ran from 0.02 to 0.25 ( 1,200%)
EPMO - ran from 0.008 to 0.10 ( 1,200%)
OCRI - ran from 0.001 to 0.013 ( 1,200%)
ATGR(ATEG) - ran from 0.004 to 0.058 ( 1,200%) - http://www.investorshub.com/boards/read_msg.asp?message_id=19093518
VIVI(AXGI) - ran from 0.002 to 0.028 ( 1,100%)
SCYA - ran from 0.001 to 0.011 ( 1,000%)
DPDW(MQPH) - ran from .10 to.85 ( 800%)
PRPM(JLNY) - ran from .01-.08 ( 700%)
TLBT(TCHL) - ran from 0.015 to 0.12 ( 700%)
PASW - ran from 0.30-2.00 ( 600%) - http://www.investorshub.com/boards/read_msg.asp?message_id=19011787
COBN - ran from 0.007 to 0.04 ( 500%)
List of important filings/definitions:
PRE 14C All preliminary information statements, excluding, mergers, contested solicitations and special meetings.
DEF 14C All types of definitive statements, excluding: mergers or acquisitions, contested solicitations and special meetings.
Reg D Companies selling securities in reliance on a Regulation D exemption or a Section 4(6) exemption from the registration provisions of the '33 Act must file a Form D as notice of such a sale. The form must be filed no later than 15 days after the first sale. The exact form type is usually REGDEX, but may be a REG D-1 or similar.
SB-2 This form may be used by "small business issuers" to register securities to be sold for cash.
S-8 This form is used for the registration of securities to be offered to an issuer's employees pursuant to certain plans.
S-1 This is the basic registration form. It can be used to register securities for which no other form is authorized or prescribed, except securities of foreign governments or political sub-divisions thereof.
1-E / 2-E Business development companies (BDC) can avail themselves of a more esoteric provision of the Securities Act – Regulation E, which provides an exemption from registration for securities issued by BDCs. In short, under Regulation E, a BDC may issue up to $5 million worth of securities a year without registration. Also under Regulation E, an individual may offer to sell up to $100,000 of securities in a BDC each year.
424B1, 2, 3, and 4 filings are final registration statements to register stock under previously filed SB-2 S-1 and S-2 filings, and they serve other purposes.
EFFECT filings are notice's of effectiveness of POS AM's and some S filings ie: S-1, SB-2. The EFFECT filing comes prior to the 424B3 filing we see when the shares enter the market
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