Common use of EXPERTS Clause in Contracts

EXPERTS. Our financial statements as of, and for each of the years ended, December 31, 2020 and 2019 have been so included in reliance on the report of Hoberman & Lesser, LLP, an independent registered public accounting firm, included in this Prospectus Supplement given on the authority of such firm as experts in auditing and accounting. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE We have filed with the SEC a registration statement on Form S-3 under the Securities Act with respect to the shares offered hereby. This Prospectus Supplement, which constitutes a part of the registration statement, does not contain all the information set forth in the registration statement or the exhibits and schedules filed therewith. For further information about us and our shares offered hereby, we refer you to the registration statement and the exhibits and schedules filed thereto. Statements contained in this Prospectus Supplement regarding the contents of any contract or any other document that is filed as an exhibit to the registration statement are not necessarily complete, and each such statement is qualified in all respects by reference to the full text of such contract or other document filed as an exhibit to the registration statement. We are a reporting company and file annual, quarterly and current reports, proxy statements and other material with the SEC. You may read and copy our reports, proxy statements and other information, including the registration statement of which this Prospectus Supplement is a part at the Public Reference Room of the SEC, 000 X Xxxxxx, X. X., Xxxx 0000, Xxxxxxxxxx X.X. 00000. You may obtain information on the operation of the public reference rooms by calling the SEC at 0-000-XXX-0000. The SEC also maintains an Internet website that contains reports, proxy statements and other information about issuers, like us, that file electronically with the SEC. The address of that site is xxx.xxx.xxx. The SEC allows us to “incorporate by reference” information into this Prospectus Supplement, which means that we can disclose important information to you by referring you to another document filed separately with the SEC. The information incorporated by reference is deemed to be part of this Prospectus Supplement, except for any information superseded by information in this Prospectus Supplement or any document that we file in the future with the SEC. This Prospectus Supplement incorporates by reference the documents set forth below that we have previously filed with the SEC and all documents that we file with the SEC under Sections 13(a), 13(c), 14 or 15(d) of the Exchange Act (other than any portion of the respective filings that are furnished pursuant to Item 2.02 or Item 7.01 of a Current Report on Form 8-K (including exhibits related thereto) or other applicable SEC rules, rather than filed) after the date of this Prospectus Supplement from their respective filing dates. These documents contain important information about us, our business and our finances. Document Filed Annual Report on Form 10-K for the year ended December 31, 2020 March 31, 2021 Current Reports on Form 8-K April 5, 2021 Description of Common Shares contained in our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally or in writing, we will provide you with a copy of any or all documents which are incorporated by reference. Such documents will be provided to you free of charge, but will not contain any exhibits, unless those exhibits are specifically incorporated by reference into those documents. Requests should be addressed to Sachem Capital Corp., 000 Xxxx Xxxxxx, Xxxxxxxx, Xxxxxxxxxxx 00000, Attention: Chief Financial Officer, telephone number (000) 000-0000. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees of Debt Securities, Warrants and Units We may, from time to time, offer, in one or more series or classes, separately or together, and in amounts, at prices and on terms to be set forth in one or more supplements to this prospectus, the following securities: • common shares, par value $0.001 per share; • preferred shares, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more of the classes of securities listed above. We refer to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” in this base prospectus. This base prospectus describes some of the general terms that may apply to the Securities and the general manner in which they may be offered. The specific terms of any Securities to be offered, and the specific manner in which they may be offered will be set forth in the applicable prospectus supplement. The prospectus supplement will also contain information, where applicable, about the material federal income tax considerations relating to, and any listing on a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe the terms of the plan of distribution and set forth the names of any agents, dealers or underwriters involved in the sale of the securities. See “Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACH.” On January 24, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.

Appears in 1 contract

Samples: ir.sachemcapitalcorp.com

AutoNDA by SimpleDocs

EXPERTS. Our The financial statements as of, and incorporated in this prospectus supplement by reference to the Annual Report on Form 10-K for each of the years ended, fiscal year ended December 31, 2020 and 2019 2017 have been so included incorporated in reliance on the report of Hoberman & LesserGBH CPAs, LLP, PC an independent registered public accounting firm, included in this Prospectus Supplement given on the authority of such said firm as experts in auditing and accounting. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE INFORMATION We have filed with are subject to the SEC a registration statement on Form S-3 under informational requirements of the Securities Exchange Act with respect to the shares offered hereby. This Prospectus Supplementof 1934, which constitutes a part of the registration statement, does not contain all the information set forth in the registration statement or the exhibits and schedules filed therewith. For further information about us and our shares offered hereby, we refer you to the registration statement and the exhibits and schedules filed thereto. Statements contained in this Prospectus Supplement regarding the contents of any contract or any other document that is filed as an exhibit to the registration statement are not necessarily completeamended, and each such statement is qualified in all respects by reference to the full text of such contract or other document filed as an exhibit to the registration statement. We are a reporting company and accordance therewith file annual, quarterly and current reports, proxy statements and other material information with the SECSecurities and Exchange Commission. You may read and copy our Such reports, proxy statements and other information, including the registration statement of which this Prospectus Supplement is a part information can be read and copied at the Public Reference Room of the SEC, Securities and Exchange Commission’s public reference facilities at 000 X Xxxxxx, X. X.X.X., Xxxx 0000Xxxxxxxxxx, Xxxxxxxxxx X.X. 00000, at prescribed rates. You may obtain Please call the Securities and Exchange Commission at 1-800- 732-0330 for further information on the operation of the public reference rooms by calling facilities. In addition, the SEC at 0-000-XXX-0000. The SEC also Securities and Exchange Commission maintains an Internet a website that contains reports, proxy and information statements and other information about issuers, like us, regarding registrants that file electronically with the SECSecurities and Exchange Commission. The address of that site the Securities and Exchange Commission’s website is xxx.xxx.xxx. The SEC allows us to “incorporate by reference” information into this Prospectus Supplement, which means that we can disclose important information to you by referring you to another document filed separately with the SEC. The information incorporated by reference is deemed to be part We make available free of this Prospectus Supplement, except for any information superseded by information in this Prospectus Supplement charge on or any document that we file in the future with the SEC. This Prospectus Supplement incorporates by reference the documents set forth below that we have previously filed with the SEC and all documents that we file with the SEC under Sections 13(a), 13(c), 14 or 15(d) of the Exchange Act (other than any portion of the respective filings that are furnished pursuant to Item 2.02 or Item 7.01 of a Current Report on Form 8-K (including exhibits related thereto) or other applicable SEC rules, rather than filed) after the date of this Prospectus Supplement from their respective filing dates. These documents contain important information about usthrough our website at xxx.xxxxxxxxxxxxxxxxxxxxxx.xxx, our business and our finances. Document Filed Annual Report Reports on Form 10-K for the year ended December 31K, 2020 March 31Quarterly Reports on Form 10-Q, 2021 Current Reports on Form 8-K April 5and amendments to those reports filed or furnished pursuant to Section 13(a) or 15(d) of the Securities Exchange Act of 1934, 2021 Description as amended, as soon as reasonably practicable after we electronically file such material with or otherwise furnish it to the Securities and Exchange Commission. We have filed with the Securities and Exchange Commission a registration statement under the Securities Act of Common Shares contained 1933, as amended, relating to the offering of these securities. The registration statement, including the attached exhibits, contains additional relevant information about us and the securities. This prospectus supplement does not contain all of the information set forth in our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally or in writing, we will provide you with the registration statement. You can obtain a copy of any the registration statement, at prescribed rates, from the Securities and Exchange Commission at the address listed above, or all for free at xxx.xxx.xxx. The registration statement and the documents which referred to below under “Incorporation of Certain Information By Reference” are incorporated by referencealso available on our website, xxx.xxxxxxxxxxxxxxxxxxxxxxx.xxx. Such documents will be provided to you free of charge, but will We have not contain any exhibits, unless those exhibits are specifically incorporated by reference into those documents. Requests should be addressed to Sachem Capital Corp., 000 Xxxx Xxxxxx, Xxxxxxxx, Xxxxxxxxxxx 00000, Attention: Chief Financial Officer, telephone number (000) 000-0000. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees of Debt Securities, Warrants and Units We may, from time to time, offer, in one or more series or classes, separately or togetherthis prospectus supplement the information on our website, and in amounts, at prices and on terms you should not consider it to be set forth in one or more supplements to a part of this prospectus, the following securities: • common shares, par value $0.001 per share; • preferred shares, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more of the classes of securities listed above. We refer to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” in this base prospectus. This base prospectus describes some of the general terms that may apply to the Securities and the general manner in which they may be offered. The specific terms of any Securities to be offered, and the specific manner in which they may be offered will be set forth in the applicable prospectus supplement. The prospectus supplement will also contain information, where applicable, about the material federal income tax considerations relating to, and any listing on a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe the terms of the plan of distribution and set forth the names of any agents, dealers or underwriters involved in the sale of the securities. See “Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACH.” On January 24, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.

Appears in 1 contract

Samples: ir.actiniumpharma.com

EXPERTS. Our The consolidated financial statements as ofof December 31, 2017 and 2016 and for each of the three years ended, in the period ended December 31, 2020 2017 and 2019 management’s assessment of the effectiveness of internal control over financial reporting (which is included in Management’s Report on Internal Control over Financial Reporting) as of December 31, 2017 included in the accompanying prospectus have been so included in reliance on the report of Hoberman & Lesser, PricewaterhouseCoopers LLP, an independent registered public accounting firm, included in this Prospectus Supplement given on the authority of such said firm as experts in auditing and accounting. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE AVAILABLE INFORMATION We have filed with the SEC a registration statement on Form S-3 N-2, together with all amendments and related exhibits, under the Securities Act Act, with respect to our securities offered by this prospectus supplement and the shares offered herebyaccompanying prospectus. This Prospectus Supplement, which constitutes a part of the registration statement, does not contain all the information set forth in the The registration statement or the exhibits and schedules filed therewith. For further contains additional information about us and our shares securities being offered herebyby this prospectus supplement and the accompanying prospectus. We file annual, we refer you to quarterly and current periodic reports, proxy statements and other information with the SEC under the Exchange Act. You may inspect and copy these reports, proxy statements and other information, as well as the registration statement of which this prospectus supplement and accompanying prospectus form a part and the related exhibits and schedules schedules, at the Public Reference Room of the SEC at 000 X Xxxxxx, X.X., Washington, D.C. 20549-0102. You may obtain information on the operation of the Public Reference Room by calling the SEC at 000-000-0000. The SEC maintains an Internet website that contains reports, proxy and information statements and other information filed theretoelectronically by us with the SEC which are available on the SEC’s Internet website at xxxx://xxx.xxx.xxx. Statements contained in this Prospectus Supplement regarding Copies of these reports, proxy and information statements and other information may be obtained, after paying a duplicating fee, by electronic request at the contents of any contract following E-mail address: xxxxxxxxxx@xxx.xxx, or any other document that is filed as an exhibit by writing the SEC’s Public Reference Section, Washington, D.C. 20549-0102. $750,000,000 Common Stock Preferred Stock Warrants Subscription Rights Debt Securities This prospectus relates to the registration statement are not necessarily completeoffer, from time to time, in one or more offerings or series, up to $750,000,000 of shares of our common stock, par value $0.001 per share, preferred stock, par value $0.001 per share, warrants representing rights to purchase shares of our common stock, preferred stock or debt securities, subscription rights or debt securities, which we refer to, collectively, as the “securities.” The preferred stock, debt securities, subscription rights and each such statement is qualified warrants offered hereby may be convertible or exchangeable into shares of our common stock. We may sell our securities through underwriters or dealers, “at-the-market” to or through a market maker into an existing trading market or otherwise directly to one or more purchasers, including existing stockholders in all respects by reference to the full text a rights offering, or through agents or through a combination of methods of sale, including auctions. The identities of such contract underwriters, dealers, market makers or other document filed agents, as an exhibit the case may be, will be described in one or more supplements to this prospectus. The securities may be offered at prices and on terms to be described in one or more supplements to this prospectus. In the registration statementevent we offer common stock, the offering price per share will not be less than the net asset value per share of our common stock at the time we make the offering except (1) in connection with a rights offering to our existing stockholders, (2) with the consent of the holders of the majority of our voting securities and approval of our Board of Directors, or (3) under such circumstances as the Securities and Exchange Commission may permit. See “Risk Factors” for more information. We are a reporting specialty finance company focused on providing senior secured loans to high-growth, innovative venture capital-backed companies in a variety of technology, life sciences and sustainable and renewable technology industries. We primarily finance privately-held companies backed by leading venture capital and private equity firms and publicly-traded companies that lack access to public capital or are sensitive to equity ownership dilution. We source our investments through our principal office located in Palo Alto, CA, as well as through additional offices in Boston, MA, New York, NY, Washington, DC, Hartford, CT and San Diego, CA. Our goal is to be the leading structured debt financing provider for venture capital-backed companies in technology-related industries requiring sophisticated and customized financing solutions. We invest primarily in structured debt with warrants and, to a lesser extent, in senior debt and equity investments. We use the term “structured debt with warrants” to refer to any debt investment, such as a senior or subordinated secured loan, that is coupled with an equity component, including warrants, options or other rights to purchase common or preferred stock. Our structured debt with warrants investments typically are secured by some or all of the assets of the portfolio company. We invest primarily in private companies but also have investments in public companies. Our investment objective is to maximize our portfolio total return by generating current income from our debt investments and capital appreciation from our warrant and equity-related investments. We are an internally-managed, non-diversified closed-end investment company that has elected to be regulated as a business development company under the Investment Company Act of 1940, as amended. Our common stock is traded on the New York Stock Exchange, or NYSE, under the symbol “HTGC.” On May 29, 2018, the last reported sale price of a share of our common stock on the NYSE, was $12.40. The net asset value per share of our common stock at March 31, 2018 (the last date prior to the date of this prospectus on which we determined net asset value) was $9.72. An investment in our securities may be speculative and involves risks including a heightened risk of total loss of investment. In addition, the companies in which we invest are subject to special risks. See “Risk Factors” beginning on page 14 to read about risks that you should consider before investing in our securities, including the risk of leverage. Please read this prospectus before investing and keep it for future reference. It contains important information about us that a prospective investor ought to know before investing in our securities. We file annual, quarterly and current reports, proxy statements and other material information about us with the SECSecurities and Exchange Commission. You may read and copy our reports, proxy statements and other information, including the registration statement The information is available free of which this Prospectus Supplement is a part charge by contacting us at the Public Reference Room of the SEC, 000 X Xxxxxxxx Xxxxxx, X. X.Suite 310, Xxxx 0000Palo Alto, Xxxxxxxxxx X.X. 00000. You may obtain information on the operation of the public reference rooms California 94301 or by telephone calling the SEC collect at 0-(000) 000-XXX-00000000 or on our website at xxx.xxxx.xxx. The SEC also maintains an Internet a website at xxx.xxx.xxx that contains reports, proxy statements such information. Neither the Securities and other information about issuers, like us, that file electronically with Exchange Commission nor any state securities commission has approved or disapproved of these securities or determined if this prospectus is truthful or complete. Any representation to the SECcontrary is a criminal offense. This prospectus may not be used to consummate sales of any securities unless accompanied by a prospectus supplement. The address date of this prospectus is June 5, 2018 You should rely only on the information contained in this prospectus. We have not authorized any dealer, salesperson or other person to provide you with different information or to make representations as to matters not stated in this prospectus. If anyone provides you with different or inconsistent information, you should not rely on it. This prospectus is not an offer to sell, or a solicitation of an offer to buy, any securities by any person in any jurisdiction where it is unlawful for that site person to make such an offer or solicitation or to any person in any jurisdiction to whom it is xxx.xxx.xxx. The SEC allows us unlawful to “incorporate by reference” information into this Prospectus Supplement, which means that we can disclose important information to you by referring you to another document filed separately with the SECmake such an offer or solicitation. The information incorporated by reference in this prospectus is deemed to be part accurate only as of its date, and under no circumstances should the delivery of this Prospectus Supplement, except for prospectus or the sale of any information superseded by securities imply that the information in this Prospectus Supplement prospectus is accurate as of any later date or any document that we file in the future with affairs of Hercules Capital, Inc. have not changed since the SECdate hereof. This Prospectus Supplement incorporates by reference prospectus will be updated to reflect material changes. TABLE OF CONTENTS Page Summary 1 Fees and Expenses 10 Selected Consolidated Financial Data 12 Risk Factors 14 Forward-Looking Statements 63 Use of Proceeds 65 Price Range of Common Stock and Distributions 66 Ratio of Earnings to Fixed Charges 69 Management’s Discussion and Analysis of Financial Condition and Results of Operations 70 Business 113 Portfolio Companies 126 Senior Securities 149 Management 152 Corporate Governance 164 Executive Compensation 170 Control Persons and Principal Stockholders 192 Certain Relationships and Related Transactions 194 Certain United States Federal Income Tax Considerations 195 Regulation 205 Determination of Net Asset Value 211 Sales of Common Stock Below Net Asset Value 215 Dividend Reinvestment Plan 220 Description of Capital Stock 221 Description of Our Preferred Stock 228 Description of Our Subscription Rights 230 Description of Warrants 232 Description of Our Debt Securities 234 Plan of Distribution 247 Brokerage Allocation and Other Practices 249 Custodian, Transfer and Dividend Paying Agent and Registrar 249 Legal Matters 249 Experts 249 Available Information Index to Financial Statements 250 F-1 Hercules Capital, Inc., our logo and other trademarks of Hercules Capital, Inc. mentioned in this prospectus are the documents set forth below property of Hercules Capital, Inc. All other trademarks or trade names referred to in this prospectus are the property of their respective owners. ABOUT THIS PROSPECTUS This prospectus is part of a registration statement that we have previously filed with the SEC Securities and all documents that we file with Exchange Commission using the SEC “shelf” registration process. Under the shelf registration process, which constitutes a delayed offering in reliance on Rule 415 under Sections 13(athe Securities Act of 1933, as amended (the “Securities Act”), 13(c), 14 or 15(d) of the Exchange Act (other than any portion of the respective filings that are furnished pursuant to Item 2.02 or Item 7.01 of a Current Report on Form 8-K (including exhibits related thereto) or other applicable SEC rules, rather than filed) after the date of this Prospectus Supplement from their respective filing dates. These documents contain important information about us, our business and our finances. Document Filed Annual Report on Form 10-K for the year ended December 31, 2020 March 31, 2021 Current Reports on Form 8-K April 5, 2021 Description of Common Shares contained in our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally or in writing, we will provide you with a copy of any or all documents which are incorporated by reference. Such documents will be provided to you free of charge, but will not contain any exhibits, unless those exhibits are specifically incorporated by reference into those documents. Requests should be addressed to Sachem Capital Corp., 000 Xxxx Xxxxxx, Xxxxxxxx, Xxxxxxxxxxx 00000, Attention: Chief Financial Officer, telephone number (000) 000-0000. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees of Debt Securities, Warrants and Units We maymay offer, from time to time, offerup to $750,000,000 of our common stock, in preferred stock, warrants representing rights to purchase shares of our common stock, preferred stock or debt securities, subscription rights or debt securities on the terms to be determined at the time of the offering. We may sell our securities through underwriters or dealers, “at-the-market” to or through a market maker, into an existing trading market or otherwise directly to one or more series purchasers, including existing stockholders in a rights offering, or classesthrough agents or through a combination of methods of sale. The identities of such underwriters, separately dealers, market makers or togetheragents, and in amountsas the case may be, at prices and on terms to will be set forth described in one or more supplements to this prospectus, the following securities: • common shares, par value $0.001 per share; • preferred shares, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two . The securities may be offered at prices and on terms described in one or more of the classes of securities listed above. We refer supplements to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” in this base prospectus. This base prospectus describes some provides you with a general description of the general terms securities that we may apply offer. Each time we use this prospectus to the Securities and the general manner in which they may be offered. The specific terms of any Securities to be offeredoffer securities, and the specific manner in which they may be offered we will be set forth in the applicable prospectus supplement. The provide a prospectus supplement that will also contain information, where applicable, specific information about the material federal income tax considerations relating to, and any listing on a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe the terms of that offering. Please carefully read this prospectus and any such supplements together with the plan of distribution and set forth the names of any agents, dealers or underwriters involved additional information described under “Available Information” in the sale of the securities. See Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACH.” On January 24, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCBSummary” and “SACC”Risk Factors” sections before you make an investment decision. None of the other Securities are currently listed on any exchange A prospectus supplement may also add to, update or quoted on any other trading venue or systemchange information contained in this prospectus.

Appears in 1 contract

Samples: Loan and Security Agreement

EXPERTS. Our The financial statements as ofof December 31, 2016 and 2015 and for each of the two years ended, in the period ended December 31, 2020 and 2019 2016 incorporated by reference in this prospectus supplement, constituting a part of the registration statement on Form S-3 have been so included incorporated in reliance on the report of Hoberman & LesserBDO USA, LLP, an independent registered public accounting firm, included in this Prospectus Supplement incorporated herein by reference, given on the authority of such said firm as experts in auditing and accounting. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE INFORMATION We have filed with the SEC a registration statement on Form S-3 under the Securities Act with respect to the shares securities offered herebyby this prospectus supplement. This Prospectus Supplementprospectus supplement and the accompanying prospectus, which constitutes a are part of the registration statement, does not contain all the information omits certain information, exhibits, schedules and undertakings set forth in the registration statement or statement, as permitted by the exhibits and schedules filed therewithSEC. For further information about pertaining to us and our shares the securities offered herebyin this prospectus supplement, we refer you reference is made to the that registration statement and the exhibits and schedules filed theretoto the registration statement. Statements contained in this Prospectus Supplement regarding prospectus supplement and the accompanying prospectus as to the contents or provisions of any contract or any other document that is filed as an exhibit documents referred to the registration statement in this prospectus are not necessarily complete, and in each such statement is qualified in all respects by reference to instance where a copy of the full text of such contract or other document has been filed as an exhibit to the registration statement, reference is made to the exhibit for a more complete description of the matters involved. We are a reporting company and file annual, quarterly and current reports, proxy statements and other material information with the SEC. You may Our SEC filings can be read and copy our reports, proxy statements and other information, including the registration statement of which this Prospectus Supplement is a part copied at the SEC’s Public Reference Room of the SEC, at 000 X Xxxxxx, X. X.X.X., Xxxx 0000Xxxxxxxxxx, Xxxxxxxxxx X.X. 00000. You The public may obtain information on the operation of the public reference rooms room by calling the SEC at 0-000-XXX-0000. The Also, the SEC also maintains an Internet a website at xxx.xxx.xxx that contains reports, proxy and information statements and other information about issuers, like us, regarding issuers that file electronically with the SEC, including us. The address of that site Our common stock is xxx.xxx.xxx. The SEC allows us to listed on the NASDAQ Capital Market under the symbol incorporate by referenceALDX.information into this Prospectus Supplement, which means that we can disclose important information to you by referring you to another document filed separately with the SEC. The information incorporated by reference is deemed to be part of this Prospectus Supplement, except for any information superseded by information in this Prospectus Supplement or any document that we file in the future with the SEC. This Prospectus Supplement incorporates by reference the documents set forth below that we have previously filed with the SEC and all documents that we file with the SEC under Sections 13(a), 13(c), 14 or 15(d) of the Exchange Act (other than any portion of the respective filings that are furnished pursuant to Item 2.02 or Item 7.01 of a Current Report on Form 8-K (including exhibits related thereto) or other applicable SEC rules, rather than filed) after the date of this Prospectus Supplement from their respective filing dates. These documents contain important General information about usour company, including our business and our finances. Document Filed Annual Report on Form 10-K for the year ended December 31K, 2020 March 31, 2021 Quarterly Reports on Form 10-Q and Current Reports on Form 8-K April 5K, 2021 Description of Common Shares contained in our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25as well as any amendments and exhibits to those reports, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally or in writing, we will provide you with a copy of any or all documents which are incorporated by reference. Such documents will be provided to you available free of chargecharge through our website at xxx.xxxxxxx.xxx as soon as reasonably practicable after we file them with, but will not contain any exhibits, unless those exhibits are specifically incorporated by reference into those documents. Requests should be addressed to Sachem Capital Corp., 000 Xxxx Xxxxxx, Xxxxxxxx, Xxxxxxxxxxx 00000, Attention: Chief Financial Officer, telephone number (000) 000-0000. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees of Debt Securities, Warrants and Units We may, from time to time, offer, in one or more series or classes, separately or together, and in amounts, at prices and on terms to be set forth in one or more supplements to this prospectusfurnish them to, the following securities: • common sharesSEC. Information on, par value $0.001 per share; • preferred sharesor than can be accessed through, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more of the classes of securities listed above. We refer to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” in our website is not incorporated into this base prospectus. This base prospectus describes some of the general terms that may apply to the Securities and the general manner in which they may be offered. The specific terms of any Securities to be offered, and the specific manner in which they may be offered will be set forth in the applicable prospectus supplement. The prospectus supplement will also contain information, where applicable, about the material federal income tax considerations relating to, or other securities filings and any listing on is not a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe the terms part of the plan of distribution and set forth the names of any agents, dealers or underwriters involved in the sale of the securities. See “Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACHthese filings.” On January 24, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.

Appears in 1 contract

Samples: ir.aldeyra.com

EXPERTS. Our financial statements as of, and for each of the years ended, December 31, 2020 and 2019 have been so included in reliance on the report of Hoberman Ernst & Lesser, Young LLP, an independent registered public accounting firm, has audited our consolidated financial statements included in this Prospectus Supplement given on the authority of such firm as experts in auditing and accounting. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE We have filed with the SEC a registration statement on Form S-3 under the Securities Act with respect to the shares offered hereby. This Prospectus Supplement, which constitutes a part of the registration statement, does not contain all the information set forth in the registration statement or the exhibits and schedules filed therewith. For further information about us and our shares offered hereby, we refer you to the registration statement and the exhibits and schedules filed thereto. Statements contained in this Prospectus Supplement regarding the contents of any contract or any other document that is filed as an exhibit to the registration statement are not necessarily complete, and each such statement is qualified in all respects by reference to the full text of such contract or other document filed as an exhibit to the registration statement. We are a reporting company and file annual, quarterly and current reports, proxy statements and other material with the SEC. You may read and copy our reports, proxy statements and other information, including the registration statement of which this Prospectus Supplement is a part at the Public Reference Room of the SEC, 000 X Xxxxxx, X. X., Xxxx 0000, Xxxxxxxxxx X.X. 00000. You may obtain information on the operation of the public reference rooms by calling the SEC at 0-000-XXX-0000. The SEC also maintains an Internet website that contains reports, proxy statements and other information about issuers, like us, that file electronically with the SEC. The address of that site is xxx.xxx.xxx. The SEC allows us to “incorporate by reference” information into this Prospectus Supplement, which means that we can disclose important information to you by referring you to another document filed separately with the SEC. The information incorporated by reference is deemed to be part of this Prospectus Supplement, except for any information superseded by information in this Prospectus Supplement or any document that we file in the future with the SEC. This Prospectus Supplement incorporates by reference the documents set forth below that we have previously filed with the SEC and all documents that we file with the SEC under Sections 13(a), 13(c), 14 or 15(d) of the Exchange Act (other than any portion of the respective filings that are furnished pursuant to Item 2.02 or Item 7.01 of a Current Report on Form 8-K (including exhibits related thereto) or other applicable SEC rules, rather than filed) after the date of this Prospectus Supplement from their respective filing dates. These documents contain important information about us, our business and our finances. Document Filed Annual Report on Form 10-K for the year ended December 31, 2020 March 2019, and the effectiveness of our internal control over financial reporting as of December 31, 2021 2019, as set forth in their reports, which are incorporated by reference in this prospectus supplement and elsewhere in the registration statement. Our financial statements are incorporated by reference in reliance on Ernst & Young LLP’s reports, given on their authority as experts in accounting and auditing. WHERE YOU CAN FIND MORE INFORMATION We file annual, quarterly and current reports, proxy statements and other information with the SEC. Our SEC filings are available to the public over the Internet at the SEC’s website at xxx.xxx.xxx. Our Annual Report on Form 10-K, Quarterly Reports on Form 10-Q, and Current Reports on Form 8-K April 5K, 2021 Description including any amendments to those reports, proxy and information statements and other information that we file with or furnish to the SEC pursuant to Section 13(a) or 15(d) of Common Shares contained in the Exchange Act can also be accessed free of charge on our website at xxx.xxxxxx.xxx under “Investors — Financial Information — SEC Filings.” These filings will be available as soon as reasonably practicable after we electronically file such material with, or furnish it to, the SEC. We have filed with the SEC a Registration Statement on Form 8S-3 (File No. 333-A Description 248738) under the Securities Act, of 7.75% September 2025 notes which this prospectus supplement forms a part. The rules and regulations of the SEC allow us to omit from this prospectus supplement certain information included in the registration statement. For further information about us and the securities we are offering under this prospectus supplement, you should refer to the registration statement and the exhibits and schedules filed with the registration statement. With respect to the statements contained in Registration Statement on Form 8-A Description this prospectus supplement regarding the contents of 7.125% June 2024 notes contained any agreement or any other document, in Registration Statement on Form 8-A January 25each instance, 2017 September 2the statement is qualified in all respects by the complete text of the agreement or document, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally or in writing, we will provide you with a copy of any which has been filed as an exhibit to the registration statement or all documents which are an item incorporated by referencereference in the registration statement. Such You can obtain a copy of the registration statement, at prescribed rates, from the SEC at the address listed above. The registration statement and the documents will be provided referred to you free of chargebelow under “Incorporation by Reference” are also available on our website, but will xxx.xxxxxx.xxx. We have not contain any exhibits, unless those exhibits are specifically incorporated by reference into those documents. Requests should this prospectus supplement or the accompanying prospectus the information on, or that can be addressed to Sachem Capital Corp.accessed through, 000 Xxxx Xxxxxx, Xxxxxxxx, Xxxxxxxxxxx 00000, Attention: Chief Financial Officer, telephone number (000) 000-0000. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees of Debt Securities, Warrants and Units We may, from time to time, offer, in one or more series or classes, separately or togetherour website, and in amounts, at prices and on terms you should not consider it to be set forth in one or more supplements to a part of this prospectus, the following securities: • common shares, par value $0.001 per share; • preferred shares, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more of the classes of securities listed above. We refer to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” in this base prospectus. This base prospectus describes some of the general terms that may apply to the Securities and the general manner in which they may be offered. The specific terms of any Securities to be offered, and the specific manner in which they may be offered will be set forth in the applicable prospectus supplement. The prospectus supplement will also contain information, where applicable, about or the material federal income tax considerations relating to, and any listing on a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe the terms of the plan of distribution and set forth the names of any agents, dealers or underwriters involved in the sale of the securities. See “Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACHaccompanying prospectus.” On January 24, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.

Appears in 1 contract

Samples: d18rn0p25nwr6d.cloudfront.net

EXPERTS. Our financial statements as of, and for each of the years ended, December 31, 2020 and 2019 have been so included in reliance on the report of Hoberman Ernst & Lesser, Young LLP, an independent registered public accounting firm, has audited our consolidated financial statements included in our Annual Report on Form 10-K for the years ended December 31, 2020 and 2019, as set forth in their report, which is incorporated by reference in this Prospectus Supplement prospectus supplement and elsewhere in the registration statement. Our consolidated financial statements are incorporated by reference in reliance on Ernst & Young LLP’s report, given on their authority as experts in accounting and auditing. The financial statements of Salarius Pharmaceuticals, LLC, a Delaware limited liability company and a wholly owned subsidiary of Salarius Pharmaceuticals, Inc. as of and for the year December 31, 2018 have been audited by Xxxxxx and Xxxxxxx, L.L.P., independent registered public accounting firm, as stated in their report dated March 25, 2019, except for the effects of the recast of equity to which the date is January 10, 2020 with respect to the audit of the balance sheet of Salarius Pharmaceuticals, LLC as of December 31, 2018 and the related statements of operations, changes in stockholders’ deficit and cash flows for the year ended December 31, 2018, which report appears in the December 31, 2019 annual report on Form 10-K of Salarius Pharmaceuticals, Inc. and is incorporated by reference in this prospectus supplement and the accompanying prospectus. Such financial statements are incorporated by reference in reliance upon the reports of Xxxxxx and Xxxxxxx, L.L.P., and upon the authority of such firm as experts in auditing accounting and accountingauditing. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE INFORMATION We have filed with the SEC a registration statement on Form S-3 with the SEC under the Securities Act with respect to the shares offered herebyAct. This Prospectus Supplement, which constitutes a prospectus supplement and the accompanying prospectus is part of the registration statement, does not contain all the information set forth in statement but the registration statement or the exhibits includes and schedules filed therewith. For further information about us and our shares offered hereby, we refer you to the registration statement and the exhibits and schedules filed thereto. Statements contained in this Prospectus Supplement regarding the contents of any contract or any other document that is filed as an exhibit to the registration statement are not necessarily complete, and each such statement is qualified in all respects incorporates by reference to the full text of such contract or other document filed as an exhibit to the registration statementadditional information and exhibits. We are a reporting company and file annual, quarterly and current reports, proxy statements and other material information with the SEC. You may read and copy our reports, proxy statements and other information, including the registration statement of which this Prospectus Supplement is a part at the Public Reference Room of the SEC, 000 X Xxxxxx, X. X., Xxxx 0000, Xxxxxxxxxx X.X. 00000. You may obtain information on the operation of the public reference rooms by calling the SEC at 0-000-XXX-0000. The SEC also maintains an Internet website a web site that contains reports, proxy and information statements and other information about issuersregarding companies, like ussuch as ours, that file documents electronically with the SEC. The address of that site on the worldwide web is xxx.xxx.xxxxxxx://xxx.xxx.xxx. The information on the SEC’s web site is not part of this prospectus, and any references to this web site or any other web site are inactive textual references only. We file annual, quarterly, and current reports, proxy statements, and other information with the SEC. The SEC allows maintains a web site that contains reports, proxy, and information statements and other information regarding companies, such as ours, that file documents electronically with the SEC. The address of that site on the world wide web is xxxx://xxx.xxx.xxx. The information on the SEC’s web site is not part of this prospectus, and any references to this web site or any other web site are inactive textual references only. The SEC permits us to “incorporate by reference” the information into this Prospectus Supplementcontained in documents we file with the SEC, which means that we can disclose important information to you by referring you to another document filed separately with those documents rather than by including them in this prospectus supplement and the SECaccompanying prospectus. The information Information that is incorporated by reference is deemed considered to be part of this Prospectus Supplement, except for any prospectus supplement and the accompanying prospectus and you should read it with the same care that you read this prospectus. Later information superseded by information in this Prospectus Supplement or any document that we file with the SEC will automatically update and supersede the information that is either contained, or incorporated by reference, in this prospectus supplement and the future accompanying prospectus, and will be considered to be a part of this prospectus supplement and the accompanying prospectus from the date those documents are filed. We have filed with the SEC. This Prospectus Supplement incorporates , and incorporate by reference in this prospectus supplement and the documents set forth below that we have previously accompanying prospectus (excluding any portions thereof furnished by the Registrant, including but not limited to information furnished under Item 2.02 and Item 7.01 and any exhibits relating to Item 2.02 or Item 7.01 furnished under Item 9.01 of Form 8-K and any certification required by 18 U.S.C. § 1350): • our Annual Report on Form 10-K for the fiscal year ended December 31, 2020 (filed on March 18, 2021); • our Quarterly Report on Form 10-Q for the quarter ended March 31, 2021 (filed May 12, 2021); • our Current Reports on Form 8-K filed with the SEC on January 21, 2021, February 5, 2021, February 17, 2021, March 3, 2021, March 8, 2021, May 20, 2021, June 16, 2021 and July 1, 2021; • the information contained in our definitive proxy statement on Schedule 14A filed on April 27, 2021 and incorporated by reference into Part III of our Annual Report on Form 10-K for the year ended December 31, 2020; and • the description of our common stock contained in our Registration Statement on Form 8-A filed on January 23, 2015, including any amendment or report filed for the purpose of updating such description. We also incorporate by reference all additional documents that we file with the SEC under Sections the terms of Section 13(a), 13(c), 14 or 15(d) of the Exchange Act (other than any portion that are made after the initial filing date of the respective filings that are registration statement of which this prospectus is a part and the effectiveness of the registration statement, as well as between the date of this prospectus and the termination of any offering of securities offered by this prospectus (excluding any portions thereof furnished pursuant by the Registrant, including but not limited to information furnished under Item 2.02 and Item 7.01 and any exhibits relating to Item 2.02 or Item 7.01 furnished under Item 9.01 of a Current Report on Form 8-K (including exhibits related thereto) and any certification required by 18 U.S.C. § 1350). Any statement contained in this Registration Statement or other applicable SEC rules, rather than filed) after the date in a document incorporated by reference in this Registration Statement shall be deemed to be modified or superseded for purposes of this Prospectus Supplement from their respective filing dates. These documents contain important information about us, our business and our finances. Document Filed Annual Report on Form 10-K for Registration Statement to the year ended December 31, 2020 March 31, 2021 Current Reports on Form 8-K April 5, 2021 Description of Common Shares extent that a statement contained in our this Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained or in any subsequently filed document that is deemed to be incorporated by reference in this Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally modifies or in writing, we will provide you with supersedes such statement. You may request a copy of any or all of the documents which are incorporated by reference. Such documents will be provided to you free of charge, but will not contain any exhibits, unless those exhibits are specifically incorporated by reference into those documents. Requests should be addressed to Sachem Capital Corp.but not delivered with this prospectus, 000 Xxxx Xxxxxxat no cost, Xxxxxxxxby writing or telephoning us at the following address and number: 0000 Xxxxxxxx Xxxx., Xxxxxxxxxxx 00000Suite X, Attention: Chief Financial OfficerHouston, TX 77021, and our telephone number is (000) 000-0000. We will not, however, send exhibits to those documents, unless the exhibits are specifically incorporated by reference in those documents. We make available free of charge on our website our annual reports on Form 10-K, quarterly reports on Form 10-Q, current reports on Form 8-K and amendments to those reports, as soon as reasonably practicable after we electronically file or furnish such materials to the Securities and Exchange Commission, or SEC. You may obtain a free copy of these reports in the Investor Relations section of our website, xxx.xxxxxxxxxxxxxx.xxx. PROSPECTUS $100,000,000 Common Shares, Stock Preferred Shares, Stock Debt Securities, Guarantees of Debt Securities, Securities Warrants and Units We may, from From time to time, offer, we may offer up to $100,000,000 of any combination of the securities described in this prospectus in one or more series offerings. We may also offer securities as may be issuable upon conversion, redemption, repurchase, exchange or classesexercise of any securities registered hereunder, separately or togetherincluding any applicable antidilution provisions. This prospectus provides a general description of the securities we may offer. Each time we offer securities, and we will provide specific terms of the securities offered in amounts, at prices and on terms a supplement to be set forth in this prospectus. We may also authorize one or more supplements free writing prospectuses to be provided to you in connection with these offerings. The prospectus supplement and any related free writing prospectus may also add, update or change information contained in this prospectus. You should carefully read this prospectus, the following securities: • common sharesapplicable prospectus supplement and any related free writing prospectus, par value $0.001 per share; • preferred sharesas well as any documents incorporated by reference, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more before you invest in any of the classes of securities listed above. We refer to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” in this base prospectusbeing offered. This base prospectus describes some of the general terms that may apply not be used to the Securities and the general manner in which they may be offered. The specific terms consummate a sale of any Securities to be offered, and the specific manner in which they may be offered will be set forth in the applicable securities unless accompanied by a prospectus supplement. Our common stock is listed on The Nasdaq Capital Market, or Nasdaq, under the symbol “FLKS.” On April 22, 2019, the last reported sale price of our common stock was $0.55 per share. The applicable prospectus supplement will also contain information, where applicable, about the material federal income tax considerations relating to, and as to any other listing on a Nasdaq or any securities market or other exchange ofof the securities, the Securities if any, covered by such the prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold We will sell these securities directly to investors, through agents designated from time to time or to or through one underwriters or more underwriters, dealers and agents, or directly to purchasersdealers, on a continuous or delayed basis. The prospectus supplement will describe For additional information on the terms methods of sale, you should refer to the plan section titled “Plan of distribution and set forth the names of Distribution” in this prospectus. If any agents, dealers agents or underwriters are involved in the sale of any securities with respect to which this prospectus is being delivered, the securities. See “Plan names of Distribution” beginning on page 58 for more information on this topic. No Securities may such agents or underwriters and any applicable fees, commissions, discounts or over-allotment options will be sold without delivery of set forth in a prospectus supplement describing supplement. The price to the method public of such securities and terms the net proceeds we expect to receive from such sale will also be set forth in a prospectus supplement. The aggregate market value of the offering our outstanding common stock held by non-affiliates was approximately $11.3 million which was calculated based on 18,043,229 shares of the Securities. Our outstanding common shares are listed on the NYSE American under the symbol “SACH.” On January 24stock held by non-affiliates as of April 1, 20202019, and a price per share of $0.624, the closing sale price of our common stock on April 15, 2019. Pursuant to General Instruction I.B.6 of Form S-3, in no event will we sell securities pursuant to this registration statement with a value more than one-third of the aggregate market value of our common shares on NYSE American was stock held by non-affiliates in any 12-month period, so long as the aggregate market value of our common stock held by non-affiliates is less than $4.34 per share75.0 million. In additionthe event that subsequent to the effective date of this registration statement, we the aggregate market value of our outstanding common stock held by non-affiliates equals or exceeds $75.0 million, then the one-third limitation on sales shall not apply to additional sales made pursuant to this registration statement. We have two series not sold any securities pursuant to General Instruction I.B.6 of five-year unsecured unsubordinated notes listed upon Form S-3 during the NYSE American 12 calendar months prior to, and including, the date of this registration statement. Investing in our securities involves a high degree of risk. You should review carefully the risks and uncertainties described under the symbols heading SCCBRisk Factorscontained in the applicable prospectus supplement and “SACC”. None of any related free writing prospectus, and under similar headings in the other documents that are incorporated by reference into this prospectus as described on page 6 of this prospectus. Neither the Securities are currently listed on and Exchange Commission nor any exchange state securities commission has approved or quoted on any other trading venue disapproved of these securities or system.determined if this prospectus is truthful or complete. Any representation to the contrary is a criminal offense. The date of this prospectus is May 17, 2019. ctus T THIS PROSPECTUS i PECTUS SUMMARY FACTORS AL NOTE REGARDING FORWARD-LOOKING STATEMENTS F PROCEEDS RIPTION OF CAPITAL STOCK RIPTION OF DEBT SECURITIES RIPTION OF WARRANTS L OWNERSHIP OF SECURITIES OF DISTRIBUTION L MATTERS RTS E YOU CAN FIND MORE INFORMATION RPORATION OF CERTAIN INFORMATION BY REFERENCE 1 7 9 1 0 1 5 2 2 2 4 2 8 3 0 3 0 3 0

Appears in 1 contract

Samples: Prospectus Supplement

EXPERTS. Our The consolidated financial statements as of, and for each of the years ended, December 31, 2020 and 2019 have been so included in reliance on the report of Hoberman & Lesser, LLP, an independent registered public accounting firm, included incorporated in this Prospectus Supplement given on the authority of such firm as experts in auditing and accounting. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE We have filed with the SEC a registration statement on Form S-3 under the Securities Act with respect to the shares offered hereby. This Prospectus Supplement, which constitutes a part of the registration statement, does not contain all the information set forth in the registration statement or the exhibits and schedules filed therewith. For further information about us and our shares offered hereby, we refer you to the registration statement and the exhibits and schedules filed thereto. Statements contained in this Prospectus Supplement regarding the contents of any contract or any other document that is filed as an exhibit to the registration statement are not necessarily complete, and each such statement is qualified in all respects prospectus by reference to from the full text of such contract or other document filed as an exhibit to the registration statement. We are a reporting company and file annual, quarterly and current reports, proxy statements and other material with the SEC. You may read and copy our reports, proxy statements and other information, including the registration statement of which this Prospectus Supplement is a part at the Public Reference Room of the SEC, 000 X Xxxxxx, X. X., Xxxx 0000, Xxxxxxxxxx X.X. 00000. You may obtain information on the operation of the public reference rooms by calling the SEC at 0-000-XXX-0000. The SEC also maintains an Internet website that contains reports, proxy statements and other information about issuers, like us, that file electronically with the SEC. The address of that site is xxx.xxx.xxx. The SEC allows us to “incorporate by reference” information into this Prospectus Supplement, which means that we can disclose important information to you by referring you to another document filed separately with the SEC. The information incorporated by reference is deemed to be part of this Prospectus Supplement, except for any information superseded by information in this Prospectus Supplement or any document that we file in the future with the SEC. This Prospectus Supplement incorporates by reference the documents set forth below that we have previously filed with the SEC and all documents that we file with the SEC under Sections 13(a), 13(c), 14 or 15(d) of the Exchange Act (other than any portion of the respective filings that are furnished pursuant to Item 2.02 or Item 7.01 of a Current Report on Form 8-K (including exhibits related thereto) or other applicable SEC rules, rather than filed) after the date of this Prospectus Supplement from their respective filing dates. These documents contain important information about us, our business and our finances. Document Filed Company’s Annual Report on Form 10-K for the year ended December 31, 2020 March 31have been audited by CohnReznick LLP, 2021 Current Reports an independent registered public accounting firm, as set forth in their report thereon, included therein, and incorporated herein by reference, which report includes an explanatory paragraph on the Company’s ability to continue as a going concern. Such consolidated financial statements are incorporated herein by reference in reliance upon such report given on the authority of such firm as experts in accounting and auditing. WHERE YOU CAN FIND MORE INFORMATION We have filed a registration statement on Form 8-K April 5S-3 with the SEC for the shares of common stock offered by this prospectus supplement and the accompanying prospectus. This prospectus supplement and the accompanying prospectus, 2021 Description of Common Shares contained in our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally or in writing, we will provide you with a copy of any or all documents which are incorporated by reference. Such documents will be provided to you free of charge, but will not contain any exhibits, unless those exhibits are specifically including the information incorporated by reference into those documentsherein and therein, do not include all of the information contained in the registration statement. Requests You should be addressed refer to Sachem Capital Corp.the registration statement and its exhibits for additional information. We file annual, quarterly and periodic reports, proxy statements and other information with the SEC. Many of our SEC filings are available to the public from the SEC’s website: xxx.xxx.xxx. We make available free of charge our annual, quarterly and current reports, proxy statements and other information upon request. To request such materials, please contact us at the following address or telephone number: ADMA Biologics, Inc. 000 Xxxx Xxxxx 00, Xxxxxx, Xxxxxxxx, Xxxxxxxxxxx Xxx Xxxxxx 00000, Attention: Xxxxx Xxxx, Executive Vice President and Chief Financial Officer, telephone number (000) 000-0000. PROSPECTUS $100,000,000 Common SharesExhibits to the documents will not be sent, Preferred Shares, Debt Securities, Guarantees of Debt Securities, Warrants and Units We may, from time to time, offer, unless those exhibits have specifically been incorporated by reference in one or more series or classes, separately or together, and in amounts, at prices and on terms to be set forth in one or more supplements to this prospectus. You may also obtain reports, statements or other information that we file with the following securities: • common sharesSEC by accessing our website at xxx.xxxxxxxxxxxxx.xxx, par value $0.001 per share; • preferred sharesunder the Investors tab, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more of the classes of securities listed aboveSEC Filings. We refer to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” in this base prospectus. This base prospectus describes some of the general terms that may apply to the Securities and the general manner in which they may be offered. The specific terms of any Securities to be offered, and the specific manner in which they may be offered will be set forth in the applicable prospectus supplement. The prospectus supplement will also contain information, where applicable, about the material federal income tax considerations relating to, and any listing on a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agentsInformation contained in, or directly to purchasersaccessible through, on our website does not constitute a continuous or delayed basis. The prospectus supplement will describe the terms part of the plan of distribution and set forth the names of any agents, dealers or underwriters involved in the sale of the securities. See “Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACHprospectus.” On January 24, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.

Appears in 1 contract

Samples: Distribution Agreement

EXPERTS. Our The consolidated financial statements incorporated in this prospectus by reference from Xenetic Biosciences, Inc.’s and subsidiaries’ Annual Report on Form 10-K , as ofamended, and for each of the years ended, December 31, 2020 and 2019 have been so included in reliance on the report of Hoberman & Lesser, audited by Marcum LLP, an independent registered public accounting firm, included as stated in this Prospectus Supplement given on their report, which are incorporated herein by reference. Such consolidated financial statements have been so incorporated in reliance upon the authority report of such firm given upon their authority as experts in auditing accounting and accountingauditing. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE INFORMATION We have filed with the SEC a registration statement on Form S-3 under statement, of which this prospectus is a part, covering the Securities Act with respect to the shares securities offered hereby. This Prospectus SupplementAs allowed by SEC rules, which constitutes a part of the registration statement, this prospectus does not contain all of the information set forth in the registration statement or and the exhibits and schedules filed therewiththereto. For further information about us and our shares offered hereby, we We refer you to the registration statement and the exhibits and schedules filed theretothereto for further information. Statements contained in this Prospectus Supplement regarding the contents of any contract or any other document that is filed as an exhibit to the registration statement are not necessarily complete, and each such statement This prospectus is qualified in all respects its entirety by reference to such other information. Copies of the full text of such contract or other document filed as an exhibit registration statement, including the exhibits and schedules to the registration statement. We are a reporting company and file annual, quarterly and current reports, proxy statements and other material with the SEC. You may read and copy our reports, proxy statements and other information, including the registration statement of which this Prospectus Supplement is a part be examined without charge at the Public Reference Room public reference room of the SEC, 000 X Xxxxxx, X. X.X.X., Xxxx 0000, Xxxxxxxxxx X.X. Xxxxxxxxxx, XX 00000. You may obtain information on Information about the operation of the public reference rooms room may be obtained by calling the SEC at 01-000-XXX-0000800- SEC-0330. The Copies of all or a portion of the registration statement can be obtained from the public reference room of the SEC upon payment of prescribed fees. Our SEC filings, including our registration statement, are also maintains an Internet available to you on the SEC’s website that contains at xxx.xxx.xxx. We file reports, proxy statements and other information about issuers, like us, that file electronically with the SEC as required by the Securities Exchange Act of 1934, as amended (the “Exchange Act”). Those reports, proxy statements and other information are available for inspection and copying at the Public Reference Room and on the SEC’s website referred to above. The We maintain a website on the Internet with the address of that site is xxx.xxx.xxxxxxxx.xxxxxxxxxx.xxx. The SEC allows us to “incorporate We are not incorporating by reference” information reference into this Prospectus Supplementprospectus the information on our website, which means that we can disclose important information to and you by referring you to another document filed separately with the SEC. The information incorporated by reference is deemed should not consider our website to be a part of this Prospectus Supplement, except for any information superseded by information in this Prospectus Supplement or any document that we file in the future with the SEC. This Prospectus Supplement incorporates by reference the documents set forth below that we have previously filed with the SEC and all documents that we file with the SEC under Sections 13(a), 13(c), 14 or 15(d) of the Exchange Act (other than any portion of the respective filings that are furnished pursuant to Item 2.02 or Item 7.01 of a Current Report on Form 8-K (including exhibits related thereto) or other applicable SEC rules, rather than filed) after the date of this Prospectus Supplement from their respective filing dates. These documents contain important information about us, our business and our finances. Document Filed Annual Report on Form 10-K for the year ended December 31, 2020 March 31, 2021 Current Reports on Form 8-K April 5, 2021 Description of Common Shares contained in our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally or in writing, we will provide you with a copy of any or all documents which are incorporated by reference. Such documents will be provided to you free of charge, but will not contain any exhibits, unless those exhibits are specifically incorporated by reference into those documents. Requests should be addressed to Sachem Capital Corp., 000 Xxxx Xxxxxx, Xxxxxxxx, Xxxxxxxxxxx 00000, Attention: Chief Financial Officer, telephone number (000) 000-0000. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees of Debt Securities, Warrants and Units We may, from time to time, offer, in one or more series or classes, separately or together, and in amounts, at prices and on terms to be set forth in one or more supplements to this prospectus, the following securities: • common shares, par value $0.001 per share; • preferred shares, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more of the classes of securities listed above. We refer to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” in this base prospectus. This base prospectus describes some of the general terms that may apply to the Securities and the general manner in which they may be offered. The specific terms of any Securities to be offered, and the specific manner in which they may be offered will be set forth in the applicable prospectus supplement. The prospectus supplement will also contain information, where applicable, about the material federal income tax considerations relating to, and any listing on a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe the terms of the plan of distribution and set forth the names of any agents, dealers or underwriters involved in the sale of the securities. See “Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACH.” On January 24, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.

Appears in 1 contract

Samples: ir.xeneticbio.com

EXPERTS. Our financial statements combined balance sheets as of, and for each of the years ended, December 31, 2020 2005 and 2019 2004, and the related combined statements of operations, cash flows and business equity and comprehensive income (loss) for the years ended December 31, 2005, 2004 and 2003 and financial statement schedule, included in this prospectus, have been audited by KPMG LLP, our independent registered public accounting firm. Such combined financial statements and financial statement schedule have been so included in reliance on the report of Hoberman & Lesser, LLP, an such independent registered public accounting firm, included in this Prospectus Supplement firm given on the authority of such firm as experts in auditing and accounting. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE INFORMATION We have filed with the SEC a registration statement on Form S-3 under S-1 with the Securities Act SEC with respect to the shares offered herebysale of the notes by Sprint Capital as contemplated by this prospectus. This Prospectus Supplement, which constitutes prospectus is a part of the registration statementof, and does not contain all of the information set forth in the registration statement or the exhibits and schedules filed therewith. For further information about us and our shares offered herebyin, we refer you to the registration statement and the exhibits and schedules filed theretoto the registration statement. For further information with respect to our company and the notes, please refer to the registration statement, including its exhibits and schedules. Statements contained made in this Prospectus Supplement regarding the contents of prospectus relating to any contract or any other document that is filed as an exhibit to the registration statement are not necessarily complete, and each such statement is qualified in all respects by reference you should refer to the full text of such contract or other document filed as an exhibit exhibits attached to the registration statement. We are a reporting company and file annual, quarterly and current reports, proxy statements and other material with statement for copies of the SECactual contract or document. You may read and review a copy our reports, proxy statements and other informationof the registration statement, including the registration statement of which this Prospectus Supplement is a part its exhibits and schedules, at the Public Reference Room of the SEC’s public reference room, located at 000 X Xxxxxx, X. X.X.X., Xxxx 0000Xxxxxxxxxx, Xxxxxxxxxx X.X. 00000. You may obtain information , as well as on the operation of Internet website maintained by the public reference rooms by calling SEC at xxx.xxx.xxx. Please call the SEC at 0-000-XXX-0000XXX-0000 for further information on the public reference room. The SEC also maintains an Internet Information contained on any website that contains referenced in this prospectus is not incorporated by reference into this prospectus or the registration statement of which this prospectus is a part. After the distribution, we will become subject to the information and reporting requirements of the Exchange Act and, in accordance with the Exchange Act, we will file periodic reports, proxy statements and other information about issuers, like us, that file electronically with the SEC. The address Our future filings will be available from the SEC as described above. We will make available free of that site is xxx.xxx.xxx. The charge most of our future SEC allows us to “incorporate by reference” information into this Prospectus Supplement, which means that filings through our Internet website (xxx.xxxxxx.xxx) as soon as reasonably practicable after we can disclose important information to you by referring you to another document filed separately electronically file these materials with the SEC. The You will be able to access these future SEC filings on our website. You may also request a copy of our future SEC filings at no cost, by writing or telephoning us at: 0000 Xxxx 000xx Xxxxxx Xxxxxxxx Xxxx, Xxxxxx 00000 (866) 591-1964 Attn: Corporate Secretary You should rely only on the information incorporated by reference is deemed to be part of this Prospectus Supplement, except for any information superseded by information contained in this Prospectus Supplement prospectus or any document that we file in the future with the SEC. This Prospectus Supplement incorporates by reference the documents set forth below that to which we have previously filed referred you. We have not authorized any person to provide you with different information or to make any representation not contained in this prospectus. INDEX TO FINANCIAL STATEMENTS AND FINANCIAL STATEMENT SCHEDULE Page Reference Embarq Corporation (formerly referred to as the SEC and all documents that we file with the SEC under Sections 13(a), 13(c), 14 or 15(dNew Local Company) Combined Financial Statements Report of the Exchange Act (other than any portion Independent Registered Public Accounting Firm F-2 Combined Statements of the respective filings that are furnished pursuant to Item 2.02 or Item 7.01 of a Current Report on Form 8-K (including exhibits related thereto) or other applicable SEC rules, rather than filed) after the date of this Prospectus Supplement from their respective filing dates. These documents contain important information about us, our business and our finances. Document Filed Annual Report on Form 10-K Operations for the year years ended December 31, 2020 March 2005, 2004 and 2003 F-3 Combined Balance Sheets as of December 31, 2021 Current Reports on Form 8-K April 52005 and 2004 F-4 Combined Statements of Cash Flows for the years ended December 31, 2021 Description 2005, 2004 and 2003 F-6 Combined Statements of Common Shares contained in our Registration Statement on Form 8-A Description Business Equity and Comprehensive Income (Loss) for the years ended December 31, 2005, 2004 and 2003 F-7 Notes to Combined Financial Statements F-8 Schedule II—Combined Valuation and Qualifying Accounts F-29 F-1 Report of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description Independent Registered Public Accounting Firm The Board of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25, 2017 September 2, 2020 June 24, 2019 Document Filed Description Directors Sprint Nextel Corporation: We have audited the accompanying combined balance sheets of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally or in writing, we will provide you with a copy of any or all documents which are incorporated by reference. Such documents will be provided Embarq Corporation (formerly referred to you free of charge, but will not contain any exhibits, unless those exhibits are specifically incorporated by reference into those documents. Requests should be addressed to Sachem Capital Corp., 000 Xxxx Xxxxxx, Xxxxxxxx, Xxxxxxxxxxx 00000, Attention: Chief Financial Officer, telephone number (000) 000-0000. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees of Debt Securities, Warrants and Units We may, from time to time, offer, in one or more series or classes, separately or together, and in amounts, at prices and on terms to be set forth in one or more supplements to this prospectus, the following securities: • common shares, par value $0.001 per share; • preferred shares, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more of the classes of securities listed above. We refer to the common shares, preferred shares, warrants, debt securities and units collectively as the New Local Company) (the Securities” in this base prospectus. This base prospectus describes some Company”) as of the general terms that may apply to the Securities December 31, 2005 and the general manner in which they may be offered. The specific terms of any Securities to be offered2004, and the specific manner related combined statements of operations, cash flows and business equity and comprehensive income (loss) for the years ended December 31, 2005, 2004 and 2003. In connection with our audits of the combined financial statements, we also have audited the financial statement schedule, Schedule II-Combined Valuation and Qualifying Accounts. These combined financial statements and financial statement schedule are the responsibility of the Company’s management. Our responsibility is to express an opinion on these combined financial statements and financial statement schedule based on our audits. We conducted our audits in which they may be offered will be set forth in accordance with the applicable prospectus supplementstandards of the Public Company Accounting Oversight Board (United States). The prospectus supplement will also contain information, where applicable, Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material federal income tax considerations relating to, and any listing on a securities exchange of, the Securities covered by such prospectus supplementmisstatement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasersAn audit includes examining, on a continuous or delayed test basis, evidence supporting the amounts and disclosures in the financial statements. The prospectus supplement will describe An audit also includes assessing the terms accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion. In our opinion, the combined financial statements referred to above present fairly, in all material respects, the financial position of Embarq Corporation as of December 31, 2005 and 2004, and the plan results of distribution its operations and its cash flows for the years ended December 31, 2005, 2004 and 2003 in conformity with accounting principles generally accepted in the United States of America. Also, in our opinion, the related financial statement schedule, when considered in relation to the basic combined financial statements taken as a whole, presents fairly, in all material respects, the information set forth the names therein. /s/ KPMG LLP Kansas City, Missouri March 10, 2006 COMBINED STATEMENTS OF OPERATIONS (in millions, except per share amounts) Year ended December 31, 2005 Year ended December 31, 2004 Year ended December 31, 2003 Net Operating Revenues $ 6,254 $ 6,139 $ 6,159 Operating Expenses Costs of any agentsservices and products 2,306 2,135 2,137 Selling, dealers or underwriters involved general and administrative 1,338 1,402 1,389 Depreciation and amortization 979 972 992 Restructuring and asset impairments 79 40 25 Total operating expenses 4,702 4,549 4,543 Operating Income 1,552 1,590 1,616 Interest expense (83) (102) (116) Premium on early retirement of debt — — (5) Other income (expense), net 3 (2) (6) Income from continuing operations before income taxes 1,472 1,486 1,489 Income tax expense (578) (569) (569) Income from Continuing Operations 894 917 920 Discontinued operations, net — — 376 Cumulative effect of change in the sale accounting principle, net (16) — 258 Net Income $ 878 $ 917 $ 1,554 Pro forma income per common share (unaudited) (Note 1) Basic $ 5.89 Diluted $ 5.85 See accompanying Notes to Combined Financial Statements. Pro forma (unaudited) December 31, December 31, December 31, 2005 2005 2004 (Note 1) (millions) COMBINED BALANCE SHEETS Assets Current assets Cash and equivalents $ 103 $ 103 $ 113 Accounts receivable, net of the securitiesallowance for doubtful accounts of $57 and $61 660 660 636 Inventories 174 174 166 Deferred tax assets 22 22 26 Other deferred charges 55 55 60 Other assets 58 58 53 Total current assets 1,072 1,072 1,054 Gross property, plant and equipment 19,784 19,784 19,470 Accumulated depreciation (11,980) (11,980) (11,493) Net property, plant and equipment 7,804 7,804 7,977 Goodwill 27 27 27 Prepaid pension asset 219 219 157 Other assets 99 99 114 Total $ 9,221 $ 9,221 $ 9,329 See accompanying Notes to Combined Financial Statements. COMBINED BALANCE SHEETS (continued) Pro forma (unaudited)December 31, December 31, December 31, 2005 2005 2004 (Note 1) (in millions, except per share amounts) Liabilities and Business Equity Current liabilities Current maturities of long-term debt $ 2 $ 2 $ 115 Accounts payable 528 528 411 Accrued taxes 104 104 110 Advance xxxxxxxx 160 160 153 Accrued restructuring costs — — 15 Payroll and employee benefits 118 118 118 Deferred revenue 55 55 60 Accrued interest 35 35 38 Other 82 82 64 Total current liabilities 1,084 1,084 1,084 Noncurrent liabilities Long-term debt 7,708 1,123 1,125 Deferred income taxes 1,290 1,290 1,269 Net postretirement and other benefit obligations 793 793 834 Other 79 79 57 Total noncurrent liabilities 9,870 3,285 3,285 Total business equity — 4,852 4,960 Pro Forma Stockholders’ Equity Common stock, $.01 par value, 1,250 shares authorized, 149 shares issued and outstanding 1 — — Additional paid in capital (1,209) — — Retained earnings — — — Accumulated other comprehensive loss (525) — — Total stockholders’ equity (1,733) — — Total $ 9,221 $ 9,221 $ 9,329 See “Plan accompanying Notes to Combined Financial Statements. Year ended December 31,2005 Year ended December 31, 2004 Year ended December 31, 2003 (millions) COMBINED STATEMENTS OF CASH FLOWS Operating Activities Net income $ 878 $ 917 $ 1,554 Adjustments to reconcile net income to net cash provided by operating activities: Discontinued operations, net — — (376) Cumulative effect of Distribution” beginning change in accounting principle, net 16 — (258) Depreciation and amortization 979 972 992 Deferred income taxes 33 172 254 Net changes related to discontinued operations — — (271) Changes in operating assets and liabilities: Accounts receivable, net (24) (11) 40 Inventories and other current assets (14) 90 (80) Accounts payable and other current liabilities 93 (7) 50 Noncurrent assets and liabilities, net (80) (62) (120) Other, net 23 (7) 19 Net cash provided by operating activities 1,904 2,064 1,804 Investing Activities Capital expenditures (828) (975) (1,118) Proceeds from divestiture of directory business — — 647 Other, net 12 13 19 Net cash used by investing activities (816) (962) (452) Financing Activities Payments on page 58 debt (115) (152) (247) Changes in short-term borrowings — — (393) Dividends paid to Sprint Nextel (983) (865) (683) Other, net — — (4) Net cash used by financing activities (1,098) (1,017) (1,327) (Decrease) increase in Cash and Equivalents (10) 85 25 Cash and Equivalents at Beginning of Period 113 28 3 Cash and Equivalents at End of Period $ 103 $ 113 $ 28 Supplemental Cash Flow Information Xxxx paid for more information interest, net of amount capitalized $ 86 $ 109 $ 121 Cash paid to Sprint Nextel for income taxes $ 549 $ 408 $ 564 See accompanying Notes to Combined Financial Statements. COMBINED STATEMENTS OF BUSINESS EQUITY AND COMPREHENSIVE INCOME (LOSS) Accumulated Other Comprehensive Income (Loss) Business Equity Unrealized Gain (Loss) on this topic. No Securities may be sold without delivery Investments, Net of a prospectus supplement describing the method and terms Tax Additional Minimum Pension Liability, Net of the offering Tax Total Business Equity Reclassification adjustment for gains included in net income, net of the Securities. Our common shares are listed on the NYSE American under the symbol “SACH.” On tax — (1) — (1) (millions) January 241, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the 2003 balance $ 4,559 $ 6 $ (561 ) $ 4,004 Changes other Securities are currently listed on any exchange or quoted on any other trading venue or system.than transactions with equity owners: Net income 1,554 — — 1,554

Appears in 1 contract

Samples: wms.firstbank.com.tw

EXPERTS. Our The consolidated financial statements of iBio, Inc. and Subsidiaries as ofof June 30, 2019 and 2018, and for each of the years then ended, December 31incorporated by reference in this prospectus and the registration statement of which this prospectus is a part, 2020 and 2019 have been so included in reliance on the report audit report, which includes an explanatory paragraph relating to the Company’s ability to continue as a going concern, of Hoberman & Lesser, CohnReznick LLP, an independent registered public accounting firm, included incorporated by reference in this Prospectus Supplement prospectus and the registration statement of which this prospectus is a part, given on the authority of such that firm as experts in auditing accounting and accountingauditing. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE INFORMATION We have file quarterly and current reports, proxy statements and other information with the Securities and Exchange Commission, or the SEC. You can inspect and copy these reports, proxy statements and other information without charge at the public reference facilities of the SEC at the SEC’s Public Reference Room located at the SEC’s principal office at Room 0000, 000 X Xxxxxx, X.X., Xxxxxxxxxx, X.X. 00000. You may obtain information on the operation of this public reference room by calling 0-000-XXX-0000. The SEC maintains an Internet site that contains reports, proxy and information statements, and other information regarding issuers that file electronically with the SEC and state the address of that site (xxxx://xxx.xxx.xxx). The Registration Statement, including all exhibits and schedules and amendments, has been filed with the SEC a registration statement on Form S-3 under through the Securities Act with respect Electronic Data Gathering Analysis and Retrieval system and is available to the shares offered hereby. This Prospectus Supplement, which constitutes a part of public from the registration statement, does not contain all the information set forth in the registration statement or the exhibits and schedules filed therewith. For further information about us and our shares offered hereby, we refer you to the registration statement and the exhibits and schedules filed thereto. Statements contained in this Prospectus Supplement regarding the contents of any contract or any other document that is filed as an exhibit to the registration statement are not necessarily complete, and each such statement is qualified in all respects by reference to the full text of such contract or other document filed as an exhibit to the registration statementSEC’s web site at xxxx://xxx.xxx.xxx. We are a reporting company and file also make our annual, quarterly and current reports, proxy statements and other material with information free of charge on our investor website,xxxxx://xx.xxxxxxx.xxx/sec-filings, as soon as reasonably practicable after we electronically file these materials with, or furnish them to, the SEC. You may read and copy We use our reports, proxy statements and other website as a channel of distribution for material company information. Important information, including the registration statement of which this Prospectus Supplement is a part at the Public Reference Room of the SECfinancial information, 000 X Xxxxxxanalyst presentations, X. X.financial news releases, Xxxx 0000, Xxxxxxxxxx X.X. 00000. You may obtain information on the operation of the public reference rooms by calling the SEC at 0-000-XXX-0000. The SEC also maintains an Internet website that contains reports, proxy statements and other material information about issuers, like us, that file electronically with the SEC. The address of that site us is xxx.xxx.xxx. The SEC allows us to “incorporate by reference” information into this Prospectus Supplement, which means that we can disclose important information to you by referring you to another document filed separately with the SEC. The information incorporated by reference is deemed to be part of this Prospectus Supplement, except for any information superseded by information in this Prospectus Supplement or any document that we file in the future with the SEC. This Prospectus Supplement incorporates by reference the documents set forth below that we have previously filed with the SEC routinely posted on and all documents that we file with the SEC under Sections 13(a), 13(c), 14 or 15(d) of the Exchange Act (other than any portion of the respective filings that are furnished pursuant to Item 2.02 or Item 7.01 of a Current Report on Form 8-K (including exhibits related thereto) or other applicable SEC rules, rather than filed) after the date of this Prospectus Supplement from their respective filing dates. These documents contain important information about us, our business and our finances. Document Filed Annual Report on Form 10-K for the year ended December 31, 2020 March 31, 2021 Current Reports on Form 8-K April 5, 2021 Description of Common Shares contained in our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally or in writing, we will provide you with a copy of any or all documents which are incorporated by reference. Such documents will be provided to you free of charge, but will not contain any exhibits, unless those exhibits are specifically incorporated by reference into those documents. Requests should be addressed to Sachem Capital Corp., 000 Xxxx Xxxxxx, Xxxxxxxx, Xxxxxxxxxxx 00000, Attention: Chief Financial Officer, telephone number (000) 000-0000. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees of Debt Securities, Warrants and Units We may, from time to time, offer, in one or more series or classes, separately or together, and in amounts, accessible at prices and on terms to be set forth in one or more supplements to this prospectus, the following securities: • common shares, par value $0.001 per share; • preferred shares, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more of the classes of securities listed above. We refer to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” in this base prospectus. This base prospectus describes some of the general terms that may apply to the Securities and the general manner in which they may be offered. The specific terms of any Securities to be offered, and the specific manner in which they may be offered will be set forth in the applicable prospectus supplement. The prospectus supplement will also contain information, where applicable, about the material federal income tax considerations relating to, and any listing on a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe the terms of the plan of distribution and set forth the names of any agents, dealers or underwriters involved in the sale of the securities. See “Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACH.” On January 24, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.xxxxx://xx.xxxxxxx.xxx/.

Appears in 1 contract

Samples: Prospectus Supplement

EXPERTS. Our financial statements The consolidated balance sheets of Matinas BioPharma Holdings, Inc. and Subsidiaries (the “Company”) as ofof December 31, 2019 and 2018, and the related consolidated statements of operations and comprehensive loss, stockholders’ equity, and cash flows for each of the years ended, in the two-year period ended December 31, 2020 2019, and 2019 the effectiveness of the Company’s internal control over financial reporting have been so included in reliance on the report of Hoberman & Lesser, audited by EisnerAmper LLP, an independent registered public accounting firm, included in this Prospectus Supplement given on . Such financial statements and the authority of such firm as experts in auditing and accounting. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE We have filed with the SEC a registration statement on Form S-3 under the Securities Act with respect to the shares offered hereby. This Prospectus Supplement, which constitutes a part effectiveness of the registration statementCompany’s internal control over financial reporting, does not contain all the information set forth in the registration statement or the exhibits and schedules filed therewith. For further information about us and our shares offered hereby, we refer you to the registration statement and the exhibits and schedules filed thereto. Statements contained in this Prospectus Supplement regarding the contents of any contract or any other document that is filed as an exhibit to the registration statement are not necessarily complete, and each such statement is qualified in all respects have been incorporated herein by reference to the full text of such contract or other document filed as an exhibit to the registration statement. We are a reporting company and file annual, quarterly and current reports, proxy statements and other material with the SEC. You may read and copy our reports, proxy statements and other information, including the registration statement of which this Prospectus Supplement is a part at the Public Reference Room of the SEC, 000 X Xxxxxx, X. X., Xxxx 0000, Xxxxxxxxxx X.X. 00000. You may obtain information on the operation of the public reference rooms by calling the SEC at 0-000-XXX-0000. The SEC also maintains an Internet website that contains reports, proxy statements and other information about issuers, like us, that file electronically with the SEC. The address of that site is xxx.xxx.xxx. The SEC allows us to “incorporate by reference” information into this Prospectus Supplement, which means that we can disclose important information to you by referring you to another document filed separately with the SEC. The information incorporated by reference is deemed to be part of this Prospectus Supplement, except for any information superseded by information in this Prospectus Supplement or any document that we file in the future with the SEC. This Prospectus Supplement incorporates by reference the documents set forth below that we have previously filed with the SEC and all documents that we file with the SEC under Sections 13(a), 13(c), 14 or 15(d) of the Exchange Act (other than any portion of the respective filings that are furnished pursuant to Item 2.02 or Item 7.01 of a Current Report on Form 8-K (including exhibits related thereto) or other applicable SEC rules, rather than filed) after the date of this Prospectus Supplement from their respective filing dates. These documents contain important information about us, our business and our finances. Document Filed Company’s Annual Report on Form 10-K for the year ended December 31, 2020 March 312019, 2021 Current Reports and have been so incorporated in reliance on the reports (which contain an adverse opinion on the effectiveness of the Company’s internal control over financial reporting because of material weaknesses) of such firm given upon their authority as experts in accounting and auditing. WHERE YOU CAN FIND MORE INFORMATION This prospectus supplement is part of the registration statement on Form 8-K April 5S-3 we filed with the Securities and Exchange Commission, 2021 Description of Common Shares contained in our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25or SEC, 2017 September 2under the Securities Act, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally or in writing, we will provide you with a copy of any or all documents which are incorporated by reference. Such documents will be provided to you free of charge, but will and does not contain all the information set forth in the registration statement. Whenever a reference is made in this prospectus supplement to any exhibitsof our contracts, unless those agreements or other documents, the reference may not be complete, and you should refer to the exhibits that are specifically a part of the registration statement or the exhibits to the reports or other documents incorporated by reference into those documentsthis prospectus for a copy of such contract, agreement or other document. Requests should be addressed to Sachem Capital Corp.You may inspect a copy of the registration statement, including the exhibits and schedules, without charge, at the SEC’s public reference room mentioned below, or obtain a copy from the SEC upon payment of the fees prescribed by the SEC. We file annual, quarterly and current reports, proxy statements and other information with the SEC. You may read, without charge, and copy the documents we file at the SEC’s public reference rooms in Washington, D.C. at 000 Xxxx X Xxxxxx, XxxxxxxxXX, Xxxxxxxxxxx Xxxx 0000, Xxxxxxxxxx, XX 00000, Attention: Chief Financial Officer, telephone number (000) . You can request copies of these documents by writing to the SEC and paying a fee for the copying cost. Please call the SEC at 0-000-0000XXX-0000 for further information on the public reference rooms. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees of Debt Securities, Warrants and Units We may, from time to time, offer, in one or more series or classes, separately or together, and in amounts, at prices and on terms to be set forth in one or more supplements to this prospectus, the following securities: • common shares, par value $0.001 per share; • preferred shares, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more of the classes of securities listed above. We refer Our SEC filings are also available to the common shares, preferred shares, warrants, debt securities and units collectively as public at no cost from the “Securities” in this base prospectus. This base prospectus describes some of the general terms that may apply to the Securities and the general manner in which they may be offered. The specific terms of any Securities to be offered, and the specific manner in which they may be offered will be set forth in the applicable prospectus supplement. The prospectus supplement will also contain information, where applicable, about the material federal income tax considerations relating to, and any listing on a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe the terms of the plan of distribution and set forth the names of any agents, dealers or underwriters involved in the sale of the securities. See “Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACHSEC’s website at xxxx://xxx.xxx.xxx.” On January 24, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.

Appears in 1 contract

Samples: www.matinasbiopharma.com

EXPERTS. Our The financial statements as of, and for each management’s assessment of the years ended, effectiveness of internal control over financial reporting (which is included in Management’s Report on Internal Control over Financial Reporting) incorporated in this Prospectus by reference to the Annual Report on Form 20-F for the year ended December 31, 2020 and 2019 2020, have been so included incorporated in reliance on the report of Hoberman Xxxxxxxxx & LesserXxxxxxxxx, LLPCertified Public Accountants (Isr.), a member firm of PricewaterhouseCoopers International Limited, an independent registered public accounting firm, included in this Prospectus Supplement given on the authority of such said firm as experts in auditing and accounting. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE INFORMATION We have filed with the SEC a registration statement on Form S-3 F-3 under the Securities Act Act, with respect to the shares securities offered herebyby this prospectus. This Prospectus SupplementHowever, as is permitted by the rules and regulations of the SEC, this prospectus, which constitutes a is part of the our registration statementstatement on Form F-3, does not contain all the information omits certain non-material information, exhibits, schedules and undertakings set forth in the registration statement or the exhibits and schedules filed therewithstatement. For further information about us and our shares offered herebyus, we refer you to the registration statement and the exhibits and schedules filed thereto. Statements contained in securities offered by this Prospectus Supplement regarding the contents of any contract or any other document that is filed as an exhibit to the registration statement are not necessarily completeprospectus, and each such statement is qualified in all respects by reference to the full text of such contract or other document filed as an exhibit please refer to the registration statement. We are subject to the reporting requirements of the Exchange Act that are applicable to a reporting company and foreign private issuer. In accordance with the Exchange Act, we file annual, quarterly and current reports, proxy statements and other material with the SECincluding annual reports on Form 20-F by April 30 of each year. You may read and copy our reports, proxy statements and other information, including the registration statement of which this Prospectus Supplement is a part at the Public Reference Room of the SEC, 000 X Xxxxxx, X. X., Xxxx 0000, Xxxxxxxxxx X.X. 00000. You may obtain information on the operation of the public reference rooms by calling We also furnish to the SEC at 0under cover of Form 6-000-XXX-0000K material information required to be made public in Israel, filed with and made public by any stock exchange or distributed by us to our shareholders. The SEC also maintains an Internet website site that contains reports, proxy statements and information statements, and other information about regarding issuers, like such as us, that file electronically with the SECSEC (xxxx://xxx.xxx.xxx). The address These SEC filings are also available to the public from commercial document retrieval services. As a foreign private issuer, we are exempt from the rules under the Exchange Act prescribing the furnishing and content of that site is xxx.xxx.xxx. The SEC allows us proxy statements to shareholders and our officers, directors and principal shareholders are exempt from the incorporate by referenceshort-swing profitsinformation into this Prospectus Supplement, which means that we can disclose important information to you by referring you to another document filed separately with the SEC. The information incorporated by reference is deemed to be part of this Prospectus Supplement, except for any information superseded by information reporting and liability provisions contained in this Prospectus Supplement or any document that we file in the future with the SEC. This Prospectus Supplement incorporates by reference the documents set forth below that we have previously filed with the SEC and all documents that we file with the SEC under Sections 13(a), 13(c), 14 or 15(d) Section 16 of the Exchange Act (other than any portion of the respective filings that are furnished pursuant to Item 2.02 or Item 7.01 of a Current Report on Form 8-K (including exhibits and related thereto) or other applicable SEC Exchange Act rules, rather than filed) after the date of this Prospectus Supplement from their respective filing dates. These documents contain important information about us, our business and our finances. Document Filed Annual Report on Form 10-K for the year ended December 31, 2020 March 31, 2021 Current Reports on Form 8-K April 5, 2021 Description of Common Shares contained in our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally or in writing, we will provide you with a copy of any or all documents which are incorporated by reference. Such documents will be provided to you free of charge, but will not contain any exhibits, unless those exhibits are specifically incorporated by reference into those documents. Requests should be addressed to Sachem Capital Corp., 000 Xxxx Xxxxxx, Xxxxxxxx, Xxxxxxxxxxx 00000, Attention: Chief Financial Officer, telephone number (000) 000-0000. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees of Debt Securities, Warrants and Units We may, from time to time, offer, in one or more series or classes, separately or together, and in amounts, at prices and on terms to be set forth in one or more supplements to this prospectus, the following securities: • common shares, par value $0.001 per share; • preferred shares, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more of the classes of securities listed above. We refer to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” in this base prospectus. This base prospectus describes some of the general terms that may apply to the Securities and the general manner in which they may be offered. The specific terms of any Securities to be offered, and the specific manner in which they may be offered will be set forth in the applicable prospectus supplement. The prospectus supplement will also contain information, where applicable, about the material federal income tax considerations relating to, and any listing on a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe the terms of the plan of distribution and set forth the names of any agents, dealers or underwriters involved in the sale of the securities. See “Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACH.” On January 24, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.

Appears in 1 contract

Samples: d18rn0p25nwr6d.cloudfront.net

EXPERTS. Our The consolidated financial statements of Monopar Therapeutics Inc. as ofof December 31, 2021 and 2020, and for each of the two years ended, in the period ended December 31, 2020 and 2019 have been so included in reliance on the report of Hoberman & Lesser2021, LLP, an independent registered public accounting firm, included incorporated in this Prospectus Supplement given on the authority of such firm as experts in auditing and accounting. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE We have filed with the SEC a registration statement on Form S-3 under the Securities Act with respect to the shares offered hereby. This Prospectus Supplement, which constitutes a part of the registration statement, does not contain all the information set forth in the registration statement or the exhibits and schedules filed therewith. For further information about us and our shares offered hereby, we refer you to the registration statement and the exhibits and schedules filed thereto. Statements contained in this Prospectus Supplement regarding the contents of any contract or any other document that is filed as an exhibit to the registration statement are not necessarily complete, and each such statement is qualified in all respects by reference to the full text of such contract or other document filed as an exhibit to the registration statement. We are a reporting company and file annual, quarterly and current reports, proxy statements and other material with the SEC. You may read and copy our reports, proxy statements and other information, including the registration statement of which this Prospectus Supplement is a part at the Public Reference Room of the SEC, 000 X Xxxxxx, X. X., Xxxx 0000, Xxxxxxxxxx X.X. 00000. You may obtain information on the operation of the public reference rooms by calling the SEC at 0-000-XXX-0000. The SEC also maintains an Internet website that contains reports, proxy statements and other information about issuers, like us, that file electronically with the SEC. The address of that site is xxx.xxx.xxx. The SEC allows us to “incorporate by reference” information into this Prospectus Supplement, which means that we can disclose important information to you by referring you to another document filed separately with the SEC. The information incorporated by reference is deemed to be part of this Prospectus Supplement, except for any information superseded by information in this Prospectus Supplement or any document that we file in the future with the SEC. This Prospectus Supplement incorporates by reference the documents set forth below that we have previously filed with the SEC and all documents that we file with the SEC under Sections 13(a), 13(c), 14 or 15(d) of the Exchange Act (other than any portion of the respective filings that are furnished pursuant to Item 2.02 or Item 7.01 of a Current Report on Form 8-K (including exhibits related thereto) or other applicable SEC rules, rather than filed) after the date of this Prospectus Supplement from their respective filing dates. These documents contain important information about us, our business and our finances. Document Filed its Annual Report on Form 10-K for the year ended December 31, 2020 March 312021, 2021 Current Reports have been so incorporated in reliance on the report of BPM LLP, an independent registered public accounting firm, given on the authority of said firm as experts in auditing and accounting. WHERE YOU CAN FIND MORE INFORMATION We have filed with the SEC a shelf registration statement on Form S-3 under the Securities Act with respect to the Common Stock we are offering by this ATM Prospectus. This ATM Prospectus does not contain all of the information included in the registration statement. For further information pertaining to us and our Common Stock, you should refer to the registration statement and to its exhibits. Whenever we make reference in this ATM Prospectus to any of our contracts, agreements or other documents, the references are not necessarily complete, and you should refer to the exhibits attached to the registration statement for copies of the actual contract, agreement or other document. We file annual, quarterly and current reports, information statements and proxy statements and other information with the SEC. You can read our SEC filings, including the registration statement, at the SEC’s website at xxx.xxx.xxx. You may also read and copy any document we file with the SEC at its public reference facility at 000 X Xxxxxx, X.X., Xxxx 0000, Xxxxxxxxxx, X.X. 00000. We also maintain a website at xxxx://xxx.xxxxxxxxx.xxx. You may access, free of charge, our annual reports on Form 10-K, quarterly reports on Form 10- Q, current reports on Form 8-K April 5and amendments to those reports filed or furnished pursuant to Section 13(a) or 15(d) of the Exchange Act as soon as reasonably practicable after such material is electronically filed with, 2021 Description of Common Shares or furnished to, the SEC. The information contained in on, or that can be accessed through, our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25website is not a part of, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally or in writing, we will provide you with a copy of any or all documents which are incorporated by reference. Such documents will and should not be provided to you free of charge, but will not contain any exhibits, unless those exhibits are specifically construed as being incorporated by reference into those documents. Requests should be addressed into, this ATM Prospectus You may also obtain copies of the documents at prescribed rates by writing to Sachem Capital Corp., the Public Reference Section of the SEC at 000 Xxxx X Xxxxxx, XxxxxxxxX.X., Xxxxxxxxxxx Xxxxxxxxxx, X.X. 00000, Attention: Chief Financial Officer, telephone number (000) . Please call the SEC at 0-000-0000. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees of Debt Securities, Warrants and Units We may, from time to time, offer, in one or more series or classes, separately or together, and in amounts, at prices and XXX-0000 for further information on terms to be set forth in one or more supplements to this prospectus, the following securities: • common shares, par value $0.001 per share; • preferred shares, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more operation of the classes of securities listed above. We refer to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” in this base prospectus. This base prospectus describes some of the general terms that may apply to the Securities and the general manner in which they may be offered. The specific terms of any Securities to be offered, and the specific manner in which they may be offered will be set forth in the applicable prospectus supplement. The prospectus supplement will also contain information, where applicable, about the material federal income tax considerations relating to, and any listing on a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe the terms of the plan of distribution and set forth the names of any agents, dealers or underwriters involved in the sale of the securities. See “Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACHpublic reference facilities.” On January 24, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.

Appears in 1 contract

Samples: Plan of Distribution

EXPERTS. Our The financial statements as of, and incorporated in this prospectus supplement by reference from the Company’s Annual Report on Form 10-K for each of the years ended, year ended December 31, 2020 and 2019 have been so included in reliance on the report of Hoberman audited by Deloitte & Lesser, Touche LLP, an independent registered public accounting firm, included as stated in this Prospectus Supplement given on their report, which is incorporated herein by reference. Such financial statements have been so incorporated in reliance upon the authority report of such firm given upon their authority as experts in auditing accounting and accountingauditing. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE We have filed with the SEC INFORMATION This prospectus supplement is part of a registration statement on Form S-3 under that we have filed with the Securities Act with respect to the shares offered herebySEC. This Prospectus Supplementprospectus supplement, which constitutes a filed as part of the registration statement, does not contain all the information set forth in the registration statement or the and its exhibits and schedules filed therewithschedules, portions of which have been omitted as permitted by the rules and regulations of the SEC. For further information about us and our shares offered herebyus, we refer you to the registration statement and the to its exhibits and schedules filed theretoschedules. Statements contained Certain information in this Prospectus Supplement regarding the contents of any contract or any other document that is filed as an exhibit to the registration statement are not necessarily complete, and each such statement is qualified has been omitted from this prospectus supplement in all respects by reference to accordance with the full text rules of such contract or other document filed as an exhibit to the registration statementSEC. We are a subject to the reporting company and information requirements of the Exchange Act and, in accordance therewith, file annual, quarterly and current reports, proxy statements and other material with the SEC. You may read and copy our reports, proxy statements and other information, including the registration statement of which this Prospectus Supplement is a part at the Public Reference Room of the SEC, 000 X Xxxxxx, X. X., Xxxx 0000, Xxxxxxxxxx X.X. 00000. You may obtain information on the operation of the public reference rooms by calling the SEC at 0-000-XXX-0000. The SEC also maintains an Internet website that contains special reports, proxy statements and other information about issuers, like us, that file electronically with the SEC. The address of that site is xxx.xxx.xxx. The SEC allows us to “incorporate by reference” information into this Prospectus Supplement, which means that we can disclose important information to you by referring you to another document filed separately with These documents also may be accessed through the SEC’s electronic data gathering, analysis and retrieval system, or XXXXX, via electronic means, including the SEC’s home page on the Internet (xxx.xxx.xxx). The information incorporated by reference Written requests for such copies should be directed to Investor Relations Department, Aptinyx Inc., 000 Xxxxx Xxxxxx, Suite 600, Evanston, IL 60201, and our website is deemed located at xxx.xxxxxxx.xxx. We have the authority to be part designate and issue more than one class or series of this Prospectus Supplementstock having various preferences, except for any information superseded by information in this Prospectus Supplement or any document that we file conversion and other rights, voting powers, restrictions, limitations as to dividends, qualifications, and terms and conditions of redemption. See “Description of Capital Stock” in the future with the SECaccompanying base prospectus. This Prospectus Supplement incorporates by reference the documents set forth below that we have previously filed with the SEC and all documents that we file with the SEC under Sections 13(a), 13(c), 14 or 15(d) We will furnish a full statement of the Exchange Act (other than relative rights and preferences of each class or series of our stock which has been so designated and any portion restrictions on the ownership or transfer of the respective filings that are furnished pursuant our stock to Item 2.02 or Item 7.01 of a Current Report any shareholder upon request and without charge. Information contained on Form 8-K (including exhibits related thereto) or other applicable SEC rules, rather than filed) after the date of this Prospectus Supplement from their respective filing dates. These documents contain important information about us, our business and our finances. Document Filed Annual Report on Form 10-K for the year ended December 31, 2020 March 31, 2021 Current Reports on Form 8-K April 5, 2021 Description of Common Shares contained in our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally or in writing, we will provide you with a copy of any or all documents which are incorporated by reference. Such documents will be provided to you free of charge, but will website is not contain any exhibits, unless those exhibits are specifically incorporated by reference into those documents. Requests should be addressed to Sachem Capital Corp.this prospectus and, 000 Xxxx Xxxxxxtherefore, Xxxxxxxx, Xxxxxxxxxxx 00000, Attention: Chief Financial Officer, telephone number (000) 000-0000. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees is not part of Debt Securities, Warrants and Units We may, from time to time, offer, in one this prospectus or more series or classes, separately or together, and in amounts, at prices and on terms to be set forth in one or more supplements to this prospectus, the following securities: • common shares, par value $0.001 per share; • preferred shares, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more of the classes of securities listed above. We refer to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” in this base prospectus. This base prospectus describes some of the general terms that may apply to the Securities and the general manner in which they may be offered. The specific terms of any Securities to be offered, and the specific manner in which they may be offered will be set forth in the applicable accompanying prospectus supplement. The prospectus supplement will also contain information, where applicable, about the material federal income tax considerations relating to, and any listing on a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe the terms of the plan of distribution and set forth the names of any agents, dealers or underwriters involved in the sale of the securities. See “Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACH.” On January 24, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.

Appears in 1 contract

Samples: d18rn0p25nwr6d.cloudfront.net

EXPERTS. Our financial statements The consolidated balance sheets of Matinas BioPharma Holdings, Inc. and Subsidiaries (the “Company”) as ofof December 31, 2019 and 2018, and the related consolidated statements of operations and comprehensive loss, stockholders’ equity, and cash flows for each of the years ended, in the two-year period ended December 31, 2020 2019, and 2019 the effectiveness of the Company’s internal control over financial reporting have been so included in reliance on the report of Hoberman & Lesser, audited by EisnerAmper LLP, an independent registered public accounting firm, included in this Prospectus Supplement given on . Such financial statements and the authority of such firm as experts in auditing and accounting. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE We have filed with the SEC a registration statement on Form S-3 under the Securities Act with respect to the shares offered hereby. This Prospectus Supplement, which constitutes a part effectiveness of the registration statementCompany’s internal control over financial reporting, does not contain all the information set forth in the registration statement or the exhibits and schedules filed therewith. For further information about us and our shares offered hereby, we refer you to the registration statement and the exhibits and schedules filed thereto. Statements contained in this Prospectus Supplement regarding the contents of any contract or any other document that is filed as an exhibit to the registration statement are not necessarily complete, and each such statement is qualified in all respects have been incorporated herein by reference to the full text of such contract or other document filed as an exhibit to the registration statement. We are a reporting company and file annual, quarterly and current reports, proxy statements and other material with the SEC. You may read and copy our reports, proxy statements and other information, including the registration statement of which this Prospectus Supplement is a part at the Public Reference Room of the SEC, 000 X Xxxxxx, X. X., Xxxx 0000, Xxxxxxxxxx X.X. 00000. You may obtain information on the operation of the public reference rooms by calling the SEC at 0-000-XXX-0000. The SEC also maintains an Internet website that contains reports, proxy statements and other information about issuers, like us, that file electronically with the SEC. The address of that site is xxx.xxx.xxx. The SEC allows us to “incorporate by reference” information into this Prospectus Supplement, which means that we can disclose important information to you by referring you to another document filed separately with the SEC. The information incorporated by reference is deemed to be part of this Prospectus Supplement, except for any information superseded by information in this Prospectus Supplement or any document that we file in the future with the SEC. This Prospectus Supplement incorporates by reference the documents set forth below that we have previously filed with the SEC and all documents that we file with the SEC under Sections 13(a), 13(c), 14 or 15(d) of the Exchange Act (other than any portion of the respective filings that are furnished pursuant to Item 2.02 or Item 7.01 of a Current Report on Form 8-K (including exhibits related thereto) or other applicable SEC rules, rather than filed) after the date of this Prospectus Supplement from their respective filing dates. These documents contain important information about us, our business and our finances. Document Filed Company’s Annual Report on Form 10-K for the year ended December 31, 2020 March 312019, 2021 Current Reports and have been so incorporated in reliance on the reports (which contain an adverse opinion on the effectiveness of the Company’s internal control over financial reporting because of material weaknesses) of such firm given upon their authority as experts in accounting and auditing. WHERE YOU CAN FIND MORE INFORMATION This prospectus constitutes a part of a registration statement on Form 8-K April 5S-3 filed under the Securities Act. As permitted by the SEC’s rules, 2021 Description this prospectus and any prospectus supplement, which form a part of Common Shares contained the registration statement, do not contain all the information that is included in our Registration Statement on Form 8-A Description the registration statement. You will find additional information about us in the registration statement. Any statements made in this prospectus or any prospectus supplement concerning legal documents are not necessarily complete and you should read the documents that are filed as exhibits to the registration statement or otherwise filed with the SEC for a more complete understanding of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25the document or matter. We file annual, 2017 September 2quarterly and current reports, 2020 June 24proxy statements and other information with the SEC. You may read, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally or in writing, we will provide you with a copy of any or all documents which are incorporated by reference. Such documents will be provided to you free of without charge, but will not contain any exhibitsand copy the documents we file at the SEC’s public reference rooms in Washington, unless those exhibits are specifically incorporated by reference into those documents. Requests should be addressed to Sachem Capital Corp., D.C. at 000 Xxxx X Xxxxxx, XxxxxxxxXX, Xxxxxxxxxxx Xxxx 0000, Xxxxxxxxxx, XX 00000, Attention: Chief Financial Officer, telephone number (000) . You can request copies of these documents by writing to the SEC and paying a fee for the copying cost. Please call the SEC at 0-000-0000XXX-0000 for further information on the public reference rooms. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees of Debt Securities, Warrants and Units We may, from time to time, offer, in one or more series or classes, separately or together, and in amounts, at prices and on terms to be set forth in one or more supplements to this prospectus, the following securities: • common shares, par value $0.001 per share; • preferred shares, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more of the classes of securities listed above. We refer Our SEC filings are also available to the common shares, preferred shares, warrants, debt securities and units collectively as public at no cost from the “Securities” in this base prospectus. This base prospectus describes some of the general terms that may apply to the Securities and the general manner in which they may be offered. The specific terms of any Securities to be offered, and the specific manner in which they may be offered will be set forth in the applicable prospectus supplement. The prospectus supplement will also contain information, where applicable, about the material federal income tax considerations relating to, and any listing on a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe the terms of the plan of distribution and set forth the names of any agents, dealers or underwriters involved in the sale of the securities. See “Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACHSEC’s website at xxxx://xxx.xxx.xxx.” On January 24, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.

Appears in 1 contract

Samples: www.matinasbiopharma.com

EXPERTS. Our The consolidated financial statements as ofof Sonoma Pharmaceuticals, and Inc. appearing in Sonoma Pharmaceuticals, Inc.’s annual report on Form 10-K for each of the years ended, December year ended March 31, 2020 and 2019 2020, filed on July 10, 2020, have been so included in reliance on the report of Hoberman & Lesser, audited by Marcum LLP, an independent registered public accounting firm, as set forth in their report included therein, and incorporated herein by reference. Such consolidated financial statements are incorporated herein by reference in this Prospectus Supplement reliance upon such report given on the authority of such firm as experts in auditing accounting and accountingauditing. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE INFORMATION We have filed with the SEC a registration statement on Form S-3 under the Securities Act with respect to the shares offered hereby. This Prospectus Supplement, which constitutes a part of the registration statement, does not contain all the information set forth in the registration statement or the exhibits and schedules filed therewith. For further information about us and our shares offered hereby, we refer you to the registration statement and the exhibits and schedules filed thereto. Statements contained in this Prospectus Supplement regarding the contents of any contract or any other document that is filed as an exhibit to the registration statement are not necessarily complete, and each such statement is qualified in all respects by reference to the full text of such contract or other document filed as an exhibit to the registration statement. We are a reporting company and file annual, quarterly and current reports, proxy statements and other material information with the SEC. You may read and copy our reports, proxy statements and other information, including the registration statement of which this Prospectus Supplement is a part at the Public Reference Room of and any document we file with the SEC, 000 X Xxxxxx, X. X., Xxxx 0000, Xxxxxxxxxx X.X. 00000. You may obtain information on the operation of the public reference rooms by calling the SEC at 0-000-XXX-0000. The SEC also maintains an Internet website a web site that contains reports, proxy and information statements and other information about issuersregarding companies, like ussuch as ours, that file documents electronically with the SEC. The address of that site the SEC’s website is xxx.xxx.xxx. The SEC allows us to “incorporate by reference” information into this Prospectus Supplement, which means that we can disclose important information to you by referring you to another document filed separately with on the SEC. The information incorporated by reference ’s website is deemed to be not part of this Prospectus Supplementprospectus, except for and any information superseded by information in references to this Prospectus Supplement website or any document other website are inactive textual references only. 17 This prospectus is part of a registration statement on Form S-3 that we file in the future with the SEC. This Prospectus Supplement incorporates by reference the documents set forth below that we have previously filed with the SEC to register the securities to be offered hereby. This prospectus does not contain all of the information included in the registration statement, including certain exhibits and all documents that we file with schedules. You may obtain the registration statement and exhibits to the registration statement from the SEC under Sections 13(a)at the address listed above or from the SEC’s website listed above. In addition to the foregoing, 13(c), 14 or 15(d) we maintain a website at xxx.xxxxxxxxxxxx.xxx. Our website content is made available for informational purposes only. It should neither be relied upon for investment purposes nor is it incorporated by reference into this prospectus. We make available at xxx.xxxxxxxxxxxx.xxx copies of the Exchange Act (other than any portion of the respective filings that are furnished pursuant to Item 2.02 or Item 7.01 of a Current Report on Form 8-K (including exhibits related thereto) or other applicable SEC rules, rather than filed) after the date of this Prospectus Supplement from their respective filing dates. These documents contain important information about us, our business and our finances. Document Filed Annual Report Reports on Form 10-K for the year ended December 31K, 2020 March 31, 2021 Quarterly Reports on Form 10-Q and Current Reports on Form 8-K April 5, 2021 Description of Common Shares contained in our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally and any amendments to such document as soon as practicable after we electronically file such material with or in writing, we will provide you with a copy of any or all furnish such documents which are incorporated by reference. Such documents will be provided to you free of charge, but will not contain any exhibits, unless those exhibits are specifically incorporated by reference into those documents. Requests should be addressed to Sachem Capital Corp., 000 Xxxx Xxxxxx, Xxxxxxxx, Xxxxxxxxxxx 00000, Attention: Chief Financial Officer, telephone number (000) 000-0000. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees of Debt Securities, Warrants and Units We may, from time to time, offer, in one or more series or classes, separately or together, and in amounts, at prices and on terms to be set forth in one or more supplements to this prospectus, the following securities: • common shares, par value $0.001 per share; • preferred shares, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more of the classes of securities listed above. We refer to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” in this base prospectus. This base prospectus describes some of the general terms that may apply to the Securities and the general manner in which they may be offered. The specific terms of any Securities to be offered, and the specific manner in which they may be offered will be set forth in the applicable prospectus supplement. The prospectus supplement will also contain information, where applicable, about the material federal income tax considerations relating to, and any listing on a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe the terms of the plan of distribution and set forth the names of any agents, dealers or underwriters involved in the sale of the securities. See “Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACHSEC.” On January 24, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.

Appears in 1 contract

Samples: ir.sonomapharma.com

EXPERTS. Our The financial statements as ofof December 31, 2018 and 2017, and for each of the years then ended, December 31, 2020 and 2019 included in this Prospectus have been so included in reliance on the report of Hoberman & Lesser, BPM LLP, an independent registered public accounting firm, included in this Prospectus Supplement given on the authority of such said firm as experts in auditing and accounting. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE INFORMATION We have filed with the SEC a this shelf registration statement on Form S-3 under the Securities Act with respect to the shares offered herebyour Common Stock we are offering by this prospectus. This Prospectus Supplement, which constitutes a part of the registration statement, prospectus does not contain all of the information set forth included in the registration statement or the exhibits and schedules filed therewithstatement. For further information about pertaining to us and our shares offered herebyCommon Stock, we you should refer you to the registration statement and the exhibits and schedules filed theretoto its exhibits. Statements contained Whenever we make reference in this Prospectus Supplement regarding prospectus to any of our contracts, agreements or other documents, the contents of any contract or any other document that is filed as an exhibit to the registration statement references are not necessarily complete, and each such statement is qualified in all respects by reference you should refer to the full text of such contract or other document filed as an exhibit exhibits attached to the registration statementstatement for copies of the actual contract, agreement or other document. We are a reporting company and file annual, quarterly and current reports, information statements and proxy statements and other material information with the SEC. You may can read and copy our reports, proxy statements and other informationSEC filings, including the registration statement of which this Prospectus Supplement is a part statement, at the Public Reference Room of SEC’s website at xxx.xxx.xxx. You may also read and copy any document we file with the SEC, SEC at its public reference facility at 000 X Xxxxxx, X. X.X.X., Xxxx 0000, Xxxxxxxxxx Xxxxxxxxxx, X.X. 00000. We also maintain a website at xxxx://xxx.xxxxxxxxx.xxx. You may access, free of charge, our annual reports on Form 10-K, quarterly reports on Form 10- Q, current reports on Form 8-K and amendments to those reports filed or furnished pursuant to Section 13(a) or 15(d) of the Exchange Act as soon as reasonably practicable after such material is electronically filed with, or furnished to, the SEC. The information contained on, or that can be accessed through, our website is not a part of, and should not be construed as being incorporated by reference into, this prospectus or the accompanying prospectus supplement. You may also obtain copies of the documents at prescribed rates by writing to the Public Reference Section of the SEC at 000 X Xxxxxx, X.X., Xxxxxxxxxx, X.X. 00000. Please call the SEC at 0-000-XXX-0000 for further information on the operation of the public reference rooms by calling the SEC at 0-000-XXX-0000. The SEC also maintains an Internet website that contains reports, proxy statements and other information about issuers, like us, that file electronically with the SEC. The address of that site is xxx.xxx.xxx. The SEC allows us to “incorporate by reference” information into this Prospectus Supplement, which means that we can disclose important information to you by referring you to another document filed separately with the SEC. The information incorporated by reference is deemed to be part of this Prospectus Supplement, except for any information superseded by information in this Prospectus Supplement or any document that we file in the future with the SEC. This Prospectus Supplement incorporates by reference the documents set forth below that we have previously filed with the SEC and all documents that we file with the SEC under Sections 13(a), 13(c), 14 or 15(d) of the Exchange Act (other than any portion of the respective filings that are furnished pursuant to Item 2.02 or Item 7.01 of a Current Report on Form 8-K (including exhibits related thereto) or other applicable SEC rules, rather than filed) after the date of this Prospectus Supplement from their respective filing dates. These documents contain important information about us, our business and our finances. Document Filed Annual Report on Form 10-K for the year ended December 31, 2020 March 31, 2021 Current Reports on Form 8-K April 5, 2021 Description of Common Shares contained in our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally or in writing, we will provide you with a copy of any or all documents which are incorporated by reference. Such documents will be provided to you free of charge, but will not contain any exhibits, unless those exhibits are specifically incorporated by reference into those documents. Requests should be addressed to Sachem Capital Corp., 000 Xxxx Xxxxxx, Xxxxxxxx, Xxxxxxxxxxx 00000, Attention: Chief Financial Officer, telephone number (000) 000-0000. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees of Debt Securities, Warrants and Units We may, from time to time, offer, in one or more series or classes, separately or together, and in amounts, at prices and on terms to be set forth in one or more supplements to this prospectus, the following securities: • common shares, par value $0.001 per share; • preferred shares, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more of the classes of securities listed above. We refer to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” in this base prospectus. This base prospectus describes some of the general terms that may apply to the Securities and the general manner in which they may be offered. The specific terms of any Securities to be offered, and the specific manner in which they may be offered will be set forth in the applicable prospectus supplement. The prospectus supplement will also contain information, where applicable, about the material federal income tax considerations relating to, and any listing on a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe the terms of the plan of distribution and set forth the names of any agents, dealers or underwriters involved in the sale of the securities. See “Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACHfacilities.” On January 24, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.

Appears in 1 contract

Samples: Prospectus Supplement

EXPERTS. Our financial statements as of, and for each of the years ended, December 31, 2020 2017 and 2019 2016 have been so included in reliance on the report of Hoberman & Lesser, LLP, an independent registered public accounting firm, included in this Prospectus Supplement prospectus given on the authority of such firm as experts in auditing and accounting. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE We have filed with the SEC a registration statement on Form S-3 under the Securities Act with respect to the shares offered hereby. This Prospectus Supplementprospectus supplement, which constitutes a part of the registration statement, does not contain all the information set forth in the registration statement or the exhibits and schedules filed therewith. For further information about us and our shares offered hereby, we refer you to the registration statement and the exhibits and schedules filed thereto. Statements contained in this Prospectus Supplement prospectus supplement regarding the contents of any contract or any other document that is filed as an exhibit to the registration statement are not necessarily complete, and each such statement is qualified in all respects by reference to the full text of such contract or other document filed as an exhibit to the registration statement. We are a reporting company and file annual, quarterly and current reports, proxy statements and other material with the SEC. You may read and copy our reports, proxy statements and other information, including the registration statement of which this Prospectus Supplement prospectus supplement is a part at the Public Reference Room of the SEC, 000 X Xxxxxx, X. X., Xxxx 0000, Xxxxxxxxxx X.X. X. X. 00000. You may obtain information on the operation of the public reference rooms by calling the SEC at 0-000-XXX-0000. The SEC also maintains an Internet website that contains reports, proxy statements and other information about issuers, like us, that file electronically with the SEC. The address of that site is xxx.xxx.xxx. The SEC allows us to "incorporate by reference" information into this Prospectus Supplementprospectus supplement, which means that we can disclose important information to you by referring you to another document filed separately with the SEC. The information incorporated by reference is deemed to be part of this Prospectus Supplementprospectus supplement, except for any information superseded by information in this Prospectus Supplement prospectus supplement or any document that we file in the future with the SEC. This Prospectus Supplement prospectus supplement incorporates by reference the documents set forth below that we have previously filed with the SEC and all documents that we file with the SEC under Sections 13(a), 13(c), 14 or 15(d) of the Exchange Act (other than any portion of the respective filings that are furnished pursuant to Item 2.02 or Item 7.01 of a Current Report on Form 8-K (including exhibits related thereto) or other applicable SEC rules, rather than filed) after the date of this Prospectus Supplement prospectus supplement from their respective filing dates. These documents contain important information about us, our business and our finances. Document Filed Annual Report on Form 10-K for the year ended December 31, 2020 2017 April 2, 2018 Quarterly Report on Form 10-Q for the period ended March 31, 2021 2018 May 15, 2018 Quarterly Report on Form 10-Q for the period ended June 30, 2018 August 14, 2018 Current Reports on Form 8-K April 5January 18, 2021 2018, May 24, 2018 and October 19, 2018 Schedule 14A Information Statement September 14, 2018 Description of Common Shares contained in our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally or in writing, we will provide you with a copy of any or all documents which are incorporated by reference. Such documents will be provided to you free of charge, but will not contain any exhibits, unless those exhibits are specifically incorporated by reference into those documents. Requests should be addressed to Sachem Capital Corp., 000 Xxxx 00 Xxxxxx Xxxxxx, Xxxxxxxx, Xxxxxxxxxxx 00000, Attentionattention: Chief Financial Officer, telephone number (( 000) 000-0000. S-19 PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees of Debt Securities, Warrants and Units We may, Sachem Capital Corp. may from time to time, time offer, in one or more series or classes, separately or together, and in amounts, at prices and on terms to be set forth in one or more supplements to this prospectus, the following securities: • common shares, par value $0.001 per share; • preferred shares, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more of the classes of securities listed above. We refer to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” in this base prospectus. This base prospectus describes some of the general terms that may apply to the Securities and the general manner in which they may be offered. The specific terms of any Securities to be offered, and the specific manner in which they may be offered will be set forth in the applicable prospectus supplement. The prospectus supplement will also contain information, where applicable, about the material federal income tax considerations relating to, and any listing on a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe the terms of the plan of distribution and set forth the names of any agents, dealers or underwriters involved in the sale of the securities. See “Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACH.” On January 24, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.or

Appears in 1 contract

Samples: ir.sachemcapitalcorp.com

EXPERTS. Our The financial statements as of, and incorporated in this prospectus by reference to the Annual Report on Form 20-F for each of the years ended, year ended December 31, 2020 and 2019 2018 have been so included incorporated in reliance on the report of Hoberman & Lesser, LLPPricewaterhouseCoopers SA, an independent registered public accounting firm, included in this Prospectus Supplement given on the authority of such said firm as experts in auditing and accounting. The current address of PricewaterhouseCoopers SA is Xxxxxx Xxxxxxxx-Xxxxx 50, CH-1211 Geneva, Switzerland. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE INFORMATION We have filed with the SEC a registration statement on Form S-3 F-3 under the Securities Act with respect to the shares offered herebysecurities described in this prospectus. This Prospectus Supplementprospectus, which constitutes forms a part of the registration statement, does not contain all of the information set forth included in the registration statement or the exhibits and schedules filed therewith. For further information about us and our shares offered hereby, that we refer you to the registration statement and the exhibits and schedules filed thereto. Statements contained in this Prospectus Supplement regarding the contents of any contract or any other document that is filed as an exhibit to the registration statement are not necessarily complete, and each such statement is qualified in all respects by reference to the full text of such contract or other document filed as an exhibit to the registration statementfiled. We are subject to the informational requirements of the Securities Exchange Act of 1934, as amended, applicable to foreign private issuers. We anticipate filing with the SEC, within three months after the end of each fiscal year, an Annual Report on Form 20-F containing financial statements audited by an independent accounting firm. We also furnish or file with the SEC Reports of Foreign Private Issuer on Form 6-K and other information with the SEC as required by the Exchange Act. We, as a “foreign private issuer,” are exempt from the rules under the Exchange Act prescribing certain disclosure and procedural requirements for proxy solicitations, and our officers, directors and principal shareholders are exempt from the reporting company and “short-swing” profit recovery provisions contained in Section 16 of the Exchange Act, with respect to their purchases and sales of shares. In addition, we are not required to file annual, quarterly and current reports, proxy reports and financial statements and other material with the SEC. You may read and copy our reports, proxy statements and other information, including SEC as frequently or as promptly as U.S. companies whose securities are registered under the registration statement of which this Prospectus Supplement is a part at the Public Reference Room of the SEC, 000 X Xxxxxx, X. X., Xxxx 0000, Xxxxxxxxxx X.X. 00000. You may obtain information on the operation of the public reference rooms by calling the SEC at 0-000-XXX-0000Exchange Act. The SEC also maintains an a site on the Internet website that at xxxx://xxx.xxx.xxx which contains reports, proxy statements reports and other information about issuers, like us, that we file electronically with the SEC. The address of that site the SEC website is xxx.xxx.xxx. The SEC allows us to “incorporate by reference” information into this Prospectus Supplement, which means that we can disclose important information to you by referring you to another document filed separately with the SEC. The information incorporated by reference is deemed to be part of this Prospectus Supplement, except for any information superseded by information in this Prospectus Supplement or any document that we file in the future with the SEC. This Prospectus Supplement incorporates by reference the documents set forth below that we have previously filed with the SEC and all documents that we file with the SEC under Sections 13(a), 13(c), 14 or 15(d) of the Exchange Act (other than any portion of the respective filings that are furnished pursuant to Item 2.02 or Item 7.01 of a Current Report on Form 8-K (including exhibits related thereto) or other applicable SEC rules, rather than filed) after the date of this Prospectus Supplement from their respective filing dates. These documents contain important information about us, our business and our finances. Document Filed Annual Report on Form 10-K for the year ended December 31, 2020 March 31, 2021 Current Reports on Form 8-K April 5, 2021 Description of Common Shares contained in our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally or in writing, we will provide you with a copy of any or all documents which are incorporated by reference. Such documents will be provided to you free of charge, but will not contain any exhibits, unless those exhibits are specifically incorporated by reference into those documents. Requests should be addressed to Sachem Capital Corp., 000 Xxxx Xxxxxx, Xxxxxxxx, Xxxxxxxxxxx 00000, Attention: Chief Financial Officer, telephone number (000) 000-0000. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees of Debt Securities, Warrants and Units We may, from time to time, offer, in one or more series or classes, separately or together, and in amounts, at prices and on terms to be set forth in one or more supplements to this prospectus, the following securities: • common shares, par value $0.001 per share; • preferred shares, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more of the classes of securities listed above. We refer to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” in this base prospectus. This base prospectus describes some of the general terms that may apply to the Securities and the general manner in which they may be offered. The specific terms of any Securities to be offered, and the specific manner in which they may be offered will be set forth in the applicable prospectus supplement. The prospectus supplement will also contain information, where applicable, about the material federal income tax considerations relating to, and any listing on a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe the terms of the plan of distribution and set forth the names of any agents, dealers or underwriters involved in the sale of the securities. See “Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACH.” On January 24, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.

Appears in 1 contract

Samples: Prospectus Supplement

EXPERTS. Our The consolidated financial statements of Flux Power Holdings, Inc. as ofof June 30, 2020 and 2019 and for each of the years ended, December 31in the two-year period ended June 30, 2020 and 2019 incorporated in this prospectus by reference from the Flux Power Holdings, Inc. annual report on Form 10-K for the year ended June 30, 2020 have been so included in reliance on the report of Hoberman & Lesseraudited by Xxxxx Xxxxx US, LLP, (Squar Xxxxxx LLP merged with Xxxxx Xxxxx US, LLP on November 1, 2020) an independent registered public accounting firm, included as stated in their report thereon, incorporated herein by reference, and have been incorporated in this Prospectus Supplement given on and Registration Statement in reliance upon such report and upon the authority of such firm as experts in auditing accounting and accountingauditing. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE We have filed with INFORMATION This prospectus supplement and the SEC a accompanying prospectus are part of the registration statement on Form S-3 we filed with the Securities and Exchange Commission, or SEC, under the Securities Act with respect to the shares offered hereby. This Prospectus SupplementAct, which constitutes a part of the registration statement, does and do not contain all the information set forth in the registration statement. Whenever a reference is made in this prospectus supplement or the accompanying prospectus to any of our contracts, agreements or other documents, the reference may not be complete, and you should refer to the exhibits that are a part of the registration statement or the exhibits and schedules filed therewith. For further information about us and our shares offered hereby, we refer you to the reports or other documents incorporated by reference into this prospectus supplement and the accompanying prospectus for a copy of such contract, agreement or other document. You may inspect a copy of the registration statement and statement, including the exhibits and schedules filed thereto. Statements contained in this Prospectus Supplement regarding schedules, without charge, at the contents SEC’s public reference room mentioned below, or obtain a copy from the SEC upon payment of any contract or any other document that is filed as an exhibit to the registration statement are not necessarily complete, and each such statement is qualified in all respects fees prescribed by reference to the full text of such contract or other document filed as an exhibit to the registration statementSEC. We are a reporting company and file annual, quarterly and current reports, proxy statements and other material information with the SEC. You may read read, without charge, and copy our reports, proxy statements and other information, including the registration statement of which this Prospectus Supplement is a part documents we file at the Public Reference Room of the SEC’s public reference rooms in Washington, DC. at 000 X Xxxxxx, X. X.XX, Xxxx 0000, Xxxxxxxxxx X.X. Xxxxxxxxxx, XX 00000. You may obtain information on can request copies of these documents by writing to the operation of SEC and paying a fee for the public reference rooms by calling copying cost. Please call the SEC at 0-000-XXX-0000XXX-0000 for further information on the public reference rooms. The Our SEC filings are also maintains an Internet website that contains reports, proxy statements and other information about issuers, like us, that file electronically with available to the public at no cost from the SEC. The address of that site is xxx.xxx.xxx. The SEC allows us to “incorporate by reference” information into this Prospectus Supplement, which means that we can disclose important information to you by referring you to another document filed separately with the SEC. The information incorporated by reference is deemed to be part of this Prospectus Supplement, except for any information superseded by information in this Prospectus Supplement or any document that we file in the future with the SEC. This Prospectus Supplement incorporates by reference the documents set forth below that we have previously filed with the SEC and all documents that we file with the SEC under Sections 13(a), 13(c), 14 or 15(d) of the Exchange Act (other than any portion of the respective filings that are furnished pursuant to Item 2.02 or Item 7.01 of a Current Report on Form 8-K (including exhibits related thereto) or other applicable SEC rules, rather than filed) after the date of this Prospectus Supplement from their respective filing dates. These documents contain important information about us, our business and our finances. Document Filed Annual Report on Form 10-K for the year ended December 31, 2020 March 31, 2021 Current Reports on Form 8-K April 5, 2021 Description of Common Shares contained in our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally or in writing, we will provide you with a copy of any or all documents which are incorporated by reference. Such documents will be provided to you free of charge, but will not contain any exhibits, unless those exhibits are specifically incorporated by reference into those documents. Requests should be addressed to Sachem Capital Corp., 000 Xxxx Xxxxxx, Xxxxxxxx, Xxxxxxxxxxx 00000, Attention: Chief Financial Officer, telephone number (000) 000-0000. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees of Debt Securities, Warrants and Units We may, from time to time, offer, in one or more series or classes, separately or together, and in amounts, ’s website at prices and on terms to be set forth in one or more supplements to this prospectus, the following securities: • common shares, par value $0.001 per share; • preferred shares, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more of the classes of securities listed above. We refer to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” in this base prospectus. This base prospectus describes some of the general terms that may apply to the Securities and the general manner in which they may be offered. The specific terms of any Securities to be offered, and the specific manner in which they may be offered will be set forth in the applicable prospectus supplement. The prospectus supplement will also contain information, where applicable, about the material federal income tax considerations relating to, and any listing on a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe the terms of the plan of distribution and set forth the names of any agents, dealers or underwriters involved in the sale of the securities. See “Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACHxxxx://xxx.xxx.xxx.” On January 24, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.

Appears in 1 contract

Samples: ir.fluxpower.com

EXPERTS. Our financial statements as of, and for each of the years ended, December 31, 2020 and 2019 have been so included in reliance on the report of Hoberman Ernst & Lesser, Young LLP, an independent registered public accounting firm, has audited our consolidated financial statements included in this Prospectus Supplement given on the authority of such firm as experts in auditing and accounting. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE We have filed with the SEC a registration statement on Form S-3 under the Securities Act with respect to the shares offered hereby. This Prospectus Supplement, which constitutes a part of the registration statement, does not contain all the information set forth in the registration statement or the exhibits and schedules filed therewith. For further information about us and our shares offered hereby, we refer you to the registration statement and the exhibits and schedules filed thereto. Statements contained in this Prospectus Supplement regarding the contents of any contract or any other document that is filed as an exhibit to the registration statement are not necessarily complete, and each such statement is qualified in all respects by reference to the full text of such contract or other document filed as an exhibit to the registration statement. We are a reporting company and file annual, quarterly and current reports, proxy statements and other material with the SEC. You may read and copy our reports, proxy statements and other information, including the registration statement of which this Prospectus Supplement is a part at the Public Reference Room of the SEC, 000 X Xxxxxx, X. X., Xxxx 0000, Xxxxxxxxxx X.X. 00000. You may obtain information on the operation of the public reference rooms by calling the SEC at 0-000-XXX-0000. The SEC also maintains an Internet website that contains reports, proxy statements and other information about issuers, like us, that file electronically with the SEC. The address of that site is xxx.xxx.xxx. The SEC allows us to “incorporate by reference” information into this Prospectus Supplement, which means that we can disclose important information to you by referring you to another document filed separately with the SEC. The information incorporated by reference is deemed to be part of this Prospectus Supplement, except for any information superseded by information in this Prospectus Supplement or any document that we file in the future with the SEC. This Prospectus Supplement incorporates by reference the documents set forth below that we have previously filed with the SEC and all documents that we file with the SEC under Sections 13(a), 13(c), 14 or 15(d) of the Exchange Act (other than any portion of the respective filings that are furnished pursuant to Item 2.02 or Item 7.01 of a Current Report on Form 8-K (including exhibits related thereto) or other applicable SEC rules, rather than filed) after the date of this Prospectus Supplement from their respective filing dates. These documents contain important information about us, our business and our finances. Document Filed Annual Report on Form 10-K for the year ended December 31, 2020 March 2019, and the effectiveness of our internal control over financial reporting as of December 31, 2021 2019, as set forth in their reports, which are incorporated by reference in this prospectus and elsewhere in the registration statement. Our financial statements are incorporated by reference in reliance on Ernst & Young LLP’s reports, given on their authority as experts in accounting and auditing. WHERE YOU CAN FIND MORE INFORMATION We file annual, quarterly and current reports, proxy statements and other information with the SEC. Our SEC filings are available to the public over the Internet at the SEC’s website at xxx.xxx.xxx. Our Annual Report on Form 10-K, Quarterly Reports on Form 10-Q, and Current Reports on Form 8-K April 5K, 2021 Description including any amendments to those reports, and other information that we file with or furnish to the SEC pursuant to Section 13(a) or 15(d) of Common Shares contained the Securities Exchange Act of 1934, as amended, can also be accessed free of charge on our website at xxx.xxxxxx.xxx under “Investors — Financial Information — SEC Filings.” These filings will be available as soon as reasonably practicable after we electronically file such material with, or furnish it to, the SEC. We have filed with the SEC a registration statement under the Securities Act of 1933, as amended, relating to the offering of these securities. The registration statement, including the attached exhibits, contains additional relevant information about us and the securities. This prospectus does not contain all of the information set forth in our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally or in writing, we will provide you with the registration statement. You can obtain a copy of any or all the registration statement, at prescribed rates, from the SEC at the address listed above. The registration statement and the documents which referred to below under “Incorporation by Reference” are incorporated by referencealso available on our website, xxx.xxxxxx.xxx. Such documents will be provided to you free of charge, but will We have not contain any exhibits, unless those exhibits are specifically incorporated by reference into those documents. Requests should this prospectus the information on, or that can be addressed to Sachem Capital Corp.accessed through, 000 Xxxx Xxxxxx, Xxxxxxxx, Xxxxxxxxxxx 00000, Attention: Chief Financial Officer, telephone number (000) 000-0000. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees of Debt Securities, Warrants and Units We may, from time to time, offer, in one or more series or classes, separately or togetherour website, and in amounts, at prices and on terms you should not consider it to be set forth in one or more supplements to a part of this prospectus, the following securities: • common shares, par value $0.001 per share; • preferred shares, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more of the classes of securities listed above. We refer to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” in this base prospectus. This base prospectus describes some of the general terms that may apply to the Securities and the general manner in which they may be offered. The specific terms of any Securities to be offered, and the specific manner in which they may be offered will be set forth in the applicable prospectus supplement. The prospectus supplement will also contain information, where applicable, about the material federal income tax considerations relating to, and any listing on a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe the terms of the plan of distribution and set forth the names of any agents, dealers or underwriters involved in the sale of the securities. See “Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACH.” On January 24, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.

Appears in 1 contract

Samples: d18rn0p25nwr6d.cloudfront.net

EXPERTS. Our Ernst & Young LLP, our independent registered public accounting firm, has audited the consolidated financial statements as ofand financial statement schedule of BGC Partners, and Inc. included in our Annual Report on Form 10-K for each of the years ended, fiscal year ended December 31, 2020 2016, and 2019 the effectiveness of internal control over financial reporting of BGC Partners, Inc. as of December 31, 2016, as set forth in their reports, which are incorporated by reference herein. Such consolidated financial statements and financial statement schedule of BGC Partners, Inc. are incorporated by reference in reliance on the reports of such firm, given on their authority as experts in accounting and auditing. The audited historical financial statements and financial statement schedule of GFI Group Inc. incorporated in this prospectus by reference to BGC Partners, Inc.’s Current Report on Form 8-K dated March 1, 2017 have been so included incorporated in reliance on the report of Hoberman & Lesser, PricewaterhouseCoopers LLP, an independent registered public accounting firm, included in this Prospectus Supplement given on the authority of such said firm as experts in auditing and accounting. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE INFORMATION We have filed with the SEC a registration statement on Form S-3 under the Securities Act with respect to the shares offered hereby. This Prospectus Supplement, which constitutes a part of the registration statement, does not contain all the information set forth in the registration statement or the exhibits and schedules filed therewith. For further information about us and our shares offered hereby, we refer you to the registration statement and the exhibits and schedules filed thereto. Statements contained in this Prospectus Supplement regarding the contents of any contract or any other document that is filed as an exhibit to the registration statement are not necessarily complete, and each such statement is qualified in all respects by reference to the full text of such contract or other document filed as an exhibit to the registration statement. We are a reporting company and file annual, quarterly and current reports, proxy statements and other material information with the SEC. You may read and copy our reports, proxy statements and other information, including the registration statement of which this Prospectus Supplement is a part any document we file at the SEC’s Public Reference Room of the SEClocated at Xxx Xxxxxxx Xxxxx, 000 X Xxxxxx, X. X.X.X., Xxxx 0000Xxxxxxxxxx, Xxxxxxxxxx X.X. 00000. You may obtain information on the operation can also request copies of the public reference rooms documents, upon payment of a duplicating fee, by calling writing the Public Reference Section of the SEC. Please call the SEC at 0-000-XXX-0000XXX-0000 for further information on the Public Reference Room. The SEC These filings are also maintains an Internet website that contains reports, proxy statements and other information about issuers, like us, that file electronically with available to the public from the SEC’s website at xxx.xxx.xxx . The Our website address is xxx.xxxxxxxxxxx.xxx . Through our website, we make available, free of that site is xxx.xxx.xxx. The SEC allows us to “incorporate by reference” information into this Prospectus Supplementcharge, which means that we can disclose important information to you by referring you to another document the following documents as soon as reasonably practicable after they are electronically filed separately with with, or furnished to, the SEC. The information incorporated by reference is deemed to be part of this Prospectus Supplement, except for any information superseded by information in this Prospectus Supplement or any document that we file in the future with the SEC. This Prospectus Supplement incorporates by reference the documents set forth below that we have previously filed with the SEC and all documents that we file with the SEC under Sections 13(a), 13(c), 14 or 15(d) of the Exchange Act (other than any portion of the respective filings that are furnished pursuant to Item 2.02 or Item 7.01 of a Current Report on Form 8-K (including exhibits related thereto) or other applicable SEC rules, rather than filed) after the date of this Prospectus Supplement from their respective filing dates. These documents contain important information about us, : our business and our finances. Document Filed Annual Report Reports on Form 10-K K; our proxy statements for the year ended December 31, 2020 March 31, 2021 our annual and special stockholder meetings; our Quarterly Reports on Form 10-Q; our Current Reports on Form 8-K April 5K; Forms 3, 2021 Description 4 and 5 and Schedules 13D with respect to our securities filed on behalf of Common Shares contained in Cantor, CFGM, our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally or in writing, we will provide you with a copy of any or all documents which are incorporated by reference. Such documents will be provided directors and our executive officers; and amendments to you free of charge, but will not contain any exhibits, unless those exhibits are specifically incorporated by reference into those documents. Requests should The information contained on, or that may be addressed to Sachem Capital Corp.accessed through, 000 Xxxx Xxxxxx, Xxxxxxxx, Xxxxxxxxxxx 00000, Attention: Chief Financial Officer, telephone number (000) 000-0000. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees of Debt Securities, Warrants and Units We may, from time to time, offer, in one or more series or classes, separately or togetherour website is not part of, and in amountsis not incorporated into, at prices and on terms to be set forth in one or more supplements to this prospectus, the following securities: • common shares, par value $0.001 per share; • preferred shares, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more of the classes of securities listed above. We refer to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” in this base prospectus. This base prospectus describes some of the general terms that may apply to the Securities and the general manner in which they may be offered. The specific terms of any Securities to be offered, and the specific manner in which they may be offered will be set forth in the applicable prospectus supplement. The prospectus supplement will also contain information, where applicable, about the material federal income tax considerations relating to, and any listing on a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe the terms of the plan of distribution and set forth the names of any agents, dealers or underwriters involved in the sale of the securities. See “Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACH.” On January 24, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.

Appears in 1 contract

Samples: d18rn0p25nwr6d.cloudfront.net

EXPERTS. Our The consolidated financial statements incorporated in this prospectus supplement by reference from Xenetic Biosciences, Inc.’s and subsidiaries’ Annual Report on Form 10-K , as ofamended, and for each of the years ended, December 31, 2020 and 2019 have been so included in reliance on the report of Hoberman & Lesser, audited by Marcum LLP, an independent registered public accounting firm, included as stated in this Prospectus Supplement given on their report, which are incorporated herein by reference. Such consolidated financial statements have been so incorporated in reliance upon the authority report of such firm given upon their authority as experts in auditing accounting and accountingauditing. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE INFORMATION We have filed with the SEC a registration statement on Form S-3 under the Securities Act with respect to the shares offered hereby. This Prospectus Supplement, which constitutes a part of the registration statement, does not contain all the information set forth in the registration statement or the exhibits and schedules filed therewith. For further information about us and our shares offered hereby, we refer you to the registration statement and the exhibits and schedules filed thereto. Statements contained in this Prospectus Supplement regarding the contents of any contract or any other document that is filed as an exhibit to the registration statement are not necessarily complete, and each such statement is qualified in all respects by reference to the full text of such contract or other document filed as an exhibit to the registration statement. We are a reporting company and file annual, quarterly and current reports, proxy statements and other material information with the SEC. You may read Our SEC filings are available to the public over the Internet at the SEC’s website at xxx.xxx.xxx. Our Annual Report on Form 10-K, Quarterly Reports on Form 10-Q and copy our Current Reports on Form 8-K, including any amendments to those reports, proxy statements and other information, including the registration statement of which this Prospectus Supplement is a part at the Public Reference Room of the SEC, 000 X Xxxxxx, X. X., Xxxx 0000, Xxxxxxxxxx X.X. 00000. You may obtain information on the operation of the public reference rooms by calling the SEC at 0-000-XXX-0000. The SEC also maintains an Internet website that contains reports, proxy statements and other information about issuers, like us, that file electronically with the SEC. The address of that site is xxx.xxx.xxx. The SEC allows us to “incorporate by reference” information into this Prospectus Supplement, which means that we can disclose important information to you by referring you to another document filed separately with the SEC. The information incorporated by reference is deemed to be part of this Prospectus Supplement, except for any information superseded by information in this Prospectus Supplement or any document that we file in the future with the SEC. This Prospectus Supplement incorporates by reference the documents set forth below that we have previously filed with the SEC and all documents that we file with or furnish to the SEC under Sections pursuant to Section 13(a), 13(c), 14 ) or 15(d) of the Exchange Act (other than any portion can also be accessed free of charge by linking directly from our website at xxx.xxxxxxxxxx.xxx. These filings will be available as soon as reasonably practicable after we electronically file such material with, or furnish it to, the SEC. We have filed with the SEC a registration statement under the Securities Act relating to the offering of these securities. The registration statement, including the exhibits attached thereto, contains additional relevant information about us and the securities. This prospectus supplement and the accompanying prospectus do not contain all of the respective filings that are furnished pursuant to Item 2.02 or Item 7.01 of a Current Report on Form 8-K (including exhibits related thereto) or other applicable SEC rules, rather than filed) after the date of this Prospectus Supplement from their respective filing dates. These documents contain important information about us, our business and our finances. Document Filed Annual Report on Form 10-K for the year ended December 31, 2020 March 31, 2021 Current Reports on Form 8-K April 5, 2021 Description of Common Shares contained in our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally or in writing, we will provide you with a copy of any or all documents which are incorporated by reference. Such documents will be provided to you free of charge, but will not contain any exhibits, unless those exhibits are specifically incorporated by reference into those documents. Requests should be addressed to Sachem Capital Corp., 000 Xxxx Xxxxxx, Xxxxxxxx, Xxxxxxxxxxx 00000, Attention: Chief Financial Officer, telephone number (000) 000-0000. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees of Debt Securities, Warrants and Units We may, from time to time, offer, in one or more series or classes, separately or together, and in amounts, at prices and on terms to be set forth in one or more supplements to this prospectus, the following securities: • common shares, par value $0.001 per share; • preferred shares, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more of the classes of securities listed above. We refer to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” in this base prospectus. This base prospectus describes some of the general terms that may apply to the Securities and the general manner in which they may be offered. The specific terms of any Securities to be offered, and the specific manner in which they may be offered will be set forth in the applicable prospectus supplementregistration statement. You can obtain a copy of the registration statement, at prescribed rates, from the SEC at the address listed above. The registration statement and the documents referred to below under “Incorporation by Reference” are also available on our Internet website, xxx.xxxxxxxxxx.xxx. We are not incorporating by reference into this prospectus supplement will also contain information, where applicable, about the material federal income tax considerations relating toinformation on our website, and any listing on you should not consider our website to be a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both part of this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe the terms of the plan of distribution and set forth the names of any agents, dealers or underwriters involved in the sale of the securities. See “Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACHprospectus.” On January 24, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.

Appears in 1 contract

Samples: ir.xeneticbio.com

EXPERTS. Our The financial statements as of, and for each management’s assessment of the years ended, effectiveness of internal control over financial reporting (which is included in the Report of Management on Internal Controls over Financial Reporting) incorporated in this Prospectus by reference to the Annual Report on Form 10-K for the year ended December 31, 2020 and 2019 2018 have been so included incorporated in reliance on the report of Hoberman & Lesser, PricewaterhouseCoopers LLP, an independent registered public accounting firm, included in this Prospectus Supplement given on the authority of such said firm as experts in auditing and accounting. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE We have filed with the SEC a registration statement on Form S-3 under the Securities Act with respect to the shares offered hereby. This Prospectus Supplement, which constitutes a part of the registration statement, does not contain all the information set forth in the registration statement or the exhibits and schedules filed therewith. For further information about us and our shares offered hereby, we refer you to the registration statement and the exhibits and schedules filed thereto. Statements contained in this Prospectus Supplement regarding the contents of any contract or any other document that is filed as an exhibit to the registration statement are not necessarily complete, and each such statement is qualified in all respects by reference to the full text of such contract or other document filed as an exhibit to the registration statement. INFORMATION We are a reporting public company and file annual, quarterly and current reports, proxy statements and other material information with the SEC. You may read and copy our reports, proxy statements and other information, including Our SEC filings are also available to the registration statement of which this Prospectus Supplement is a part public at the Public Reference Room of the SEC, 000 X Xxxxxx, X. X., Xxxx 0000, Xxxxxxxxxx X.X. 00000. You may obtain information on the operation of the public reference rooms by calling the SEC ’s website at 0-000-XXX-0000. The SEC also maintains an Internet website that contains reports, proxy statements and other information about issuers, like us, that file electronically with the SEC. The address of that site is xxx.xxx.xxx. The SEC allows us We also make available free of charge through our website our Annual Reports on Form 10-K, Quarterly Reports on Form 10-Q, Current Reports on Form 8-K and amendments to “incorporate by reference” information into this Prospectus Supplement, which means that we can disclose important information those reports filed or furnished pursuant to you by referring you to another document filed separately with the SEC. The information incorporated by reference is deemed to be part of this Prospectus Supplement, except for any information superseded by information in this Prospectus Supplement or any document that we file in the future with the SEC. This Prospectus Supplement incorporates by reference the documents set forth below that we have previously filed with the SEC and all documents that we file with the SEC under Sections Section 13(a), 13(c), 14 ) or 15(d) of the Exchange Act (as well as our definitive proxy statement and Section 16 reports on Forms 3, 4 and 5. Our website address is xxx.XxxxxxxxxXxxxxxxxxx.xxx. However, the information located on, or accessible from, our website is not, and shall not be deemed to be, except as described below, a part of this prospectus or any accompanying prospectus supplement or incorporated into any other than any portion filings that we make with the SEC. This prospectus comprises only part of a registration statement on Form S-3 that we have filed with the SEC under the Securities Act and, therefore, omits some of the respective filings that information contained in the registration statement. We have also filed exhibits and schedules to the registration statement which are furnished pursuant excluded from this prospectus, and you should refer to Item 2.02 the applicable exhibit or Item 7.01 schedule for a complete description of a Current Report on Form 8-K (including exhibits related thereto) any statement referring to any contract or other applicable SEC rules, rather than filed) after the date of this Prospectus Supplement from their respective filing datesdocument. These documents contain important information about us, our business and our finances. Document Filed Annual Report on Form 10-K for the year ended December 31, 2020 March 31, 2021 Current Reports on Form 8-K April 5, 2021 Description of Common Shares contained in our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally You may inspect or in writing, we will provide you with obtain a copy of any or all documents which are incorporated by reference. Such documents will be provided to you free of chargethe registration statement, but will not contain any exhibitsincluding the exhibits and schedules, unless those exhibits are specifically incorporated by reference into those documents. Requests should be addressed to Sachem Capital Corp., 000 Xxxx Xxxxxx, Xxxxxxxx, Xxxxxxxxxxx 00000, Attention: Chief Financial Officer, telephone number (000) 000-0000. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees of Debt Securities, Warrants and Units We may, from time to time, offer, in one or more series or classes, separately or together, and in amounts, at prices and on terms to be set forth in one or more supplements to this prospectus, the following securities: • common shares, par value $0.001 per share; • preferred shares, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more of the classes of securities listed above. We refer to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” in this base prospectus. This base prospectus describes some of the general terms that may apply to the Securities and the general manner in which they may be offered. The specific terms of any Securities to be offered, and the specific manner in which they may be offered will be set forth described in the applicable prospectus supplement. The prospectus supplement will also contain information, where applicable, about the material federal income tax considerations relating to, and any listing on a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe the terms of the plan of distribution and set forth the names of any agents, dealers or underwriters involved in the sale of the securities. See “Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACHprevious paragraph.” On January 24, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.

Appears in 1 contract

Samples: www.gladstonecommercial.com

EXPERTS. Our The consolidated financial statements as ofincorporated in this prospectus by reference from our Annual Report on Form 10-K for the years ended December 31, 2020 and 2019, and for each of the years ended, in the period ended December 31, 2020 and 2019 2020, have been so included incorporated in reliance on the report of Hoberman & LesserXxxxxx, LLP, an independent registered public accounting firm, included in this Prospectus Supplement incorporated herein by reference, given on the authority of such said firm as experts in auditing and accounting. The consolidated financial statements of Enertec, as of December 31, 2020 and December 31, 2019, and for the year ended December 31, 2020 incorporated by reference in this prospectus have been so incorporated in reliance on the report of BDO XXX XXXX, an independent registered public accounting firm, incorporated herein by reference, given on the authority of said firm as experts in auditing and accounting. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE We have filed with INFORMATION This prospectus supplement and the SEC a accompanying prospectus are part of the registration statement on Form S-3 we filed with the SEC under the Securities Act with respect to the shares offered hereby. This Prospectus SupplementAct, which constitutes a part of the registration statement, does and do not contain all the information set forth in the registration statement. Whenever a reference is made in this prospectus supplement or the accompanying prospectus to any of our contracts, agreements or other documents, the reference may not be complete, and you should refer to the exhibits that are a part of the registration statement or the exhibits and schedules filed therewith. For further information about us and our shares offered hereby, we refer you to the reports or other documents incorporated by reference into this prospectus supplement and the accompanying prospectus for a copy of such contract, agreement or other document. You may inspect a copy of the registration statement and statement, including the exhibits and schedules filed thereto. Statements contained in this Prospectus Supplement regarding schedules, without charge, at the contents SEC's public reference room mentioned below, or obtain a copy from the SEC upon payment of any contract or any other document that is filed as an exhibit to the registration statement are not necessarily complete, and each such statement is qualified in all respects fees prescribed by reference to the full text of such contract or other document filed as an exhibit to the registration statementSEC. We are a reporting company and file annual, quarterly and current reports, proxy statements and other material information with the SEC. You may read read, without charge, and copy our reports, proxy statements and other information, including the registration statement of which this Prospectus Supplement is a part documents we file at the Public Reference Room of the SEC’s public reference rooms in Washington, D.C. at 000 X Xxxxxx, X. X.XX, Xxxx 0000, Xxxxxxxxxx X.X. Xxxxxxxxxx, XX 00000. You may obtain information on can request copies of these documents by writing to the operation of SEC and paying a fee for the public reference rooms by calling copying cost. Please call the SEC at 0-000-XXX-0000XXX-0000 for further information on the public reference rooms. The Our SEC filings are also maintains an Internet website that contains reports, proxy statements and other information about issuers, like us, that file electronically with available to the public at no cost from the SEC. The address of that site is xxx.xxx.xxx. The SEC allows us to “incorporate by reference” information into this Prospectus Supplement, which means that we can disclose important information to you by referring you to another document filed separately with the SEC. The information incorporated by reference is deemed to be part of this Prospectus Supplement, except for any information superseded by information in this Prospectus Supplement or any document that we file in the future with the SEC. This Prospectus Supplement incorporates by reference the documents set forth below that we have previously filed with the SEC and all documents that we file with the SEC under Sections 13(a), 13(c), 14 or 15(d) of the Exchange Act (other than any portion of the respective filings that are furnished pursuant to Item 2.02 or Item 7.01 of a Current Report on Form 8-K (including exhibits related thereto) or other applicable SEC rules, rather than filed) after the date of this Prospectus Supplement from their respective filing dates. These documents contain important information about us, our business and our finances. Document Filed Annual Report on Form 10-K for the year ended December 31, 2020 March 31, 2021 Current Reports on Form 8-K April 5, 2021 Description of Common Shares contained in our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally or in writing, we will provide you with a copy of any or all documents which are incorporated by reference. Such documents will be provided to you free of charge, but will not contain any exhibits, unless those exhibits are specifically incorporated by reference into those documents. Requests should be addressed to Sachem Capital Corp., 000 Xxxx Xxxxxx, Xxxxxxxx, Xxxxxxxxxxx 00000, Attention: Chief Financial Officer, telephone number (000) 000-0000. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees of Debt Securities, Warrants and Units We may, from time to time, offer, in one or more series or classes, separately or together, and in amounts, ’s website at prices and on terms to be set forth in one or more supplements to this prospectus, the following securities: • common shares, par value $0.001 per share; • preferred shares, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more of the classes of securities listed above. We refer to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” in this base prospectus. This base prospectus describes some of the general terms that may apply to the Securities and the general manner in which they may be offered. The specific terms of any Securities to be offered, and the specific manner in which they may be offered will be set forth in the applicable prospectus supplement. The prospectus supplement will also contain information, where applicable, about the material federal income tax considerations relating to, and any listing on a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe the terms of the plan of distribution and set forth the names of any agents, dealers or underwriters involved in the sale of the securities. See “Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACHxxxx://xxx.xxx.xxx.” On January 24, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.

Appears in 1 contract

Samples: Prospectus Supplement

EXPERTS. Our The consolidated financial statements as ofof December 31, 2013 and 2012 and for each of the three years ended, in the period ended December 31, 2020 2013 and 2019 management’s assessment of the effectiveness of internal control over financial reporting (which is included in Management’s Report on Internal Control over Financial Reporting) as of December 31, 2013 included in the accompanying prospectus have been so included in reliance on the report of Hoberman & Lesser, PricewaterhouseCoopers LLP, an independent registered public accounting firm, included in this Prospectus Supplement given on the authority of such said firm as experts in auditing and accounting. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE AVAILABLE INFORMATION We have filed with the SEC a registration statement on Form S-3 N-2, together with all amendments and related exhibits, under the Securities Act Act, with respect to our securities offered by this prospectus supplement and the shares offered herebyaccompanying prospectus. This Prospectus Supplement, which constitutes a part of the registration statement, does not contain all the information set forth in the The registration statement or the exhibits and schedules filed therewith. For further contains additional information about us and our shares securities being offered hereby, we refer you to the registration statement by this prospectus supplement and the exhibits and schedules filed thereto. Statements contained in this Prospectus Supplement regarding the contents of any contract or any other document that is filed as an exhibit to the registration statement are not necessarily complete, and each such statement is qualified in all respects by reference to the full text of such contract or other document filed as an exhibit to the registration statementaccompanying prospectus. We are a reporting company and file annual, quarterly and current periodic reports, proxy statements and other material information with the SECSEC under the Exchange Act. You may read inspect and copy our these reports, proxy statements and other information, including as well as the registration statement of which this Prospectus Supplement is prospectus supplement and accompanying prospectus form a part and the related exhibits and schedules, at the Public Reference Room of the SEC, SEC at 000 X Xxxxxx, X. X.X.X., Xxxx 0000Xxxxxxxxxx, Xxxxxxxxxx X.X. 00000-0000. You may obtain information on the operation of the public reference rooms Public Reference Room by calling the SEC at 0000-000-XXX-00000000. The SEC also maintains an Internet website that contains reports, proxy and information statements and other information about issuers, like us, that file filed electronically with the SEC. The address of that site is xxx.xxx.xxx. The SEC allows by us to “incorporate by reference” information into this Prospectus Supplement, which means that we can disclose important information to you by referring you to another document filed separately with the SEC. The information incorporated by reference is deemed to be part of this Prospectus Supplement, except for any information superseded by information in this Prospectus Supplement or any document that we file in the future with the SEC. This Prospectus Supplement incorporates by reference the documents set forth below that we have previously filed with the SEC which are available on the SEC’s Internet website at xxxx://xxx.xxx.xxx. Copies of these reports, proxy and all documents that we file with information statements and other information may be obtained, after paying a duplicating fee, by electronic request at the SEC under Sections 13(a)following E-mail address: xxxxxxxxxx@xxx.xxx, 13(c)or by writing the SEC’s Public Reference Section, 14 or 15(dWashington, D.C. 20549-0102. INDEX TO FINANCIAL STATEMENTS UNAUDITED CONSOLIDATED INTERIM FINANCIAL STATEMENTS Consolidated Statements of Assets and Liabilities as of September 31, 2014 (unaudited) of the Exchange Act (other than any portion of the respective filings that are furnished pursuant to Item 2.02 or Item 7.01 of a Current Report on Form 8-K (including exhibits related thereto) or other applicable SEC rules, rather than filed) after the date of this Prospectus Supplement from their respective filing dates. These documents contain important information about us, our business and our finances. Document Filed Annual Report on Form 10-K for the year ended December 31, 2020 March 2013 S-62 Consolidated Statements of Operations for the three and nine-month periods ended September 30, 2014 and 2013 (unaudited) S-64 Consolidated Statements of Changes in Net Assets for the nine-month periods ended September 30, 2014 and 2013 (unaudited) S-65 Consolidated Statements of Cash Flows for the nine-month periods ended September 30, 2014 and 2013 (unaudited) S-66 Consolidated Schedule of Investments as of September 30, 2014 (unaudited) S-67 Consolidated Schedule of Investments as of December 31, 2021 Current Reports on Form 82013 S-82 Notes to Consolidated Financial Statements (unaudited) S-98 HERCULES TECHNOLOGY GROWTH CAPITAL, INC. CONSOLIDATED STATEMENT OF ASSETS AND LIABILITIES (unaudited) (dollars in thousands, except per share data) September 30, 2014 December 31, 2013 Assets Investments: Non-K April 5control/Non-affiliate investments (cost of $996,338 and $891,059, 2021 Description respectively) $ 990,068 $ 899,314 Affiliate investments (cost of Common Shares contained in our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25$15,959 and $15,238, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally or in writing, we will provide you with a copy of any or all documents which are incorporated by reference. Such documents will be provided to you free of charge, but will not contain any exhibits, unless those exhibits are specifically incorporated by reference into those documents. Requests should be addressed to Sachem Capital Corp., 000 Xxxx Xxxxxx, Xxxxxxxx, Xxxxxxxxxxx 00000, Attention: Chief Financial Officer, telephone number (000respectively) 000-0000. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees of Debt Securities, Warrants and Units We may, from time to time, offer, in one or more series or classes, separately or together, and in amounts8,845 10,981 Total investments, at prices value (cost of $1,012,297 and on terms to be set forth in one or more supplements to this prospectus$906,297, the following securitiesrespectively) 998,913 910,295 Cash and cash equivalents 158,627 268,368 Restricted cash 2,096 6,271 Interest receivable 9,146 8,962 Other assets 30,556 27,819 Total assets $ 1,199,338 $ 1,221,715 Liabilities Accounts payable and accrued liabilities $ 11,613 $ 14,268 Long-term Liabilities (Convertible Senior Notes) 40,012 72,519 Asset-Backed Notes 27,951 89,557 2019 Notes 170,364 170,364 2024 Notes 103,000 — Long-term SBA Debentures 190,200 225,000 Total liabilities $ 543,140 $ 571,708 Commitments and Contingencies (Note 10) Net assets consist of: • common sharesCommon stock, par value 65 62 Capital in excess of par value 670,711 656,594 Unrealized appreciation (depreciation) on investments (14,706) 3,598 Accumulated realized losses on investments (2,233) (15,240) Undistributed net investment income 2,361 4,993 Total net assets $ 656,198 $ 650,007 Total liabilities and net assets $ 1,199,338 $ 1,221,715 Shares of common stock outstanding ($0.001 par value, 100,000,000 authorized) 64,182 61,837 Net asset value per share; • preferred shares, par value $0.001 per share; • warrants share $ 10.22 $ 10.51 See notes to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more of the classes of securities listed above. We refer to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” in this base prospectus. This base prospectus describes some of the general terms that may apply to the Securities and the general manner in which they may be offeredconsolidated financial statements. The specific terms following table presents the assets and liabilities of any Securities our consolidated securitization trust for asset-backed notes (see Note 4), which is a variable interest entity (“VIE”). The assets of our securitization VIE can only be used to be offeredsettle obligations of our consolidated securitization VIE, these liabilities are only the obligations of our consolidated securitization VIE, and the specific manner in which they may be offered will be set forth creditors (or beneficial interest holders) do not have recourse to our general credit. These assets and liabilities are included in the applicable prospectus supplementConsolidated Statements of Assets and Liabilities above. The prospectus supplement will also contain informationSeptember 30, where applicableDecember 31, about the material federal (Dollars in thousands) 2014 2013 ASSETS Restricted Cash $ 2,096 $ 6,271 Total investments, at value (cost of $87,405 and $166,513, respectively) 85,233 165,445 Total assets $ 87,329 $ 171,716 LIABILITIES Asset-Backed Notes $ 27,951 $ 89,557 Total liabilities $ 27,951 $ 89,557 See notes to consolidated financial statements. CONSOLIDATED STATEMENTS OF OPERATIONS (unaudited) (in thousands, except per share data) Three Months Ended September 30, Nine Months Ended September 30, 2014 2013 2014 2013 Investment income: Interest income tax considerations relating toNon-Control/Non-Affiliate investments $ 33,210 $ 35,623 $ 92,975 $ 93,722 Affiliate investments 130 561 1,747 1,684 Total interest income 33,340 36,184 94,722 95,406 Fees Non-Control/Non-Affiliate investments 3,671 4,832 12,037 11,088 Affiliate investments 8 5 30 9 Total fees 3,679 4,837 12,067 11,097 Total investment income 37,019 41,021 106,789 106,503 Operating expenses: Interest 6,495 7,587 20,177 22,788 Loan fees 1,364 1,072 4,531 3,341 General and administrative 2,397 2,176 6,984 6,831 Employee Compensation: Compensation and benefits 3,922 7,030 11,375 14,992 Stock-based compensation 2,823 1,596 6,849 4,349 Total employee compensation 6,745 8,626 18,224 19,341 Total operating expenses 17,001 19,461 49,916 52,301 Loss on debt extinguishment (Long-term Liabilities—Convertible Senior Notes) (1,023) — (1,023) — Net investment income 18,995 21,560 55,850 54,202 Net realized gain on investments Non-Control/Non-Affiliate investments 5,664 7,125 13,007 11,309 Total net realized gain on investments 5,664 7,125 13,007 11,309 Net increase in unrealized appreciation (depreciation) on investments Non-Control/Non-Affiliate investments (10,029) 9,288 (15,447) 10,506 Affiliate investments 547 (992) (2,857) (1,468) Total net unrealized appreciation (depreciation) on investments (9,482) 8,296 (18,304) 9,038 Total net realized and unrealized gain (loss) (3,818) 15,421 (5,297) 20,347 Net increase in net assets resulting from operations $ 15,177 $ 36,981 $ 50,553 $ 74,549 Net investment income before investment gains and losses per common share: Basic $ 0.30 $ 0.35 $ 0.89 $ 0.91 Change in net assets per common share: Basic $ 0.24 $ 0.61 $ 0.80 $ 1.26 Diluted $ 0.23 $ 0.59 $ 0.78 $ 1.23 Weighted average shares outstanding Basic 62,356 60,522 61,444 58,206 Diluted 63,779 60,750 63,554 58,396 Dividends declared per common share: Basic $ 0.31 $ 0.31 $ 0.93 $ 0.86 See notes to consolidated financial statements. CONSOLIDATED STATEMENT OF CHANGES IN NET ASSETS (unaudited) (dollars and shares in thousands) Common Stock Undistributed Unrealized Accumulated net investment income/ Provision Capital in excess of par Appreciation (Depreciation) on Realized Gains (Losses) on (Distributions in excess of investment for Income Taxes on Investment Net Shares Par Value value Investments Investments income) Gains Assets Balance at December 31, and any listing 2012 52,925 $ 53 $564,508 $ (7,947) $ (36,916) $ (3,388) $ (342) $515,968 Net increase in net assets resulting from operations — — — 9,038 11,309 54,202 — 74,549 Issuance of common stock 1,337 1 16,542 — — — — 16,543 Issuance of common stock under restricted stock plan 472 1 (1) — — — — — Issuance of common stock as stock dividend 142 — 1,923 — — — — 1,923 Retired shares from net issuance (1,170) (1 ) (18,259) — — — — (18,260) Public offering 8,050 8 95,529 — — — — 95,537 Dividends declared — — — — — (47,292) — (47,292) Stock-based compensation — — 4,408 — — — — 4,408 Balance at September 30, 2013 61,756 $ 62 $664,650 $ 1,091 $ (25,607) $ 3,522 $ (342) $643,376 Balance at December 31, 2013 61,837 $ 62 $656,594 $ 3,598 $ (15,240) $ 5,335 $ (342) $650,007 Net increase (decrease) in net assets resulting from operations — — — (18,304) 13,007 55,850 — 50,553 Issuance of common stock 256 — 2,873 — — — — 2,873 Issuance of common stock under restricted stock plan 632 1 (1) — — — — — Issuance of common stock as stock dividend 76 — 1,152 — — — — 1,152 Retired shares from net issuance (193) — (5,992) — — — — (5,992) Public offering 1,574 2 9,180 — — — — 9,182 Dividends declared — — — — — (58,482) — (58,482) Stock-based compensation — — 6,905 — — — — 6,905 Balance at September 30, 2014 64,182 $ 65 $670,711 $ (14,706) $ (2,233) $ 2,703 $ (342) $656,198 See notes to consolidated financial statements. CONSOLIDATED STATEMENTS OF CASH FLOWS (unaudited) (dollars in thousands) Nine Months Ended September 30, 2014 2013 Cash flows from operating activities: Net increase in net assets resulting from operations $ 50,553 $ 74,549 Adjustments to reconcile net increase in net assets resulting from operations to net cash provided by (used in) operating activities: Purchase of investments (415,399) (411,515) Principal payments received on a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe the terms of the plan of distribution and set forth the names of any agents, dealers or underwriters involved in investments 316,543 336,438 Proceeds from the sale of the securitiesinvestments 17,977 29,459 Net unrealized depreciation (appreciation) on investments 18,304 (9,038) Net realized gain on investments (13,007) (11,309) Accretion of paid-in-kind principal (1,990) (2,269) Accretion of loan discounts (7,690) (4,556) Accretion of loan discount on Convertible Senior Notes 738 812 Loss on conversion of Convertible Senior Notes 1,023 — Accretion of loan exit fees (754) (10,031) Change in deferred loan origination revenue (616) 2,540 Unearned fees related to unfunded commitments (7,789) (364) Amortization of debt fees and issuance costs 4,131 2,918 Depreciation 161 162 Stock-based compensation and amortization of restricted stock grants 6,905 4,408 Change in operating assets and liabilities: Interest and fees receivable (184) (641) Prepaid expenses and other assets 59 570 Accounts payable 1,126 (63) Accrued liabilities (4,203) 2,588 Net cash provided by (used in) operating activities (34,112) 4,658 Cash flows from investing activities: Purchases of capital equipment (94) (240) Reduction of (investment in) restricted cash 4,175 (3,632) Other long-term assets — (30) Net cash provided by (used in) investing activities 4,081 (3,902) Cash flows from financing activities: Proceeds from issuance (repurchase of employee shares due to restricted stock vesting) of common stock, net 6,734 93,443 Dividends paid (57,330) (45,368) Issuance of 2024 Notes, net 99,655 — Repayments of Asset-Backed Notes (61,606) (26,832) Repayments of Long-Term SBA Debentures (34,800) — Cash paid for redemption of Convertible Senior Notes (31,577) — Fees paid for credit facilities and debentures (786) — Net cash provided by (used in) financing activities (79,710) 21,243 Net decrease in cash and cash equivalents (109,741) 21,999 Cash and cash equivalents at beginning of period 268,368 182,994 Cash and cash equivalents at end of period $ 158,627 $ 204,993 Supplemental non-cash investing and financing activities: Dividends Reinvested $ 1,152 $ 1,923 Paid-in-Kind Principal $ 1,990 $ 2,269 See notes to consolidated financial statements. See “Plan September 30, 2014 (unaudited) (dollars in thousands) Type of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery Maturity Principal Portfolio Company Sub-Industry Debt Investments Biotechnology Tools 1-5 Years Maturity Investment(1) Date Interest Rate and Floor Amount Cost(2) Value(3) Labcyte, Inc.(11)(13)(14) Biotechnology Tools Senior Secured June 2016 Interest rate PRIME + 6.70% or Floor rate of a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACH.” On January 24, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five9.95% $ 3,104 $ 3,252 $ 3,262 Subtotal: 1-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.5 Years Maturity 3,252 3,262 Subtotal: Biotechnology Tools (0.50%)* 3,252 3,262 Communications & Networking

Appears in 1 contract

Samples: investor.htgc.com

AutoNDA by SimpleDocs

EXPERTS. Our financial statements as of, and for each of the years ended, December 31, 2020 and 2019 have been so included in reliance on the report of Hoberman Ernst & Lesser, Young LLP, an independent registered public accounting firm, has audited our consolidated financial statements included in our Annual Report on Form 10-K for the year ended December 31, 2020, as set forth in their report (which contains an explanatory paragraph describing conditions that raise substantial doubt about the Company's ability to continue as a going concern as described in Note 1 to the consolidated financial statements), which is incorporated by reference in this Prospectus Supplement prospectus and elsewhere in the registration statement. Our financial statements are incorporated by reference in reliance on Ernst & Young LLP’s report, given on the their authority of such firm as experts in auditing accounting and accountingauditing. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE We have ADDITIONAL INFORMATION This prospectus is part of a registration statement we filed with the SEC a registration statement on Form S-3 under the Securities Act with respect to the shares offered herebySEC. This Prospectus Supplement, which constitutes a part of the registration statement, prospectus does not contain all of the information set forth in the registration statement or and the exhibits and schedules filed therewithto the registration statement. For further information about with respect to us and our shares offered herebythe securities we are offering under this prospectus, we refer you to the registration statement and the exhibits and schedules filed thereto. Statements contained in this Prospectus Supplement regarding the contents as a part of any contract or any other document that is filed as an exhibit to the registration statement are not necessarily complete, and each such statement is qualified in all respects by reference to the full text of such contract or other document filed as an exhibit to the registration statement. You should rely only on the information contained in this prospectus or incorporated by reference. We have not authorized anyone else to provide you with different information. We are a reporting company and not making an offer of these securities in any state where the offer is not permitted. You should not assume that the information in this prospectus is accurate as of any date other than the date on the front page of this prospectus, regardless of the time of delivery of this prospectus or any sale of the securities offered by this prospectus. We file annual, quarterly and current reports, proxy statements and other material information with the SEC. You may read and copy our reports, proxy statements and other information, including the registration statement of which this Prospectus Supplement is a part at the Public Reference Room of the SEC, 000 X Xxxxxx, X. X., Xxxx 0000, Xxxxxxxxxx X.X. 00000. You may obtain information on the operation of the public reference rooms by calling the SEC at 0-000-XXX-0000. The SEC also maintains an Internet a website xxxxx.xxx.xxx that contains reports, proxy and information statements and other information about issuersregarding registrants. Our SEC filings, like usincluding our registration statement and the exhibits and schedules thereto, that file electronically with are available on the SEC. The address of that site is SEC website at xxx.xxx.xxx. The SEC allows us to “incorporate by reference” information into this Prospectus Supplement, which means that we can disclose important information to you by referring you to another document filed separately with the SECWe maintain a website at xxx.xxxxxxx.xxx. The information incorporated by reference is deemed to be Information contained in or accessible through our website does not constitute a part of this Prospectus Supplement, except for any information superseded by information in this Prospectus Supplement or any document that we file in the future with the SEC. This Prospectus Supplement incorporates by reference the documents set forth below that we have previously filed with the SEC and all documents that we file with the SEC under Sections 13(a), 13(c), 14 or 15(d) of the Exchange Act (other than any portion of the respective filings that are furnished pursuant to Item 2.02 or Item 7.01 of a Current Report on Form 8-K (including exhibits related thereto) or other applicable SEC rules, rather than filed) after the date of this Prospectus Supplement from their respective filing dates. These documents contain important information about us, our business and our finances. Document Filed Annual Report on Form 10-K for the year ended December 31, 2020 March 31, 2021 Current Reports on Form 8-K April 5, 2021 Description of Common Shares contained in our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally or in writing, we will provide you with a copy of any or all documents which are incorporated by reference. Such documents will be provided to you free of charge, but will not contain any exhibits, unless those exhibits are specifically incorporated by reference into those documents. Requests should be addressed to Sachem Capital Corp., 000 Xxxx Xxxxxx, Xxxxxxxx, Xxxxxxxxxxx 00000, Attention: Chief Financial Officer, telephone number (000) 000-0000. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees of Debt Securities, Warrants and Units We may, from time to time, offer, in one or more series or classes, separately or together, and in amounts, at prices and on terms to be set forth in one or more supplements to this prospectus, the following securities: • common shares, par value $0.001 per share; • preferred shares, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more of the classes of securities listed above. We refer to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” in this base prospectus. This base prospectus describes some of the general terms that may apply to the Securities and the general manner in which they may be offered. The specific terms of any Securities to be offered, and the specific manner in which they may be offered will be set forth in the applicable prospectus supplement. The prospectus supplement will also contain information, where applicable, about the material federal income tax considerations relating to, and any listing on a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe the terms of the plan of distribution and set forth the names of any agents, dealers or underwriters involved in the sale of the securities. See “Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACH.” On January 24, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.

Appears in 1 contract

Samples: ir.avalotx.com

EXPERTS. Our The consolidated financial statements of Arqit Quantum Inc. as ofof September 30, 2022, 2021 and 2020 appearing in Arqit Quantum Inc.’s Annual Report on Form 20-F for each of the years endedfiscal year ended September 30, 2022, as filed with the SEC on December 3114, 2020 and 2019 2022, have been so included in reliance on the report of Hoberman & Lesser, audited by PKF Xxxxxxxxxx LLP, an independent registered public accounting firm, as set forth in their report thereon, included therein, and incorporated herein by reference. Such consolidated financial statements are incorporated herein by reference in this Prospectus Supplement reliance upon such report given on the authority of such firm as experts in auditing accounting and accountingauditing. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE INFORMATION We have filed a registration statement with the SEC a registration statement on Form S-3 under the Securities Act with respect to that registers the shares offered hereby. This Prospectus Supplement, which constitutes a part offer and sale of the securities covered by this prospectus supplement. The registration statement, does not contain all the information set forth in the registration statement or including the exhibits attached thereto and schedules filed therewith. For further incorporated by reference therein, contains additional relevant information about us and our shares offered herebyus. In addition, we refer you to the registration statement and the exhibits and schedules filed thereto. Statements contained in this Prospectus Supplement regarding the contents of any contract or any other document that is filed as an exhibit to the registration statement are not necessarily complete, and each such statement is qualified in all respects by reference to the full text of such contract or other document filed as an exhibit to the registration statement. We are a reporting company and file annual, quarterly and current reports, proxy statements other reports and other material information with the SEC. You may read and copy our reports, proxy statements and other information, including the registration statement of which this Prospectus Supplement is a part at the Public Reference Room of the SEC, 000 X Xxxxxx, X. X., Xxxx 0000, Xxxxxxxxxx X.X. 00000. You may obtain information on the operation of the public reference rooms by calling the SEC at 0-000-XXX-0000. The SEC also maintains an Internet a website that contains reports, proxy and information statements and other information about issuers, like us, regarding issuers that file electronically with the SEC. The address of that site is Our SEC filings are available on the SEC’s website at xxx.xxx.xxx. The SEC allows us to “incorporate by reference” information into this Prospectus SupplementWe make available free of charge on or through our website,xxxxx://xxxxx.xx, which means that we can disclose important information to you by referring you to another document filed separately with the SEC. The information incorporated by reference is deemed to be part of this Prospectus Supplement, except for any information superseded by information in this Prospectus Supplement or any document that we file in the future with the SEC. This Prospectus Supplement incorporates by reference the documents set forth below that we have previously filed our filings with the SEC and all documents that we file with the SEC under Sections pursuant to Section 13(a), 13(c), 14 ) or 15(d) of the Exchange Act (other than any portion of as soon as reasonably practicable after we electronically file such material with, or furnish it to, the respective filings that are furnished pursuant to Item 2.02 or Item 7.01 of a Current Report SEC. We make our website content available for information purposes only. Information contained on Form 8-K (including exhibits related thereto) or other applicable SEC rules, rather than filed) after the date of this Prospectus Supplement from their respective filing dates. These documents contain important information about us, our business and our finances. Document Filed Annual Report on Form 10-K for the year ended December 31, 2020 March 31, 2021 Current Reports on Form 8-K April 5, 2021 Description of Common Shares contained in our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally or in writing, we will provide you with a copy of any or all documents which are incorporated by reference. Such documents will be provided to you free of charge, but will website is not contain any exhibits, unless those exhibits are specifically incorporated by reference into those documents. Requests should be addressed to Sachem Capital Corp., 000 Xxxx Xxxxxx, Xxxxxxxx, Xxxxxxxxxxx 00000, Attention: Chief Financial Officer, telephone number (000) 000-0000. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees this prospectus supplement and does not constitute a part of Debt Securities, Warrants and Units We may, from time to time, offer, in one or more series or classes, separately or together, and in amounts, at prices and on terms to be set forth in one or more supplements to this prospectus, the following securities: • common shares, par value $0.001 per share; • preferred shares, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more of the classes of securities listed above. We refer to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” in this base prospectus. This base prospectus describes some of the general terms that may apply to the Securities and the general manner in which they may be offered. The specific terms of any Securities to be offered, and the specific manner in which they may be offered will be set forth in the applicable prospectus supplement. The prospectus supplement will also contain information, where applicable, about the material federal income tax considerations relating to, and any listing on a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe the terms of the plan of distribution and set forth the names of any agents, dealers or underwriters involved in the sale of the securities. See “Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACH.” On January 24, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.

Appears in 1 contract

Samples: ir.arqit.uk

EXPERTS. Our The consolidated financial statements of Arqit Quantum Inc. as ofof September 30, 2022, 2021 and 2020 appearing in Arqit Quantum Inc.’s Annual Report on Form 20-F for each of the years endedfiscal year ended September 30, 2022, as filed with the SEC on December 3114, 2020 and 2019 2022, have been so included in reliance on the report of Hoberman & Lesser, audited by PKF Xxxxxxxxxx LLP, an independent registered public accounting firm, as set forth in their report thereon, included therein, and incorporated herein by reference. Such consolidated financial statements are incorporated herein by reference in this Prospectus Supplement reliance upon such report given on the authority of such firm as experts in auditing accounting and accountingauditing. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE INFORMATION Available Information We have filed with the SEC a registration statement on Form S-3 under the Securities Act with respect are subject to the shares offered hereby. This Prospectus Supplement, which constitutes a part information requirements of the registration statement, does not contain all the information set forth in the registration statement or the exhibits and schedules filed therewithExchange Act that are applicable to foreign private issuers. For further information about us and our shares offered herebyAccordingly, we refer you are required to the registration statement and the exhibits and schedules filed thereto. Statements contained in this Prospectus Supplement regarding the contents of any contract or any other document that is filed as an exhibit to the registration statement are not necessarily complete, and each such statement is qualified in all respects by reference to the full text of such contract or other document filed as an exhibit to the registration statement. We are a reporting company and file annual, quarterly and current reports, proxy statements reports and other material information with the SEC. You may read and copy our reports, proxy statements and other information, including the registration statement annual reports on Form 20-F and disclosure furnished under cover of which this Prospectus Supplement is a part at the Public Reference Room of the SEC, 000 X Xxxxxx, X. X., Xxxx 0000, Xxxxxxxxxx X.X. 00000. You may obtain information on the operation of the public reference rooms by calling the SEC at 0Form 6-000-XXX-0000. K. The SEC also maintains an Internet a website (xxx.xxx.xxx) that contains reports, proxy statements reports and other information about regarding issuers, like such as us, that file electronically with the SEC. We also maintain a website (xxxxx://xxxxx.xx), from which you can access such reports and other information free of charge as soon as reasonably practicable after such material is electronically filed with, or furnished to, the SEC. As a foreign private issuer, we are exempt under the Exchange Act from rules prescribing the furnishing and content of proxy statements, and our officers, directors and principal shareholders are exempt from the reporting and short-swing profit recovery provisions contained in Section 16 of the Exchange Act. In addition, we are not required under the Exchange Act to file periodic financial statements with the SEC as frequently or as promptly as U.S. companies whose securities are registered under the Exchange Act. Incorporation by Reference The address of that site is xxx.xxx.xxx. The SEC allows SEC’s rules allow us to “incorporate by reference” information into this Prospectus Supplementprospectus, which means that we can disclose important information to you by referring you to another document filed separately with the SEC. The information incorporated by reference is deemed considered to be part of this Prospectus Supplementprospectus and any applicable prospectus, except for any and later information superseded by information in this Prospectus Supplement or any document that we file in the future with the SECSEC will automatically update and supersede this information. This Prospectus Supplement incorporates prospectus and any applicable prospectus supplement incorporate by reference the documents set forth below that we have previously been filed with the SEC and all (other than those documents or the portions of those documents that we file are “furnished” unless otherwise specified below): • the Company’s annual report on Form 20-F filed with the SEC under Sections on December 14, 2022; and • the description of the securities contained in Exhibit 2.5 to the Company’s annual report on Form 20-F filed with the SEC on December 14, 2022. All reports and other documents we subsequently file pursuant to Section 13(a), 13(c), 14 or 15(d) of the Exchange Act (other than any portion Act, prior to the termination of this offering, including all such documents we may file with the respective filings that are furnished pursuant to Item 2.02 or Item 7.01 of a Current Report on Form 8-K (including exhibits related thereto) or other applicable SEC rules, rather than filed) after the date of this Prospectus Supplement from their respective filing dates. These documents contain important information about us, our business the initial registration statement and our finances. Document Filed Annual Report on Form 10-K for prior to the year ended December 31, 2020 March 31, 2021 Current Reports on Form 8-K April 5, 2021 Description effectiveness of Common Shares contained in our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally or in writing, we will provide you with a copy of any or all documents which are incorporated by reference. Such documents will be provided to you free of chargethe registration statement, but excluding any information furnished to, rather than filed with, the SEC, will not contain any exhibits, unless those exhibits are specifically also be incorporated by reference into those this prospectus and deemed to be part of this prospectus from the date of the filing of such reports and documents. Requests should be addressed to Sachem Capital Corp.Any statement contained herein or in a document, 000 Xxxx Xxxxxx, Xxxxxxxx, Xxxxxxxxxxx 00000, Attention: Chief Financial Officer, telephone number (000) 000-0000. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees all or a portion of Debt Securities, Warrants and Units We may, from time to time, offer, in one which is incorporated or more series or classes, separately or together, and in amounts, at prices and on terms deemed to be set forth incorporated by reference herein, shall be deemed to be modified or superseded for purposes of this prospectus to the extent that a statement contained herein or in one any other subsequently filed document which also is or more supplements is deemed to be incorporated by reference herein modifies or supersedes such statement. Any such statement so modified or superseded shall not be deemed, except as so modified or superseded, to constitute a part of this prospectus. Notwithstanding the foregoing, the following securities: • common shares, par value $0.001 per share; • preferred shares, par value $0.001 per share; • warrants to purchase common shares no information is incorporated by reference in this prospectus or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more any prospectus supplement hereto where such information under applicable forms and regulations of the classes SEC is not deemed to be “filed” under Section 18 of securities listed above. We refer the Exchange Act or otherwise subject to the common sharesliabilities of that section, preferred shares, warrants, debt securities and units collectively as unless the report or filing containing such information indicates that the information therein is to be considered Securitiesfiledunder the Exchange Act or is to be incorporated by reference in this base prospectus. This base prospectus describes some of the general terms that may apply to the Securities and the general manner in which they may be offered. The specific terms of or any Securities to be offered, and the specific manner in which they may be offered will be set forth in the applicable prospectus supplement. The prospectus supplement will also contain information, where applicable, about the material federal income tax considerations relating to, and any listing on a securities exchange of, the Securities covered by such prospectus supplementhereto. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold Arqit Quantum Inc. Up to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe the terms of the plan of distribution and set forth the names of any agents, dealers or underwriters involved in the sale of the securities. See “Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACH.” On January 24, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.50,000,000 Ordinary Shares Prospectus Supplement X.X. Xxxxxxxxxx & Co.

Appears in 1 contract

Samples: ir.arqit.uk

EXPERTS. Our The consolidated financial statements as ofof ImmunityBio, and Inc. appearing in ImmunityBio, Inc.’s Annual Report (Form 10-K) for each of the years ended, year ended December 31, 2020 2021, and 2019 the effectiveness of ImmunityBio, Inc.’s internal control over financial reporting as of December 31, 2021 have been so included in reliance on the report of Hoberman audited by Xxxxx & Lesser, Young LLP, an independent registered public accounting firm, as set forth in their reports thereon, included therein, and incorporated herein by reference. Such consolidated financial statements are incorporated herein by reference in this Prospectus Supplement reliance upon such reports given on the authority of such firm as experts in auditing accounting and accountingauditing. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE We have filed with the SEC a registration statement on Form S-3 under the Securities Act with respect INFORMATION Because we are subject to the shares offered hereby. This Prospectus Supplement, which constitutes a part information and reporting requirements of the registration statement, does not contain all the information set forth in the registration statement or the exhibits and schedules filed therewith. For further information about us and our shares offered herebyExchange Act, we refer you to the registration statement and the exhibits and schedules filed thereto. Statements contained in this Prospectus Supplement regarding the contents of any contract or any other document that is filed as an exhibit to the registration statement are not necessarily complete, and each such statement is qualified in all respects by reference to the full text of such contract or other document filed as an exhibit to the registration statement. We are a reporting company and file annual, quarterly and current reports, proxy statements and other material information with the SEC. You may read Our SEC filings are available to the public over the Internet at the SEC’s website at xxxxx://xxx.xxx.xxx. In addition, our Annual Report on Form 10-K, Quarterly Reports on Form 10-Q, and copy our Current Reports on Form 8-K, including any amendments to those reports, proxy statements and other information, including the registration statement of which this Prospectus Supplement is a part at the Public Reference Room of the SEC, 000 X Xxxxxx, X. X., Xxxx 0000, Xxxxxxxxxx X.X. 00000. You may obtain information on the operation of the public reference rooms by calling the SEC at 0-000-XXX-0000. The SEC also maintains an Internet website that contains reports, proxy statements and other information about issuers, like us, that file electronically with the SEC. The address of that site is xxx.xxx.xxx. The SEC allows us to “incorporate by reference” information into this Prospectus Supplement, which means that we can disclose important information to you by referring you to another document filed separately with the SEC. The information incorporated by reference is deemed to be part of this Prospectus Supplement, except for any information superseded by information in this Prospectus Supplement or any document that we file in the future with the SEC. This Prospectus Supplement incorporates by reference the documents set forth below that we have previously filed with the SEC and all documents that we file with or furnish to the SEC under Sections pursuant to Section 13(a), 13(c), 14 ) or 15(d) of the Exchange Act (other than any portion can also be accessed free of charge through our website located at xxxxx://xxx.xxxxxxxxxxx.xxx. These filings will be available as soon as reasonably practicable after we electronically file such material with, or furnish it to, the respective filings that are furnished pursuant to Item 2.02 SEC. Information contained on or Item 7.01 of accessible through our website is not a Current Report on Form 8-K (including exhibits related thereto) or other applicable SEC rules, rather than filed) after the date part of this Prospectus Supplement from their respective filing dates. These documents contain important information about us, our business prospectus and our finances. Document Filed Annual Report on Form 10-K for the year ended December 31, 2020 March 31, 2021 Current Reports on Form 8-K April 5, 2021 Description of Common Shares contained in our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally or in writing, we will provide you with a copy of any or all documents which are incorporated by reference. Such documents will be provided to you free of charge, but will is not contain any exhibits, unless those exhibits are specifically incorporated by reference into those documents. Requests should be addressed to Sachem Capital Corp., 000 Xxxx Xxxxxx, Xxxxxxxx, Xxxxxxxxxxx 00000, Attention: Chief Financial Officer, telephone number (000) 000-0000. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees of Debt Securities, Warrants and Units We may, from time to time, offer, in one or more series or classes, separately or togetherherein, and in amounts, at prices the inclusion of our website address and on terms to be set forth in one or more supplements to this prospectus, the following securities: • common shares, par value $0.001 per share; • preferred shares, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more of the classes of securities listed above. We refer to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” SEC website address in this base prospectus are inactive textual references only. Information contained on our website is not part of this prospectus. This base prospectus describes some and any accompanying prospectus supplement are part of a registration statement on Form S-3 that we have filed with the SEC and do not contain all the information we have included in the registration statement and the accompanying exhibits and schedules we have filed with the SEC. Forms of the general terms that may apply to the Securities indenture and the general manner in which they may be offered. The specific terms of any Securities to be offered, and the specific manner in which they may be offered will be set forth in the applicable prospectus supplement. The prospectus supplement will also contain information, where applicable, about the material federal income tax considerations relating to, and any listing on a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe other documents establishing the terms of the plan of distribution offered securities are or may be filed as exhibits to the registration statement. Statements in this prospectus or any prospectus supplement about these documents are summaries and set forth each statement is qualified in all respects by reference to the names of any agentsdocument to which it refers. You should refer to the registration statement, dealers or underwriters involved in the sale of exhibits and schedules for a more complete description about us and the securities. See “Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of a prospectus supplement describing The registration statement, exhibits and schedules are available through the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACHSEC’s Internet site.” On January 24, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.

Appears in 1 contract

Samples: Nominating Agreement

EXPERTS. Ernst & Young LLP, independent registered public accounting firm, has audited our consolidated financial statements included in our Annual Report on Form 10‑K for the year ended December 31, 2016 as set forth in their report (which contains an explanatory paragraph describing conditions that raise substantial doubt about the Company’s ability to continue as a going concern as described in Note 2 to the consolidated financial statements), which is incorporated by reference in this prospectus supplement. Our financial statements are incorporated by reference in reliance on Ernst & Young LLP’s report, given on their authority as of, experts in accounting and auditing. The financial statements for each of the years ended, year ended December 31, 2020 and 2019 2014 incorporated in this prospectus supplement by reference to the Annual Report on Form 10‑K for the year ended December 31, 2016 have been so included incorporated in reliance on the report (which contains an explanatory paragraph relating to the Company’s ability to continue as a going concern as described in Note 2 to the financial statements) of Hoberman & Lesser, PricewaterhouseCoopers LLP, an independent registered public accounting firm, included in this Prospectus Supplement given on the authority of such said firm as experts in auditing and accounting. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE INFORMATION We have filed with the SEC a registration statement on Form S-3 under the Securities Act with respect to the shares offered hereby. This Prospectus Supplement, which constitutes a part of the registration statement, does not contain all the information set forth in the registration statement or the exhibits and schedules filed therewith. For further information about us and our shares offered hereby, we refer you to the registration statement and the exhibits and schedules filed thereto. Statements contained in this Prospectus Supplement regarding the contents of any contract or any other document that is filed as an exhibit to the registration statement are not necessarily complete, and each such statement is qualified in all respects by reference to the full text of such contract or other document filed as an exhibit to the registration statement. We are a reporting company and file annual, quarterly and current reports, proxy statements and other material information with the SEC. Our SEC filings are available to the public over the Internet at the SEC’s website at xxxx://xxx.xxx.xxx. Copies of certain information filed by us with the SEC are also available on our website at xxxx://xxx.xxxxxxxxxx.xxx. Our website is not a part of this prospectus supplement and is not incorporated by reference in this prospectus supplement. You may also read and copy our reports, proxy statements and other information, including any document we file with the registration statement of which this Prospectus Supplement is a part SEC at the SEC’s Public Reference Room of the SECRoom, 000 X Xxxxxx, X. X.X.X., Xxxx 0000Xxxxxxxxxx, Xxxxxxxxxx X.X. 00000. You may obtain Please call the SEC at 1‑800‑SEC‑0330 for further information on the operation of the public reference rooms by calling the SEC at 0-000-XXX-0000Public Reference Room. The SEC also maintains an Internet website This prospectus supplement is part of a registration statement that contains reports, proxy statements and other information about issuers, like us, that file electronically we filed with the SEC. The address of that site is xxx.xxx.xxxregistration statement contains more information than this prospectus supplement and the accompanying prospectus regarding us and the securities, including certain exhibits and schedules. The SEC allows us to “incorporate by reference” information into this Prospectus Supplement, which means that we You can disclose important information to you by referring you to another document filed separately with the SEC. The information incorporated by reference is deemed to be part of this Prospectus Supplement, except for any information superseded by information in this Prospectus Supplement or any document that we file in the future with the SEC. This Prospectus Supplement incorporates by reference the documents set forth below that we have previously filed with the SEC and all documents that we file with the SEC under Sections 13(a), 13(c), 14 or 15(d) of the Exchange Act (other than any portion of the respective filings that are furnished pursuant to Item 2.02 or Item 7.01 of a Current Report on Form 8-K (including exhibits related thereto) or other applicable SEC rules, rather than filed) after the date of this Prospectus Supplement from their respective filing dates. These documents contain important information about us, our business and our finances. Document Filed Annual Report on Form 10-K for the year ended December 31, 2020 March 31, 2021 Current Reports on Form 8-K April 5, 2021 Description of Common Shares contained in our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally or in writing, we will provide you with obtain a copy of any the registration statement from the SEC at the address listed above or all documents which are incorporated by reference. Such documents will be provided to you free of charge, but will not contain any exhibits, unless those exhibits are specifically incorporated by reference into those documents. Requests should be addressed to Sachem Capital Corp., 000 Xxxx Xxxxxx, Xxxxxxxx, Xxxxxxxxxxx 00000, Attention: Chief Financial Officer, telephone number (000) 000-0000. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees of Debt Securities, Warrants and Units We may, from time to time, offer, in one or more series or classes, separately or together, and in amounts, at prices and on terms to be set forth in one or more supplements to this prospectus, the following securities: • common shares, par value $0.001 per share; • preferred shares, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more of the classes of securities listed above. We refer to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” in this base prospectus. This base prospectus describes some of the general terms that may apply to the Securities and the general manner in which they may be offered. The specific terms of any Securities to be offered, and the specific manner in which they may be offered will be set forth in the applicable prospectus supplement. The prospectus supplement will also contain information, where applicable, about the material federal income tax considerations relating to, and any listing on a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe the terms of the plan of distribution and set forth the names of any agents, dealers or underwriters involved in the sale of the securities. See “Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACHSEC’s internet site.” On January 24, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.

Appears in 1 contract

Samples: Confidential Treatment (Senseonics Holdings, Inc.)

EXPERTS. Our The combined and consolidated financial statements as ofof Immunovant, and Inc. appearing in Immunovant, Inc.’s Annual Report (Form 10-K) for each of the years ended, December year ended March 31, 2020 and 2019 2020, have been so included in reliance on the report of Hoberman audited by Xxxxx & Lesser, Young LLP, an independent registered public accounting firm, as set forth in their report thereon included therein, and incorporated herein by reference. Such financial statements are, and audited financial statements to be included in this Prospectus Supplement subsequently filed documents will be, incorporated herein in reliance upon the report of Xxxxx & Young LLP pertaining to such financial statements (to the extent covered by consents filed with the Securities and Exchange Commission) given on the authority of such firm as experts in auditing accounting and accountingauditing. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE We have filed with ADDITIONAL INFORMATION This prospectus is part of the SEC a registration statement on Form S-3 we filed with the SEC under the Securities Act with respect to the shares offered hereby. This Prospectus Supplement, which constitutes a part of the registration statement, and does not contain all the information set forth or incorporated by reference in the registration statement. Whenever a reference is made in this prospectus to any of our contracts, agreements or other documents, the reference may not be complete and you should refer to the exhibits that are a part of the registration statement or the exhibits to the reports or other documents incorporated by reference into this prospectus for a copy of such contract, agreement or other document. Because we are subject to the information and schedules filed therewith. For further information about us and our shares offered herebyreporting requirements of the Exchange Act, we refer you to the registration statement and the exhibits and schedules filed thereto. Statements contained in this Prospectus Supplement regarding the contents of any contract or any other document that is filed as an exhibit to the registration statement are not necessarily complete, and each such statement is qualified in all respects by reference to the full text of such contract or other document filed as an exhibit to the registration statement. We are a reporting company and file annual, quarterly and current reports, proxy statements and other material information with the SEC. You may read Our SEC filings are available to the public over the Internet at the SEC’s website at xxxx://xxx.xxx.xxx. Our Annual Report on Form 10-K, Quarterly Reports on Form 10-Q and copy our Current Reports on Form 8-K, including any amendments to those reports, proxy statements and other information, including the registration statement of which this Prospectus Supplement is a part at the Public Reference Room of the SEC, 000 X Xxxxxx, X. X., Xxxx 0000, Xxxxxxxxxx X.X. 00000. You may obtain information on the operation of the public reference rooms by calling the SEC at 0-000-XXX-0000. The SEC also maintains an Internet website that contains reports, proxy statements and other information about issuers, like us, that file electronically with the SEC. The address of that site is xxx.xxx.xxx. The SEC allows us to “incorporate by reference” information into this Prospectus Supplement, which means that we can disclose important information to you by referring you to another document filed separately with the SEC. The information incorporated by reference is deemed to be part of this Prospectus Supplement, except for any information superseded by information in this Prospectus Supplement or any document that we file in the future with the SEC. This Prospectus Supplement incorporates by reference the documents set forth below that we have previously filed with the SEC and all documents that we file with or furnish to the SEC under Sections pursuant to Section 13(a), 13(c), 14 ) or 15(d) of the Exchange Act (other than any portion can also be accessed free of charge on the respective Media & Investor section of our website. These filings that are furnished pursuant to Item 2.02 will be available as soon as reasonably practicable after we electronically file such material with, or Item 7.01 of furnish it to, the SEC. Our website address is xxxx://xxx.xxxxxxxxxx.xxx. Information contained on or accessible through our website is not a Current Report on Form 8-K (including exhibits related thereto) or other applicable SEC rules, rather than filed) after the date part of this Prospectus Supplement from their respective filing dates. These documents contain important information about us, our business prospectus and our finances. Document Filed Annual Report on Form 10-K for the year ended December 31, 2020 March 31, 2021 Current Reports on Form 8-K April 5, 2021 Description of Common Shares contained in our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally or in writing, we will provide you with a copy of any or all documents which are incorporated by reference. Such documents will be provided to you free of charge, but will is not contain any exhibits, unless those exhibits are specifically incorporated by reference into those documents. Requests should be addressed to Sachem Capital Corp., 000 Xxxx Xxxxxx, Xxxxxxxx, Xxxxxxxxxxx 00000, Attention: Chief Financial Officer, telephone number (000) 000-0000. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees of Debt Securities, Warrants and Units We may, from time to time, offer, in one or more series or classes, separately or together, and in amounts, at prices and on terms to be set forth in one or more supplements to this prospectus, the following securities: • common shares, par value $0.001 per share; • preferred shares, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more of the classes of securities listed above. We refer to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” in this base prospectus. This base prospectus describes some of the general terms that may apply to the Securities and the general manner in which they may be offered. The specific terms of any Securities to be offeredherein, and the specific manner inclusion of our website address in which they may be offered will be set forth in the applicable this prospectus supplement. The prospectus supplement will also contain information, where applicable, about the material federal income tax considerations relating to, and any listing on a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe the terms of the plan of distribution and set forth the names of any agents, dealers or underwriters involved in the sale of the securities. See “Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACHan inactive textual reference only.” On January 24, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.

Appears in 1 contract

Samples: www.immunovant.com

EXPERTS. Our The consolidated financial statements as ofof December 31, 2017 and 2016 and for each of the three years ended, in the period ended December 31, 2020 2017 and 2019 management’s assessment of the effectiveness of internal control over financial reporting (which is included in Management’s Annual Report on Internal Control over Financial Reporting) as of December 31, 2017 included in the accompanying prospectus have been so included in reliance on the report of Hoberman & Lesser, PricewaterhouseCoopers LLP, an independent registered public accounting firm, included in this Prospectus Supplement given on the authority of such said firm as experts in auditing and accounting. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE AVAILABLE INFORMATION We have filed with the SEC a registration statement on Form S-3 N-2, together with all amendments and related exhibits, under the Securities Act Act, with respect to our securities offered by this prospectus supplement and the shares offered herebyaccompanying prospectus. This Prospectus Supplement, which constitutes a part of the registration statement, does not contain all the information set forth in the The registration statement or the exhibits and schedules filed therewith. For further contains additional information about us and our shares securities being offered hereby, we refer you to the registration statement by this prospectus supplement and the exhibits and schedules filed thereto. Statements contained in this Prospectus Supplement regarding the contents of any contract or any other document that is filed as an exhibit to the registration statement are not necessarily complete, and each such statement is qualified in all respects by reference to the full text of such contract or other document filed as an exhibit to the registration statementaccompanying prospectus. We are a reporting company and file annual, quarterly and current periodic reports, proxy statements and other material information with the SECSEC under the Exchange Act. You may read inspect and copy our these reports, proxy statements and other information, including as well as the registration statement of which this Prospectus Supplement is prospectus supplement and accompanying prospectus form a part and the related exhibits and schedules, at the Public Reference Room of the SEC, SEC at 000 X Xxxxxx, X. X.X.X., Xxxx 0000Washington, Xxxxxxxxxx X.X. 00000D.C. 20549-0102. You may obtain information on the operation of the public reference rooms Public Reference Room by calling the SEC at 0000-000-XXX-00000000. The SEC also maintains an Internet website that contains reports, proxy and information statements and other information about issuers, like us, that file filed electronically with the SEC. The address of that site is xxx.xxx.xxx. The SEC allows by us to “incorporate by reference” information into this Prospectus Supplement, which means that we can disclose important information to you by referring you to another document filed separately with the SEC. The information incorporated by reference is deemed to be part of this Prospectus Supplement, except for any information superseded by information in this Prospectus Supplement or any document that we file in the future with the SEC. This Prospectus Supplement incorporates by reference the documents set forth below that we have previously filed with the SEC which are available on the SEC’s Internet website at xxxx://xxx.xxx.xxx. Copies of these reports, proxy and all documents that we file with information statements and other information may be obtained, after paying a duplicating fee, by electronic request at the SEC under Sections 13(a)following E-mail address: xxxxxxxxxx@xxx.xxx, 13(c)or by writing the SEC’s Public Reference Section, 14 or 15(d) Washington, D.C. 20549-0102. INDEX TO FINANCIAL STATEMENTS UNAUDITED FINANCIAL STATEMENTS Consolidated Statements of the Exchange Act (other than any portion of the respective filings that are furnished pursuant to Item 2.02 or Item 7.01 of a Current Report on Form 8-K (including exhibits related thereto) or other applicable SEC rules, rather than filed) after the date of this Prospectus Supplement from their respective filing dates. These documents contain important information about us, our business and our finances. Document Filed Annual Report on Form 10-K Operations for the year three and six months ended June 30, 2018 and 2017 (unaudited) S-50 Consolidated Statements of Changes in Net Assets for the six months ended June 30, 2018 and 2017 (unaudited) S-51 Consolidated Statements of Cash Flows for the six months ended June 30, 2018 and 2017 (unaudited) S-52 Consolidated Schedule of Investments as of June 30, 2018 (unaudited) S-54 Consolidated Schedule of Investments as of December 31, 2020 March 2017 (unaudited) S-72 Notes to Consolidated Financial Statements (unaudited) S-89 HERCULES CAPITAL, INC. CONSOLIDATED STATEMENT OF ASSETS AND LIABILITIES (unaudited) (dollars in thousands, except per share data) June 30, 2018 December 31, 2021 Current Reports on Form 82017 Assets Investments: Non-K April 5control/Non-affiliate investments (cost of $1,614,160 and $1,506,454, 2021 Description respectively) $ 1,616,515 $ 1,491,458 Control investments (cost of Common Shares contained $59,337 and $25,419, respectively) 56,716 19,461 Affiliate investments (cost of $84,063 and $87,956, respectively) 28,705 31,295 Total investments in our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally or in writing, we will provide you with a copy of any or all documents which are incorporated by reference. Such documents will be provided to you free of charge, but will not contain any exhibits, unless those exhibits are specifically incorporated by reference into those documents. Requests should be addressed to Sachem Capital Corp., 000 Xxxx Xxxxxx, Xxxxxxxx, Xxxxxxxxxxx 00000, Attention: Chief Financial Officer, telephone number (000) 000-0000. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees of Debt Securities, Warrants and Units We may, from time to time, offer, in one or more series or classes, separately or together, and in amountssecurities, at prices value (cost of $1,757,560 and on terms to be set forth in one or more supplements to this prospectus$1,619,829, the following securitiesrespectively) 1,701,936 1,542,214 Cash and cash equivalents 59,461 91,309 Restricted cash 15,886 3,686 Interest receivable 14,408 12,262 Other assets 906 5,244 Total assets $ 1,792,597 $ 1,654,715 Liabilities Accounts payable and accrued liabilities $ 25,115 $ 26,896 SBA Debentures, net (principal of $190,200 and $190,200, respectively) (1) 188,457 188,141 2022 Notes, net (principal of $150,000 and $150,000, respectively) (1) 147,728 147,572 2024 Notes, net (principal of $83,510 and $183,510, respectively) (1) 81,694 179,001 2025 Notes, net (principal of $75,000 and $0, respectively) (1) 72,616 — 2021 Asset-Backed Notes, net (principal of $31,088 and $49,153, respectively) (1) 30,698 48,650 2022 Convertible Notes, net (principal of $230,000 and $230,000, respectively) (1) 224,269 223,488 Credit Facilities 58,323 — Total liabilities $ 828,900 $ 813,748 Net assets consist of: • common sharesCommon stock, par value 94 85 Capital in excess of par value 1,026,313 908,501 Unrealized appreciation (depreciation) on investments(2) (56,760) (79,760) Accumulated undistributed realized gains (losses) on investments (34,205) (20,374) Undistributed net investment income 28,255 32,515 Total net assets $ 963,697 $ 840,967 Total liabilities and net assets $ 1,792,597 $ 1,654,715 Shares of common stock outstanding ($0.001 par value, 200,000,000 authorized) 94,260 84,424 Net asset value per share; • preferred shares, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more of the classes of securities listed above. We refer to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” in this base prospectus. This base prospectus describes some of the general terms that may apply to the Securities and the general manner in which they may be offered. The specific terms of any Securities to be offered, and the specific manner in which they may be offered will be set forth in the applicable prospectus supplement. The prospectus supplement will also contain information, where applicable, about the material federal income tax considerations relating to, and any listing on a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe the terms of the plan of distribution and set forth the names of any agents, dealers or underwriters involved in the sale of the securities. See “Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACH.” On January 24, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.share $ 10.22 $ 9.96

Appears in 1 contract

Samples: investor.htgc.com

EXPERTS. Our The consolidated financial statements as ofof Sonoma Pharmaceuticals, and Inc. appearing in Sonoma Pharmaceuticals, Inc.’s annual report on Form 10-K for each of the years ended, December year ended March 31, 2020 and 2019 2021, filed on July 14, 2021, have been so included in reliance on the report of Hoberman & Lesser, audited by Marcum LLP, an independent registered public accounting firm, as set forth in their report included therein, and incorporated herein by reference. Such consolidated financial statements are incorporated herein by reference in this Prospectus Supplement reliance upon such report given on the authority of such firm as experts in auditing accounting and accountingauditing. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE INFORMATION We have filed with the SEC a registration statement on Form S-3 under the Securities Act with respect to the shares offered hereby. This Prospectus Supplement, which constitutes a part of the registration statement, does not contain all the information set forth in the registration statement or the exhibits and schedules filed therewith. For further information about us and our shares offered hereby, we refer you to the registration statement and the exhibits and schedules filed thereto. Statements contained in this Prospectus Supplement regarding the contents of any contract or any other document that is filed as an exhibit to the registration statement are not necessarily complete, and each such statement is qualified in all respects by reference to the full text of such contract or other document filed as an exhibit to the registration statement. We are a reporting company and file annual, quarterly and current reports, proxy statements and other material information with the SEC. You may read and copy our reports, proxy statements and other information, including the registration statement of which this Prospectus Supplement is a part at the Public Reference Room of the SEC, 000 X Xxxxxx, X. X., Xxxx 0000, Xxxxxxxxxx X.X. 00000. You may obtain information on the operation of the public reference rooms by calling the SEC at 0-000-XXX-0000. The SEC also maintains an Internet a website that contains reports, proxy and information statements and other information about issuersregarding companies, like ussuch as ours, that file documents electronically with the SEC. The address of that site is xxx.xxx.xxx. The SEC allows us to “incorporate by reference” information into this Prospectus Supplement, which means that we can disclose important information to you by referring you to another document filed separately with the SEC’s website is xxxx://xxx.xxx.xxx. The information incorporated by reference on the SEC’s website is deemed to be not part of this Prospectus Supplementprospectus, except for and any information superseded by information in references to this Prospectus Supplement website or any document other website are inactive textual references only. This prospectus is part of a registration statement on Form S-3 that we file in the future with the SEC. This Prospectus Supplement incorporates by reference the documents set forth below that we have previously filed with the SEC to register the securities to be offered hereby. This prospectus does not contain all of the information included in the registration statement, including certain exhibits and all documents that we file with schedules. You may obtain the registration statement and exhibits to the registration statement from the SEC under Sections 13(a)at the address listed above or from the SEC’s website listed above. In addition to the foregoing, 13(c), 14 or 15(d) we maintain a website at xxx.xxxxxxxxxxxx.xxx. Our website content is made available for informational purposes only. It should neither be relied upon for investment purposes nor is it incorporated by reference into this prospectus. We make available at xxx.xxxxxxxxxxxx.xxx copies of the Exchange Act (other than any portion of the respective filings that are furnished pursuant to Item 2.02 or Item 7.01 of a Current Report on Form 8-K (including exhibits related thereto) or other applicable SEC rules, rather than filed) after the date of this Prospectus Supplement from their respective filing dates. These documents contain important information about us, our business and our finances. Document Filed Annual Report Reports on Form 10-K for the year ended December 31K, 2020 March 31, 2021 Quarterly Reports on Form 10-Q and Current Reports on Form 8-K April 5, 2021 Description of Common Shares contained in our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally and any amendments to such document as soon as practicable after we electronically file such material with or in writing, we will provide you with a copy of any or all furnish such documents which are incorporated by reference. Such documents will be provided to you free of charge, but will not contain any exhibits, unless those exhibits are specifically incorporated by reference into those documents. Requests should be addressed to Sachem Capital Corp., 000 Xxxx Xxxxxx, Xxxxxxxx, Xxxxxxxxxxx 00000, Attention: Chief Financial Officer, telephone number (000) 000-0000. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees of Debt Securities, Warrants and Units We may, from time to time, offer, in one or more series or classes, separately or together, and in amounts, at prices and on terms to be set forth in one or more supplements to this prospectus, the following securities: • common shares, par value $0.001 per share; • preferred shares, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more of the classes of securities listed above. We refer to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” in this base prospectus. This base prospectus describes some of the general terms that may apply to the Securities and the general manner in which they may be offered. The specific terms of any Securities to be offered, and the specific manner in which they may be offered will be set forth in the applicable prospectus supplement. The prospectus supplement will also contain information, where applicable, about the material federal income tax considerations relating to, and any listing on a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe the terms of the plan of distribution and set forth the names of any agents, dealers or underwriters involved in the sale of the securities. See “Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACHSEC.” On January 24, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.

Appears in 1 contract

Samples: ir.sonomapharma.com

EXPERTS. Our The consolidated financial statements as ofof December 31, 2014 and 2013, and for each of the two years ended, in the period ended December 31, 2020 2014, and 2019 management’s assessment of the effectiveness of internal control over financial reporting as of December 31, 2014, incorporated by reference in this prospectus supplement have been so included incorporated in reliance on the report reports of Hoberman & LesserBDO USA, LLP, an independent registered public accounting firm, included in this Prospectus Supplement (the report on the consolidated financial statements contains an explanatory paragraph regarding the Company’s ability to continue as a going concern) incorporated herein by reference, given on the authority of such said firm as experts in auditing and accounting. WHERE CAN YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE We have filed with INFORMATION This prospectus supplement and the SEC accompanying prospectus are part of a registration statement on Form S-3 that we filed with the SEC under the Securities Act with respect to the shares offered herebyAct. This Prospectus Supplement, which constitutes a part prospectus supplement and the accompanying prospectus do not contain all of the information included in the registration statement. We have omitted certain parts of the registration statement, does not contain all statement in accordance with the information set forth in rules and regulations of the registration statement or the exhibits and schedules filed therewithSEC. For further information about us and our shares offered herebyinformation, we refer you to the registration statement and the statement, including its exhibits and schedules filed theretoschedules. Statements contained in this Prospectus Supplement regarding prospectus supplement and the accompanying prospectus about the provisions or contents of any contract contract, agreement or any other document that is filed as an exhibit referred to the registration statement are not necessarily complete, and each such statement is qualified in all respects by reference . Please refer to the full text actual exhibit for a more complete description of such contract or other document filed as an exhibit to the registration statementmatters involved. We are a reporting company and file annual, quarterly and current reports, proxy statements and other material information with the SEC. You may read and copy our reports, proxy statements and other informationOur SEC filings, including the registration statement of which this Prospectus Supplement is a part and exhibits, are available to the public at the Public Reference Room of SEC’s website at xxxx://xxx.xxx.xxx. You may also read, without charge, and copy the documents we file, at the SEC, ’s public reference rooms at 000 X Xxxxxx, X. X.X.X., Xxxx 0000, Xxxxxxxxxx Xxxxxxxxxx, X.X. 00000. You may obtain information on can request copies of these documents by writing to the operation of SEC and paying a fee for the public reference rooms by calling copying cost. Please call the SEC at 0-000-XXX-0000XXX-0000 for further information on the public reference rooms. The SEC also maintains We maintain an Internet website that contains reports, proxy statements and other information about issuers, like us, that file electronically with the SECsite at xxx.xxxxxxxxxxxx.xxx. The address of that site is xxx.xxx.xxx. The SEC allows us to “incorporate by reference” information into this Prospectus Supplement, which means that we can disclose important information to you by referring you to another document filed separately with the SEC. The information incorporated by reference is deemed to be part of this Prospectus Supplement, except for any information superseded by information in this Prospectus Supplement or any document that we file in the future with the SEC. This Prospectus Supplement incorporates by reference the documents set forth below that we We have previously filed with the SEC and all documents that we file with the SEC under Sections 13(a), 13(c), 14 or 15(d) of the Exchange Act (other than any portion of the respective filings that are furnished pursuant to Item 2.02 or Item 7.01 of a Current Report on Form 8-K (including exhibits related thereto) or other applicable SEC rules, rather than filed) after the date of this Prospectus Supplement from their respective filing dates. These documents contain important information about us, our business and our finances. Document Filed Annual Report on Form 10-K for the year ended December 31, 2020 March 31, 2021 Current Reports on Form 8-K April 5, 2021 Description of Common Shares contained in our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally or in writing, we will provide you with a copy of any or all documents which are incorporated by reference. Such documents will be provided to you free of charge, but will not contain any exhibits, unless those exhibits are specifically incorporated by reference into those documents. Requests should be addressed to Sachem Capital Corp., 000 Xxxx Xxxxxx, Xxxxxxxx, Xxxxxxxxxxx 00000, Attention: Chief Financial Officer, telephone number (000) 000-0000. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees of Debt Securities, Warrants and Units We may, from time to time, offer, in one this prospectus supplement or more series or classes, separately or togetherthe accompanying prospectus the information on our website, and in amounts, at prices and you should not consider any of the information posted on terms or hyper-linked to our website to be set forth in one or more supplements to a part of this prospectus, the following securities: • common shares, par value $0.001 per share; • preferred shares, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more of the classes of securities listed above. We refer to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” in this base prospectus. This base prospectus describes some of the general terms that may apply to the Securities and the general manner in which they may be offered. The specific terms of any Securities to be offered, and the specific manner in which they may be offered will be set forth in the applicable prospectus supplement. The prospectus supplement will also contain information, where applicable, about or the material federal income tax considerations relating to, and any listing on a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe the terms of the plan of distribution and set forth the names of any agents, dealers or underwriters involved in the sale of the securities. See “Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACHaccompanying prospectus.” On January 24, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.

Appears in 1 contract

Samples: Prospectus Supplement

EXPERTS. Our The financial statements as of, and for each management’s assessment of the years ended, effectiveness of internal control over financial reporting (which is included in Management’s Report on Internal Control over Financial Reporting) incorporated in this Prospectus by reference to the Annual Report on Form 20-F for the year ended December 31, 2020 and 2019 2020, have been so included incorporated in reliance on the report of Hoberman Xxxxxxxxx & LesserXxxxxxxxx, LLPCertified Public Accountants (Isr.), a member firm of PricewaterhouseCoopers International Limited, an independent registered public accounting firm, included in this Prospectus Supplement given on the authority of such said firm as experts in auditing and accounting. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE INFORMATION We have filed with the SEC a registration statement on Form S-3 F-3 under the Securities Act Act, with respect to the shares securities offered herebyby this prospectus. This Prospectus SupplementHowever, as is permitted by the rules and regulations of the SEC, this prospectus, which constitutes a is part of the our registration statementstatement on Form F-3, does not contain all the information omits certain non-material information, exhibits, schedules and undertakings set forth in the registration statement or the exhibits and schedules filed therewithstatement. For further information about us and our shares offered herebyus, we refer you to the registration statement and the exhibits and schedules filed thereto. Statements contained in securities offered by this Prospectus Supplement regarding the contents of any contract or any other document that is filed as an exhibit to the registration statement are not necessarily completeprospectus, and each such statement is qualified in all respects by reference to the full text of such contract or other document filed as an exhibit please refer to the registration statement. We are subject to the reporting requirements of the Exchange Act that are applicable to a reporting company and foreign private issuer. In accordance with the Exchange Act, we file annual, quarterly and current reports, proxy statements and other material with the SECincluding annual reports on Form 20-F by April 30 of each year. You may read and copy our reports, proxy statements and other information, including the registration statement of which this Prospectus Supplement is a part at the Public Reference Room of the SEC, 000 X Xxxxxx, X. X., Xxxx 0000, Xxxxxxxxxx X.X. 00000. You may obtain information on the operation of the public reference rooms by calling We also furnish to the SEC at 0under cover of Form 6-000-XXX-0000K material information filed with and made public by any stock exchange or distributed by us to our shareholders. The SEC also maintains an Internet website site that contains reports, proxy statements and information statements, and other information about regarding issuers, like such as us, that file electronically with the SECSEC (xxxx://xxx.xxx.xxx). The address These SEC filings are also available to the public from commercial document retrieval services. As a foreign private issuer, we are exempt from the rules under the Exchange Act prescribing the furnishing and content of that site is xxx.xxx.xxx. The SEC allows us proxy statements to shareholders and our officers, directors and principal shareholders are exempt from the incorporate by referenceshort-swing profitsinformation into this Prospectus Supplement, which means that we can disclose important information to you by referring you to another document filed separately with the SEC. The information incorporated by reference is deemed to be part of this Prospectus Supplement, except for any information superseded by information reporting and liability provisions contained in this Prospectus Supplement or any document that we file in the future with the SEC. This Prospectus Supplement incorporates by reference the documents set forth below that we have previously filed with the SEC and all documents that we file with the SEC under Sections 13(a), 13(c), 14 or 15(d) Section 16 of the Exchange Act (other than any portion of the respective filings that are furnished pursuant to Item 2.02 or Item 7.01 of a Current Report on Form 8-K (including exhibits and related thereto) or other applicable SEC Exchange Act rules, rather than filed) after the date of this Prospectus Supplement from their respective filing dates. These documents contain important information about us, our business and our finances. Document Filed Annual Report on Form 10-K for the year ended December 31, 2020 March 31, 2021 Current Reports on Form 8-K April 5, 2021 Description of Common Shares contained in our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally or in writing, we will provide you with a copy of any or all documents which are incorporated by reference. Such documents will be provided to you free of charge, but will not contain any exhibits, unless those exhibits are specifically incorporated by reference into those documents. Requests should be addressed to Sachem Capital Corp., 000 Xxxx Xxxxxx, Xxxxxxxx, Xxxxxxxxxxx 00000, Attention: Chief Financial Officer, telephone number (000) 000-0000. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees of Debt Securities, Warrants and Units We may, from time to time, offer, in one or more series or classes, separately or together, and in amounts, at prices and on terms to be set forth in one or more supplements to this prospectus, the following securities: • common shares, par value $0.001 per share; • preferred shares, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more of the classes of securities listed above. We refer to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” in this base prospectus. This base prospectus describes some of the general terms that may apply to the Securities and the general manner in which they may be offered. The specific terms of any Securities to be offered, and the specific manner in which they may be offered will be set forth in the applicable prospectus supplement. The prospectus supplement will also contain information, where applicable, about the material federal income tax considerations relating to, and any listing on a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe the terms of the plan of distribution and set forth the names of any agents, dealers or underwriters involved in the sale of the securities. See “Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACH.” On January 24, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.

Appears in 1 contract

Samples: d18rn0p25nwr6d.cloudfront.net

EXPERTS. Our The consolidated financial statements as ofof December 31, 2013 and 2012 and for each of the three years ended, in the period ended December 31, 2020 2013 and 2019 management’s assessment of the effectiveness of internal control over financial reporting (which is included in Management’s Report on Internal Control over Financial Reporting) as of December 31, 2013 included in the accompanying prospectus have been so included in reliance on the report of Hoberman & Lesser, PricewaterhouseCoopers LLP, an independent registered public accounting firm, included in this Prospectus Supplement given on the authority of such said firm as experts in auditing and accounting. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE AVAILABLE INFORMATION We have filed with the SEC a registration statement on Form S-3 N-2, together with all amendments and related exhibits, under the Securities Act Act, with respect to our securities offered by this prospectus supplement and the shares offered herebyaccompanying prospectus. This Prospectus Supplement, which constitutes a part of the registration statement, does not contain all the information set forth in the The registration statement or the exhibits and schedules filed therewith. For further contains additional information about us and our shares securities being offered hereby, we refer you to the registration statement by this prospectus supplement and the exhibits and schedules filed thereto. Statements contained in this Prospectus Supplement regarding the contents of any contract or any other document that is filed as an exhibit to the registration statement are not necessarily complete, and each such statement is qualified in all respects by reference to the full text of such contract or other document filed as an exhibit to the registration statementaccompanying prospectus. We are a reporting company and file annual, quarterly and current periodic reports, proxy statements and other material information with the SECSEC under the Exchange Act. You may read inspect and copy our these reports, proxy statements and other information, including as well as the registration statement of which this Prospectus Supplement is prospectus supplement and accompanying prospectus form a part and the related exhibits and schedules, at the Public Reference Room of the SEC, SEC at 000 X Xxxxxx, X. X.X.X., Xxxx 0000Xxxxxxxxxx, Xxxxxxxxxx X.X. 00000-0000. You may obtain information on the operation of the public reference rooms Public Reference Room by calling the SEC at 0000-000-XXX-00000000. The SEC also maintains an Internet website that contains reports, proxy and information statements and other information about issuers, like us, that file filed electronically with the SEC. The address of that site is xxx.xxx.xxx. The SEC allows by us to “incorporate by reference” information into this Prospectus Supplement, which means that we can disclose important information to you by referring you to another document filed separately with the SEC. The information incorporated by reference is deemed to be part of this Prospectus Supplement, except for any information superseded by information in this Prospectus Supplement or any document that we file in the future with the SEC. This Prospectus Supplement incorporates by reference the documents set forth below that we have previously filed with the SEC and all documents that we file with the SEC under Sections 13(a), 13(c), 14 or 15(d) of the Exchange Act (other than any portion of the respective filings that are furnished pursuant to Item 2.02 or Item 7.01 of a Current Report on Form 8-K (including exhibits related thereto) or other applicable SEC rules, rather than filed) after the date of this Prospectus Supplement from their respective filing dates. These documents contain important information about us, our business and our finances. Document Filed Annual Report on Form 10-K for the year ended December 31, 2020 March 31, 2021 Current Reports on Form 8-K April 5, 2021 Description of Common Shares contained in our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally or in writing, we will provide you with a copy of any or all documents which are incorporated available on the SEC’s Internet website at xxxx://xxx.xxx.xxx. Copies of these reports, proxy and information statements and other information may be obtained, after paying a duplicating fee, by referenceelectronic request at the following E-mail address: xxxxxxxxxx@xxx.xxx, or by writing the SEC’s Public Reference Section, Washington, D.C. 20549-0102. Such documents will be provided $400,000,000 Common Stock Preferred Stock Warrants Subscription Rights Debt Securities This prospectus relates to you free of charge, but will not contain any exhibits, unless those exhibits are specifically incorporated by reference into those documents. Requests should be addressed to Sachem Capital Corp., 000 Xxxx Xxxxxx, Xxxxxxxx, Xxxxxxxxxxx 00000, Attention: Chief Financial Officer, telephone number (000) 000-0000. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees of Debt Securities, Warrants and Units We maythe offer, from time to time, offer, in one or more series offerings or classesseries, separately up to $400,000,000 of shares of our common stock, par value $0.001 per share, preferred stock, par value $0.001 per share, warrants representing rights to purchase shares of our common stock, preferred stock or togetherdebt securities, subscription rights or debt securities, which we refer to, collectively, as the “securities.” The preferred stock, debt securities, subscription rights and warrants offered hereby may be convertible or exchangeable into shares of our common stock. We may sell our securities through underwriters or dealers, “at-the-market” to or through a market maker into an existing trading market or otherwise directly to one or more purchasers, including existing stockholders in amountsa rights offering, at prices and on terms to or through agents or through a combination of methods of sale, including auctions. The identities of such underwriters, dealers, market makers or agents, as the case may be, will be set forth described in one or more supplements to this prospectus, the following securities: • common shares, par value $0.001 per share; • preferred shares, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more of the classes of securities listed above. We refer to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” in this base prospectus. This base prospectus describes some of the general terms that may apply to the Securities and the general manner in which they may be offered. The specific terms of any Securities to be offered, and the specific manner in which they securities may be offered will at prices and on terms to be set forth described in the applicable prospectus supplement. The prospectus supplement will also contain information, where applicable, about the material federal income tax considerations relating to, and any listing on a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriterssupplements to this prospectus. Although we are not currently authorized to issue shares of our common stock at a price below our net asset value per share, dealers we may seek stockholder approval of this proposal again at a special meeting of stockholders or our next annual meeting of stockholders. Our Board of Directors, subject to its fiduciary duties and agentsregulatory requirements, or directly has the discretion to purchasers, on a continuous or delayed basis. The prospectus supplement will describe determine the terms amount of the plan of distribution discount, and set forth the names of any agents, dealers or underwriters involved in the sale of the securities. See “Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of as a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACH.” On January 24, 2020result, the closing sale discount could be up to 100% of net asset value per share. Sales of common stock at prices below net asset value per share dilute the interests of existing stockholders, have the effect of reducing our net asset value per share and may reduce our market price of the common shares on NYSE American was $4.34 per share. In additionthe event we offer common stock, the offering price per share will not be less than the net asset value per share of our common stock at the time we have two series of five-year unsecured unsubordinated notes listed upon make the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.offering except (1) in connection with a rights offering to our existing stockholders,

Appears in 1 contract

Samples: investor.htgc.com

EXPERTS. Our The consolidated financial statements as ofof Akoustis Technologies, Inc. and its wholly-owned subsidiary included in the Company’s Annual Report on Form 10-K for each of the years endedfiscal year ended June 30, December 31, 2020 2019 and 2019 the Company’s internal control over financial reporting have been so included in reliance on the report of Hoberman & Lesser, audited by Marcum LLP, an independent registered public accounting firm, included as stated in this Prospectus Supplement given on its report which is incorporated by reference herein, and has been so incorporated in reliance upon such report and upon the authority of such firm as experts in auditing accounting and accountingauditing. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE INFORMATION We have filed with the SEC a registration statement on Form S-3 under the Securities Act with respect to the shares offered hereby. This Prospectus Supplement, which constitutes a part of the registration statement, does not contain all the information set forth in the registration statement or the exhibits and schedules filed therewith. For further information about us and our shares offered hereby, we refer you to the registration statement and the exhibits and schedules filed thereto. Statements contained in this Prospectus Supplement regarding the contents of any contract or any other document that is filed as an exhibit to the registration statement are not necessarily complete, and each such statement is qualified in all respects by reference to the full text of such contract or other document filed as an exhibit to the registration statement. We are a reporting company and file annualannual reports, quarterly and reports, current reports, proxy statements and other material information with the SECSEC under the Exchange Act. You may can read and copy our reports, proxy statements and other informationSEC filings, including the registration statement of which this Prospectus Supplement is a part statement, at the Public Reference Room of the SEC’s website at xxx.xxx.xxx, 000 X Xxxxxx, X. X., Xxxx 0000, Xxxxxxxxxx X.X. 00000. You may obtain information on the operation of the public reference rooms by calling the SEC at 0-000-XXX-0000. The SEC also maintains an Internet website that which contains reports, proxy and information statements and other information about issuers, like us, regarding issuers that file electronically with the SEC. The address of that Our web site is xxx.xxx.xxxlocated at xxx.xxxxxxxx.xxx. The information contained on, or that may be obtained from, our website is not, and shall not be deemed to be, a part of this prospectus. We will provide, upon written or oral request, without charge to you, including any beneficial owner to whom this prospectus is delivered, a copy of any or all of the documents incorporated herein by reference other than the exhibits to those documents, unless the exhibits are specifically incorporated by reference into the information that this prospectus incorporates. You should direct a request for copies to Akoustis Technologies, Inc., 0000 Xxxxxxxxxx Xxxxxx Xxxxx, Xxxxx X, Xxxxxxxxxxxx, Xxxxx Xxxxxxxx 00000; Telephone: (000) 000-0000. The SEC allows permits us to “incorporate by reference” the information into this Prospectus Supplement, which and reports we file with it. This means that we can disclose important information to you by referring you to another document filed separately with the SECdocument. The information incorporated that we incorporate by reference is deemed considered to be part of this Prospectus Supplementprospectus, except for any and later information superseded by information in this Prospectus Supplement or any document that we file in the future with the SEC. This Prospectus Supplement incorporates by reference the documents set forth below that we have previously filed with the SEC and all documents that we file with the SEC automatically updates and supersedes this information. We incorporate by reference the documents listed below, except to the extent information in those documents is different from the information contained in this prospectus, and all future documents filed with the SEC under Sections 13(a), 13(c), 14, or 15(d) of the Exchange Act until we terminate the offering of these securities: ● Our Annual Report on Form 10-K for the fiscal year ended June 30, 2019, which was filed on September 13, 2019; ● Our Quarterly Reports on Form 10-Q for the quarterly period ended September 30, 2019, which was filed on November 7, 2019, for the quarterly period ended December 31, 2019, which was filed on January 31, 2020, and for the quarterly period ended March 31, 2020, which was filed onMay 1, 2020; ● Our Current Reports on Form 8-K filed onOctober 29, 2019, November 6, 2019, December 16, 2019, April 21, 2020 and May 8, 2020; ● The information specifically incorporated by reference into our Annual Report on Form 10-K for the fiscal year ended June 30, 2019 from our definitive proxy statement on Schedule 14A (other than information furnished rather than filed), filed with the SEC on September 24, 2019; and ● The description of our common stock contained in our Registration Statement on Form 8-A (File No. 001-38029) filed with the SEC on March 10, 2017, including any amendment or report filed for the purpose of updating such description. We also incorporate by reference any future filings made with the SEC pursuant to Sections 13(a), 13(c), 14 or 15(d) of the Exchange Act (other than any portion of the respective filings that are furnished pursuant to Item 2.02 Act, including those made on or Item 7.01 of a Current Report on Form 8-K (including exhibits related thereto) or other applicable SEC rules, rather than filed) after the date of the initial filing of the registration statement of which this Prospectus Supplement prospectus is a part and prior to effectiveness of such registration statement, until we file a post- effective amendment that indicates the termination of the offering of the securities made by this prospectus and will become a part of this prospectus from their respective filing datesthe date that such documents are filed with the SEC. These documents contain important Information in such future filings updates and supplements the information about usprovided in this prospectus. Any statements in any such future filings will automatically be deemed to modify and supersede any information in any document we previously filed with the SEC that is incorporated or deemed to be incorporated herein by reference to the extent that statements in the later filed document modify or replace such earlier statements. We will furnish without charge to you, our business and our finances. Document Filed Annual Report on Form 10-K for the year ended December 31, 2020 March 31, 2021 Current Reports on Form 8-K April 5, 2021 Description of Common Shares contained in our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your written or oral request, either orally or in writing, we will provide you with a copy of any or all of the documents which are incorporated by reference. Such documents will be provided , including exhibits to you free of charge, but will not contain any exhibits, unless those exhibits are specifically incorporated by reference into those these documents. Requests You should be addressed to Sachem Capital Corp.direct any requests for documents to: Akoustis Technologies, 000 Xxxx XxxxxxInc. 0000 Xxxxxxxxxx Xxxxxx Xxxxx, XxxxxxxxXxxxx X Xxxxxxxxxxxx, Xxxxxxxxxxx 00000, Xxxxx Xxxxxxxx 00000 Attention: Chief Financial Officer, telephone number Corporate Secretary Telephone: (000) 000-0000. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees of Debt Securities, Warrants and Units We may, from time to time, offer, in one or more series or classes, separately or together, and in amounts, at prices and on terms to be set forth in one or more supplements to this prospectus, the following securities: • common shares, par value $0.001 per share; • preferred shares, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more 0000 Copies of the classes of securities listed aboveabove reports may also be accessed from our website at xx.xxxxxxxx.xxx/xxx-xxxxxxx. We refer have authorized no one to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” provide you with any information that differs from that contained in this prospectus supplement. Accordingly, you should not rely on any information that is not contained or incorporated by reference in this prospectus supplement and the accompanying base prospectus. This base You should not assume that the information in this prospectus describes some supplement is accurate as of any date other than the date of the general terms that may apply to the Securities and the general manner in which they may be offered. The specific terms front cover of any Securities to be offered, and the specific manner in which they may be offered will be set forth in the applicable this prospectus supplement. The prospectus supplement will also contain information, where applicable, about the material federal income tax considerations relating to, and any listing on a securities exchange of, the Common Stock Having an Aggregate Offering Price of up to $50,000,000 PROSPECTUS SUPPLEMENT BofA Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe the terms of the plan of distribution and set forth the names of any agents, dealers or underwriters involved in the sale of the securities. See “Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACH.” On January 24, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.Xxxxx Xxxxxxx

Appears in 1 contract

Samples: ir.akoustis.com

EXPERTS. Our financial statements The audited consolidated balance sheets as ofof September 30, 2014, and the related consolidated statements of income and comprehensive income, shareholders’ equity, and cash flows for each of the years endedyear ended September 30, December 31, 2020 and 2019 have 2014 incorporated herein by reference from the Company’s Annual Reports on Form 10-K has been so included in reliance on the report of Hoberman audited by Xxxxx & LesserChia, LLP, an independent registered public accounting firm, included as stated in this Prospectus Supplement given on its report, which is incorporated by reference and has been so incorporated in reliance upon the authority report of such firm given upon its authority as experts in auditing accounting and accountingauditing. The audited consolidated balance sheets as of September 30, 2013, and the related consolidated statements of income and comprehensive income, shareholders’ equity, and cash flows for the year ended September 30, 2013 incorporated herein by reference from the Company’s Annual Reports on Form 10-K has been audited by Xxxxxx and Company, Inc. an independent registered public accounting firm, as stated in its report, which is incorporated by reference and has been so incorporated in reliance upon the report of such firm given upon its authority as experts in accounting and auditing. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE ADDITIONAL INFORMATION ABOUT US We have filed with the SEC a registration statement on Form S-3 under with the Securities Act with respect to SEC for the shares offered herebysecurities we are offering by this prospectus. This Prospectus Supplement, which constitutes a part prospectus does not include all of the information contained in the registration statement, does not contain all the information set forth in the registration statement or the exhibits and schedules filed therewith. For further information about us and our shares offered hereby, we You should refer you to the registration statement and the its exhibits and schedules filed theretofor additional information. Statements contained in this Prospectus Supplement regarding the contents We will provide to each person, including any beneficial owner, to whom a prospectus is delivered, a copy of any contract or any other document all of the information that is filed as an exhibit has been incorporated by reference in the prospectus but not delivered with the prospectus. We will provide this information upon oral or written request, free of charge. Any requests for this information should be made by calling or sending a letter to the registration statement are not necessarily completeSecretary of the Company, and each such statement is qualified in all respects by reference to c/o LiveDeal, Inc., at the full text of such contract or other document filed as an exhibit to the registration statementCompany’s office. We are a reporting company required to file annual and file annualquarterly reports, quarterly and current reports, proxy statements statements, and other material information with the SEC. We make these documents publicly available, free of charge, on our website at xxx.xxxxxxx.xxx as soon as reasonably practicable after filing such documents with the SEC. You can read our SEC filings, including the registration statement, on the SEC’s website at xxxx://xxx.xxx.xxx. You also may read and copy our reports, proxy statements and other information, including any document we file with the registration statement of which this Prospectus Supplement is a part SEC at the its public reference facility at: Public Reference Room of the SEC, 000 X XxxxxxXxxxxx X.X. Washington, X. X., Xxxx 0000, Xxxxxxxxxx X.X. 00000DC 20549. You may obtain Please call the SEC at 0-000-XXX-0000 for further information on the operation of the public reference rooms by calling the SEC at 0-000-XXX-0000. The SEC also maintains an Internet website that contains reports, proxy statements and other information about issuers, like us, that file electronically with the SEC. The address of that site is xxx.xxx.xxx. The SEC allows us to “incorporate by reference” information into this Prospectus Supplement, which means that we can disclose important information to you by referring you to another document filed separately with the SEC. The information incorporated by reference is deemed to be part of this Prospectus Supplement, except for any information superseded by information in this Prospectus Supplement or any document that we file in the future with the SEC. This Prospectus Supplement incorporates by reference the documents set forth below that we have previously filed with the SEC and all documents that we file with the SEC under Sections 13(a), 13(c), 14 or 15(d) of the Exchange Act (other than any portion of the respective filings that are furnished pursuant to Item 2.02 or Item 7.01 of a Current Report on Form 8-K (including exhibits related thereto) or other applicable SEC rules, rather than filed) after the date of this Prospectus Supplement from their respective filing dates. These documents contain important information about us, our business and our finances. Document Filed Annual Report on Form 10-K for the year ended December 31, 2020 March 31, 2021 Current Reports on Form 8-K April 5, 2021 Description of Common Shares contained in our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally or in writing, we will provide you with a copy of any or all documents which are incorporated by reference. Such documents will be provided to you free of charge, but will not contain any exhibits, unless those exhibits are specifically incorporated by reference into those documents. Requests should be addressed to Sachem Capital Corp., 000 Xxxx Xxxxxx, Xxxxxxxx, Xxxxxxxxxxx 00000, Attention: Chief Financial Officer, telephone number (000) 000-0000. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees of Debt Securities, Warrants and Units We may, from time to time, offer, in one or more series or classes, separately or together, and in amounts, at prices and on terms to be set forth in one or more supplements to this prospectus, the following securities: • common shares, par value $0.001 per share; • preferred shares, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more of the classes of securities listed above. We refer to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” in this base prospectus. This base prospectus describes some of the general terms that may apply to the Securities and the general manner in which they may be offered. The specific terms of any Securities to be offered, and the specific manner in which they may be offered will be set forth in the applicable prospectus supplement. The prospectus supplement will also contain information, where applicable, about the material federal income tax considerations relating to, and any listing on a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe the terms of the plan of distribution and set forth the names of any agents, dealers or underwriters involved in the sale of the securities. See “Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACHfacilities.” On January 24, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.

Appears in 1 contract

Samples: ir.liveventures.com

EXPERTS. Our The consolidated financial statements as ofof December 31, 2012 and 2011 and for each of the three years ended, in the period ended December 31, 2020 2012 and 2019 management’s assessment of the effectiveness of internal control over financial reporting (which is included in Management’s Report on Internal Control over Financial Reporting) as of December 31, 2012 included in the accompanying prospectus have been so included in reliance on the report of Hoberman & Lesser, PricewaterhouseCoopers LLP, an independent registered public accounting firm, included in this Prospectus Supplement given on the authority of such said firm as experts in auditing and accounting. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE AVAILABLE INFORMATION We have filed with the SEC a registration statement on Form S-3 N-2, together with all amendments and related exhibits, under the Securities Act Act, with respect to our securities offered by this prospectus supplement and the shares offered herebyaccompanying prospectus. This Prospectus Supplement, which constitutes a part of the registration statement, does not contain all the information set forth in the The registration statement or the exhibits and schedules filed therewith. For further contains additional information about us and our shares securities being offered hereby, we refer you to the registration statement by this prospectus supplement and the exhibits and schedules filed thereto. Statements contained in this Prospectus Supplement regarding the contents of any contract or any other document that is filed as an exhibit to the registration statement are not necessarily complete, and each such statement is qualified in all respects by reference to the full text of such contract or other document filed as an exhibit to the registration statementaccompanying prospectus. We are a reporting company and file annual, quarterly and current periodic reports, proxy statements and other material information with the SECSEC under the Exchange Act. You may read inspect and copy our these reports, proxy statements and other information, including as well as the registration statement of which this Prospectus Supplement is prospectus supplement and accompanying prospectus form a part and the related exhibits and schedules, at the Public Reference Room of the SEC, SEC at 000 X Xxxxxx, X. X.X.X., Xxxx 0000Xxxxxxxxxx, Xxxxxxxxxx X.X. 00000-0000. You may obtain information on the operation of the public reference rooms Public Reference Room by calling the SEC at 0000-000-XXX-00000000. The SEC also maintains an Internet website that contains reports, proxy and information statements and other information about issuers, like us, that file filed electronically with the SEC. The address of that site is xxx.xxx.xxx. The SEC allows by us to “incorporate by reference” information into this Prospectus Supplement, which means that we can disclose important information to you by referring you to another document filed separately with the SEC. The information incorporated by reference is deemed to be part of this Prospectus Supplement, except for any information superseded by information in this Prospectus Supplement or any document that we file in the future with the SEC. This Prospectus Supplement incorporates by reference the documents set forth below that we have previously filed with the SEC which are available on the SEC’s Internet website at xxxx://xxx.xxx.xxx. Copies of these reports, proxy and all documents that we file with information statements and other information may be obtained, after paying a duplicating fee, by electronic request at the SEC under Sections 13(a)following E-mail address: xxxxxxxxxx@xxx.xxx, 13(c)or by writing the SEC’s Public Reference Section, 14 or 15(dWashington, D.C. 20549-0102. INDEX TO FINANCIAL STATEMENTS UNAUDITED CONSOLIDATED INTERIM FINANCIAL STATEMENTS Consolidated Schedule of Investments as of June 30, 2013 (unaudited) of the Exchange Act S-60 HERCULES TECHNOLOGY GROWTH CAPITAL, INC. CONSOLIDATED STATEMENT OF ASSETS AND LIABILITIES (other than any portion of the respective filings that are furnished pursuant to Item 2.02 or Item 7.01 of a Current Report on Form 8-K unaudited) (including exhibits related theretodollars in thousands, except per share data) or other applicable SEC rulesJune 30, rather than filed) after the date of this Prospectus Supplement from their respective filing dates. These documents contain important information about us, our business and our finances. Document Filed Annual Report on Form 10-K for the year ended 2013 December 31, 2020 March 312012 Assets Investments: Non-control/Non-affiliate investments (cost of $1,032,780 and $896,031, 2021 Current Reports on Form 8-K April 5respectively) $ 1,027,555 $ 894,428 Affiliate investments (cost of $17,222 and $18,307, 2021 Description of Common Shares contained in our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally or in writing, we will provide you with a copy of any or all documents which are incorporated by reference. Such documents will be provided to you free of charge, but will not contain any exhibits, unless those exhibits are specifically incorporated by reference into those documents. Requests should be addressed to Sachem Capital Corp., 000 Xxxx Xxxxxx, Xxxxxxxx, Xxxxxxxxxxx 00000, Attention: Chief Financial Officer, telephone number (000respectively) 000-0000. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees of Debt Securities, Warrants and Units We may, from time to time, offer, in one or more series or classes, separately or together, and in amounts13,565 11,872 Total investments, at prices value (cost of $1,050,002 and on terms to be set forth in one or more supplements to this prospectus$914,338, the following securitiesrespectively) 1,041,120 906,300 Cash and cash equivalents 133,944 182,994 Restricted Cash 1,658 — Interest receivable 10,245 9,635 Other assets 23,886 24,714 Total assets $ 1,210,853 $ 1,123,643 Liabilities Accounts payable and accrued liabilities $ 11,402 $ 11,575 Long-term Liabilities (Convertible Senior Note) 71,977 71,436 Asset-Backed Notes 110,270 129,300 2019 Notes 170,364 170,364 Long-term SBA Debentures 225,000 225,000 Total liabilities $ 589,013 $ 607,675 Commitments and Contingencies (Note 9) Net assets consist of: • common sharesCommon stock, par value 62 53 Capital in excess of par value 662,818 564,508 Unrealized depreciation on investments and other assets (7,204) (7,947) Accumulated realized losses on investments (32,732) (36,916) Distributions in excess of investment income (1,104) (3,730) Total net assets $ 621,840 $ 515,968 Total liabilities and net assets $ 1,210,853 $ 1,123,643 Shares of common stock outstanding ($0.001 par value, 100,000,000 authorized) 61,637 52,925 Net asset value per share; • preferred shares, par value $0.001 per share; • warrants share $ 10.09 $ 9.75 See notes to purchase common shares or preferred shares; • debt securities; • guarantees consolidated financial statements. The following table presents the assets and liabilities of debt securities; or • units consisting of two or more our consolidated variable interest entity (“VIE”). The assets of the classes of securities listed above. We refer VIE can only be used to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” in this base prospectus. This base prospectus describes some settle obligations of the general terms that may apply to the Securities and the general manner in which they may be offered. The specific terms of any Securities to be offeredconsolidated VIE, and the specific manner in which they may be offered will be set forth creditors (or beneficial interest holders) do not have recourse to our general credit. These assets and liabilities are included in the applicable prospectus supplementConsolidated Statements of Assets and Liabilities above. The prospectus supplement will also contain information(Dollars in thousands) June 30, where applicable2013 December 31, about 2012 ASSETS Restricted Cash $ 1,658 $ — Total investments, at value (cost of $206,594 and $0, respectively) 203,869 226,997 Total assets $ 205,527 $ 226,997 LIABILITIES Asset-Backed Notes $ 110,270 $ 129,300 Total liabilities $ 110,270 $ 129,300 See notes to consolidated financial statements. CONSOLIDATED STATEMENTS OF OPERATIONS (unaudited) (in thousands, except per share data) Three Months Ended June 30, Six Months Ended June 30, 2013 2012 2013 2012 Investment income: Interest Income Non-Control/Non-Affiliate investments $ 29,780 $ 20,934 $ 58,099 $ 40,989 Affiliate investments 514 205 1,124 450 Total interest income 30,294 21,139 59,223 41,439 Fees Non-Control/Non-Affiliate investments 4,227 2,706 6,255 4,760 Affiliate investments 4 — 4 — Control investments — 13 — 26 Total fees 4,231 2,719 6,259 4,786 Total investment income 34,525 23,858 65,482 46,225 Operating expenses: Interest 7,570 4,507 15,202 8,403 Loan fees 1,191 731 2,269 1,808 General and administrative 2,403 1,864 4,655 3,681 Employee Compensation: Compensation and benefits 4,164 3,251 7,962 6,647 Stock-based compensation 1,587 1,195 2,753 2,002 Total employee compensation 5,751 4,446 10,715 8,649 Total operating expenses 16,915 11,548 32,841 22,541 Net investment income 17,610 12,310 32,641 23,684 Net realized gain on investments Non-Control/Non-Affiliate investments 2,192 8,263 4,184 11,140 Total net realized gain on investments 2,192 8,263 4,184 11,140 Net unrealized appreciation (depreciation) on investments and other assets Non-Control/Non-Affiliate investments 1,987 (21,295 ) 2,087 (19,761) Affiliate investments (910 ) 1,083 (1,344 ) 2,377 Control investments — (313 ) — (287) Total net unrealized appreciation (depreciation) on investments and other assets 1,077 (20,525 ) 743 (17,671) Total net realized (unrealized) gain (loss) 3,269 (12,262 ) 4,927 (6,531) Net increase in net assets resulting from operations $ 20,879 $ 48 $ 37,568 17,153 Net investment income before investment gains and losses per common share: Basic $ 0.29 $ 0.25 $ 0.56 $ 0.48 Change in net assets per common share: Basic $ 0.34 $ — $ 0.65 $ 0.35 Diluted $ 0.34 $ — $ 0.64 $ 0.35 Weighted average shares outstanding Basic 60,339 48,616 57,029 47,817 Diluted 61,145 48,687 57,802 47,948 See notes to consolidated financial statements. CONSOLIDATED STATEMENT OF CHANGES IN NET ASSETS (unaudited) (dollars and shares in thousands) Common Stock Accumulated Distributions Provision for Shares Par Value Capital in excess of par value Unrealized Appreciation on Investments Realized Gains(Losses) on Investments in Excess of Investment Income Income Taxes on Investment Gains Net Assets Balance at December 31, 2011 43,853 $ 44 $ 484,244 $ (3,431) $ (43,042) $ (6,432) $ (342) $431,041 Net increase in net assets resulting from operations — — — (17,671) 11,140 23,684 — 17,153 Issuance of common stock 490 — 2,674 — — — — 2,674 Issuance of common stock under restricted stock plan 575 1 (1) — — — — — Issuance of common stock as stock dividend 117 — 1,230 — — — — 1,230 Retired shares from net issuance (292) — (3,670) — — — — (3,670) Public Offering 5,000 5 47,649 — — — — 47,654 Dividends declared — — — — — (23,340) — (23,340) Stock-based compensation — — 2,039 — — — — 2,039 Balance at June 30, 2012 49,743 $ 50 $ 534,165 $ (21,102) $ (31,902) $ (6,088) $ (342) $474,781 Balance at December 31, 2012 52,925 $ 53 $ 564,509 $ (7,947) $ (36,916) $ (3,389) $ (342) $515,968 Net increase in net assets resulting from operations — — — 743 4,184 32,641 — 37,568 Issuance of common stock 612 1 7,250 — — — — 7,251 Issuance of common stock under restricted stock plan 501 1 (1) — — — — — Issuance of common stock as stock dividend 93 0 1,189 — — — — 1,189 Retired shares from net issuance (544) (1 ) (8,390) — — — — (8,391) Public Offering 8,050 8 95,469 — — — — 95,477 Dividends declared — — — — — (30,014) — (30,014) Stock-based compensation — — 2,792 — — — — 2,792 Balance at June 30, 2013 61,637 $ 62 $ 662,818 $ (7,204) $ (32,732) $ (762) $ (342) $621,840 See notes to consolidated financial statements. CONSOLIDATED STATEMENTS OF CASH FLOWS (unaudited) (dollars in thousands) For the material federal income tax considerations relating toSix Months Ended June 30, and any listing 2013 2012 Cash flows from operating activities: Net increase in net assets resulting from operations $ 37,568 $ 17,153 Adjustments to reconcile net increase in net assets resulting from operations to net cash used in operating activities: Purchase of investments (341,678) (177,725) Principal payments received on a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe the terms of the plan of distribution and set forth the names of any agents, dealers or underwriters involved in the investments 203,357 99,596 Proceeds from sale of the securitiesinvestments 11,401 18,257 Net unrealized (appreciation) / depreciation on investments and other assets (743) 17,671 Net realized gain on investments (4,184) (11,140) Accretion of paid-in-kind principal (1,420) (584) Accretion of loan discounts (2,702) (2,783) Accretion of loan discount on Convertible Senior Notes 541 541 Accretion of loan exit fees (4,465) (2,111) Change in deferred loan origination revenue 2,929 269 Unearned fees related to unfunded commitments 1,459 (1,280) Amortization of debt fees and issuance costs 1,988 1,374 Depreciation 88 141 Stock-based compensation and amortization of restricted stock grants 2,792 2,040 Change in operating assets and liabilities: Interest receivable (610) (1,292) Prepaid expenses and other assets 153 (1,420) Accounts payable 655 41 Accrued liabilities (721) (1,429) Net cash used in operating activities (93,593) (42,681) Cash flows from investing activities: Purchases of capital equipment (157) (40) Investment in restricted cash (1,658) — Other long-term assets (30) — Net cash used in investing activities (1,845) (40) Cash flows from financing activities: Proceeds from issuance of common stock, net 94,250 46,658 Dividends paid (28,825) (22,110) Issuance of 2019 Notes — 43,000 Borrowings of credit facilities — 15,000 Repayments of credit facilities (19,036) (46,307) Cash paid for debt issuance costs — (1,854) Net cash provided by financing activities 46,389 34,387 Net decrease in cash and cash equivalents (49,049) (8,334) Cash and cash equivalents at beginning of period 182,994 64,474 Cash and cash equivalents at end of period $ 133,944 $ 56,140 See notes to consolidated financial statements. CONSOLIDATED SCHEDULE OF INVESTMENTS June 30, 2013 (unaudited) (dollars in thousands) Portfolio Company Sub-Industry Type of Investment (1) Principal Maturity: Upon Liquidation Amount Cost(2) Value(3) Paratek Pharmaceuticals, Inc.(9) Drug Discovery & Development Senior Debt Matures upon liqudation Interest rate Fixed 10.00% $ 45 $ 45 $ 45 Senior Debt Matures upon liqudation Interest rate Fixed 10.00% $ Senior Debt Matures upon liqudation No intial interest rate $ 28 28 28 Total Paratek Pharmaceuticals, Inc. 104 104 Maturity: Under 1 Year Maturity Chroma Therapeutics, Ltd.(5)(10) Drug Discovery & Development Senior Debt Matures November 2013 Interest rate Prime + 7.75% or Floor rate of 12.00% $ 2,290 3,003 3,003 Maturity: 1-5 Years Maturity ADMA Biologics, Inc. Drug Discovery & Development Senior Debt Matures April 2016 Interest rate Prime + 2.75% or Floor rate of 8.50% $ 5,000 4,881 4,703 Anacor Pharmaceuticals, Inc.(3) Drug Discovery & Development Senior Debt Matures July 2017 Interest rate Prime + 6.40% or Floor rate of 11.65% $ 30,000 28,890 28,890 Aveo Pharmaceuticals, Inc. (3)(11) Drug Discovery & Development Senior Debt Matures September 2015 Interest rate Prime + 7.15% or Floor rate of 11.90% $ 24,206 24,206 24,448 Cell Therapeutics, Inc. (3) Drug Discovery & Development Senior Debt(11) Matures October 2016 Interest rate Prime + 9.00% or Floor rate of 12.25% $ 10,000 9,780 9,780 Cempra, Inc.(3) Drug Discovery & Development Senior Debt(11) Matures June 2017 Interest rate Prime + 6.30% or Floor rate of 9.55% $ 15,000 14,675 14,559 Concert Pharmaceuticals, Inc. Drug Discovery & Development Senior Debt(4) Matures October 2015 Interest rate Prime + 3.25% or Floor rate of 8.50% $ 18,799 18,542 17,942 Coronado BioSciences, Inc.(3) Drug Discovery & Development Senior Debt(11) Matures March 2016 Interest rate Prime + 6.00% or Floor rate of 9.25% $ 15,000 14,916 14,389 Dicerna Pharmaceuticals, Inc. Drug Discovery & Development Senior Debt Matures January 2015 Interest rate Prime + 4.40% or Floor rate of 10.15% $ 7,148 7,051 6,922 Insmed, Inc. Drug Discovery & Development Senior Debt(11) Matures January 2016 Interest rate Prime + 4.75% or Floor rate of 9.25% $ 20,000 19,584 19,426 Merrimack Pharmaceuticals, Inc.(3) Drug Discovery & Development Senior Debt Matures May 2016 Interest rate Prime + 5.30% or Floor rate of 10.55% $ 40,000 40,013 38,974 See “Plan notes to consolidated financial statements. Portfolio Company Sub-Industry Type of Distribution” beginning on page 58 for more information on this topicInvestment (1) Principal Amount Cost(2) Value(3) Neuralstem, Inc.(3) Drug Discovery & Development Senior Debt Matures June 2016 Interest rate Prime + 7.75% or Floor rate of 11.00% $ 8,000 $ 7,726 $ 7,726 NeurogesX, Inc. Drug Discovery & Development Senior Debt Matures February 2015 Interest rate Prime + 7.50% or Floor rate of 10.75% $ 3,876 4,285 4,285 UniQure Biopharma B.V.(5)(10) Drug Discovery & Development Senior Debt Matures October 2016 Interest rate Prime + 8.60% or Floor rate of 11.85% $ 10,000 9,831 9,831 Total Debt Drug Discovery & Development (32.96%)* 207,487 204,982 Maturity: 1-5 Years Maturity Bridgewave Communications Communications & Networking Senior Debt Matures March 2016 Interest rate Prime + 8.00% or PIK Interest 8.00% $ 7,500 7,451 3,911 OpenPeak, Inc. Communications & Networking Senior Debt(11) Matures July 2015 Interest rate Prime + 8.75% or Floor rate of 12.00% $ 12,805 13,187 13,315 Spring Mobile Solutions, Inc. Communications & Networking Senior Debt Matures November 2016 Interest rate Prime + 8.00% or Floor rate of 11.25% Deferred Interest 2.50% $ 20,000 19,381 19,381 UPH Holdings, Inc.(8) Communications & Networking Senior Debt Matures April 2015 Interest rate Libor + 11.00% or Floor rate of 13.50% $ 5,971 5,859 5,500 Senior Debt Matures September 2015 Interest rate Libor + 11.00% or Floor rate of 13.50% $ 338 334 — Senior Debt Matures January 2017 Interest rate Libor + 11.00% or Floor rate of 13.50% $ 3,594 3,594 — Total UPH Holdings, Inc. 9,787 5,500 Total Debt Communications & Networking (6.77%)* 49,806 42,107 Maturity: 1-5 Years Maturity Clustrix, Inc. Electronics & Computer Hardware Senior Debt Matures December 2015 Interest rate Prime + 6.50% or Floor rate of 9.75% $ 639 622 622 Identive Group, Inc. (3) Electronics & Computer Hardware Senior Debt(11) Matures November 2015 Interest rate Prime + 7.75% or Floor rate 11.00% $ 7,284 7,326 7,134 OCZ Technology Group, Inc. (3) Electronics & Computer Hardware Senior Debt Matures April 2016 Interest rate Prime + 8.75% or Floor rate of 12.50%, PIK Interest 3.00% $ 10,000 9,449 9,359 See notes to consolidated financial statements. No Securities may be sold without delivery Portfolio Company Sub-Industry Type of a prospectus supplement describing the method and terms Investment (1) Principal Amount Cost(2) Value(3) Plures Technologies, Inc.(3) Electronics & Computer Hardware Senior Debt Matures October 2016 Interest rate Prime + 12.75% or Floor rate of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACH.” On January 2416.00%, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.PIK Interest 4.00% $ 2,000 $ 1,895 $ 1,895 Total Debt Electronics & Computer Hardware (3.06%) 19,292 19,010 Maturity: Upon Liquidation

Appears in 1 contract

Samples: investor.htgc.com

EXPERTS. Our The financial statements as of, of [ ] and [ ] and for each of the three years ended, December 31, 2020 and 2019 in the period ended [ ] included in this prospectus supplement have been so included in reliance on the report of Hoberman & Lesser, PricewaterhouseCoopers LLP, an independent registered public accounting firm, included in this Prospectus Supplement given on the authority of such said firm as experts in auditing and accounting. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE ADDITIONAL INFORMATION We have filed with the SEC a registration statement on Form S-3 N-2 together with all amendments and related exhibits under the Securities Act with respect to the shares offered herebyAct. This Prospectus Supplement, which constitutes a part of the registration statement, does not contain all the information set forth in the The registration statement or the exhibits and schedules filed therewith. For further contains additional information about us and our shares the securities being offered hereby, we refer you to the registration statement by this prospectus supplement and the exhibits and schedules filed thereto. Statements contained in this Prospectus Supplement regarding the contents of any contract or any other document that is filed as an exhibit to the registration statement are not necessarily complete, and each such statement is qualified in all respects by reference to the full text of such contract or other document filed as an exhibit to the registration statementaccompanying prospectus. We are a reporting company and file annual, quarterly and current reports, proxy statements and other material information with the SEC under the Securities Exchange Act of 1934, as amended. You can inspect any materials we file with the SEC. You may read and copy our reports, proxy statements and other informationwithout charge, including the registration statement of which this Prospectus Supplement is a part at the SEC’s Public Reference Room of the SEC, at 000 X Xxxxxx, X. X.X.X., Xxxx 0000Xxxxxxxxxx, Xxxxxxxxxx X.X. 00000. You may obtain information on the operation of the public reference rooms by calling Please call the SEC at 0-000-XXX-0000XXX-0000 for further information on the Public Reference Room. The information we file with the SEC is available free of charge by contacting us at 0 Xxxxx Xxxxx Xxxxx, Xxxxx 000, Xxxxxxxxx, XX 00000 or by telephone at (000) 000-0000 or on our website at xxxx://xxx.xxxx.xxx. The SEC also maintains an Internet a website that contains reports, proxy statements and other information about issuersregarding registrants, like including us, that file such information electronically with the SEC. The address of that the SEC’s web site is xxx.xxx.xxxxxxx://xxx.xxx.xxx. The SEC allows Information contained on our website or on the SEC’s web site about us to “incorporate by reference” information is not incorporated into this Prospectus Supplement, which means that we can disclose important prospectus supplement or the accompanying prospectus and you should not consider information to you by referring you to another document filed separately with contained on our website or on the SEC. The information incorporated by reference is deemed ’s website to be part of this Prospectus Supplement, except for any information superseded by information in this Prospectus Supplement prospectus supplement or any document that we file in the future with the SEC. This Prospectus Supplement incorporates by reference the documents set forth below that we have previously filed with the SEC and all documents that we file with the SEC under Sections 13(a), 13(c), 14 or 15(d) of the Exchange Act (other than any portion of the respective filings that are furnished pursuant to Item 2.02 or Item 7.01 of a Current Report on Form 8-K (including exhibits related thereto) or other applicable SEC rules, rather than filed) after the date of this Prospectus Supplement from their respective filing dates. These documents contain important information about us, our business and our finances. Document Filed Annual Report on Form 10-K for the year ended December 31, 2020 March 31, 2021 Current Reports on Form 8-K April 5, 2021 Description of Common Shares contained in our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally or in writing, we will provide you with a copy of any or all documents which are incorporated by reference. Such documents will be provided to you free of charge, but will not contain any exhibits, unless those exhibits are specifically incorporated by reference into those documents. Requests should be addressed to Sachem Capital Corp., 000 Xxxx Xxxxxx, Xxxxxxxx, Xxxxxxxxxxx 00000, Attention: Chief Financial Officer, telephone number (000) 000-0000. PROSPECTUS $100,000,000 Common Shares, Preferred Shares, Debt Securities, Guarantees of Debt Securities, Warrants and Units We may, from time to time, offer, in one or more series or classes, separately or together, and in amounts, at prices and on terms to be set forth in one or more supplements to this prospectus, the following securities: • common shares, par value $0.001 per share; • preferred shares, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees of debt securities; or • units consisting of two or more of the classes of securities listed above. We refer to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” in this base accompanying prospectus. This base prospectus describes some of the general terms that may apply to the Securities and the general manner in which they may be offered. The specific terms of any Securities to be offered$[ ] TICC Capital Corp. Common Stock P R E L I M I N A R Y P R O S P E C T U S S U P P L E M E N T , and the specific manner in which they may be offered will be set forth in the applicable prospectus supplement. The prospectus supplement will also contain information, where applicable, about the material federal income tax considerations relating to, and any listing on a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe the terms of the plan of distribution and set forth the names of any agents, dealers or underwriters involved in the sale of the securities. See “Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACH.” On January 24, 2020, the closing sale price of the common shares on NYSE American was $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.20

Appears in 1 contract

Samples: TICC Capital Corp.

EXPERTS. Our financial statements as of, and for each of the years ended, December 31, 2020 and 2019 have been so included in reliance on the report of Hoberman Ernst & Lesser, Young LLP, an independent registered public accounting firm, has audited our consolidated financial statements included in our Annual Report on Form 10-K for the year ended December 31, 2021, and the effectiveness of our internal control over financial reporting as of December 31, 2021, as set forth in their reports, which are incorporated by reference in this Prospectus Supplement prospectus and elsewhere in this registration statement. Our consolidated financial statements are incorporated by reference in reliance on Ernst & Young LLP’s reports, given on the their authority of such firm as experts in auditing accounting and accountingauditing. WHERE YOU CAN FIND MORE INFORMATION; INCORPORATION BY REFERENCE INFORMATION We have filed with the SEC a registration statement on Form S-3 with the SEC under the Securities Act with respect to the shares offered herebyof 1933. This Prospectus Supplement, which constitutes a prospectus is part of the registration statement, does not contain all the information set forth in statement but the registration statement or the exhibits includes and schedules filed therewith. For further information about us and our shares offered hereby, we refer you to the registration statement and the exhibits and schedules filed thereto. Statements contained in this Prospectus Supplement regarding the contents of any contract or any other document that is filed as an exhibit to the registration statement are not necessarily complete, and each such statement is qualified in all respects incorporates by reference to the full text of such contract or other document filed as an exhibit to the registration statementadditional information and exhibits. We are a reporting company and file annual, quarterly and current reports, proxy statements and other material information with the SEC. You may read and copy our reports, proxy statements and other information, including the registration statement of which this Prospectus Supplement is a part at the Public Reference Room of the SEC, 000 X Xxxxxx, X. X., Xxxx 0000, Xxxxxxxxxx X.X. 00000. You may obtain information on the operation of the public reference rooms by calling the SEC at 0-000-XXX-0000. The SEC also maintains an Internet a website that contains reports, proxy and information statements and other information about issuersregarding companies, like ussuch as ours, that file documents electronically with the SEC. The address of that site website is xxx.xxx.xxx. We make available free of charge on our website our Annual Reports on Form 10-K, Quarterly Reports on Form 10-Q, Current Reports on Form 8-K, proxy statements and amendments to those reports, as soon as reasonably practicable after we electronically file or furnish such materials to the SEC. You may also obtain a free copy of these reports in the Investor Relations section of our website, xxx.xxxxxxx.xxx. Information contained on our website or connected thereto does not constitute part of, and is not incorporated by reference into, this prospectus or the registration statement of which it forms a part. The SEC allows permits us to “incorporate by reference” the information into this Prospectus Supplementcontained in documents we file with the SEC, which means that we can disclose important information to you by referring you to another document filed separately with the SECthose documents rather than by including them in this prospectus. The information Information that is incorporated by reference is deemed considered to be part of this Prospectus Supplement, except for any prospectus and you should read it with the same care that you read this prospectus. Later information superseded by information in this Prospectus Supplement or any document that we file with the SEC will automatically update and supersede the information that is either contained, or incorporated by reference, in this prospectus, and will be considered to be a part of this prospectus from the future date those documents are filed. We have filed with the SEC. This Prospectus Supplement incorporates , and incorporate by reference in this prospectus: • our Annual Report on Form 10-K for the documents year ended December 31, 2021; and • the description of our common stock set forth below that we have previously filed with in Exhibit 4.2 of our Annual Report on Form 10-K for the SEC and fiscal year ended December 31, 2020. We also incorporate by reference all additional documents that we file with the SEC under Sections the terms of Section 13(a), 13(c), 14 or 15(d) of the Exchange Act (other than any portion that are made after the initial filing date of the respective filings that are furnished pursuant to Item 2.02 or Item 7.01 registration statement of which this prospectus is a Current Report on Form 8-K (including exhibits related thereto) or other applicable SEC rulespart and the effectiveness of the registration statement, rather than filed) after as well as between the date of this Prospectus Supplement from their respective filing datesprospectus and the termination of any offering of securities offered by this prospectus. These We are not, however, incorporating, in each case, any documents contain important or information about us, our business that we are deemed to furnish and our financesnot file in accordance with SEC rules. Document Filed Annual Report on Form 10-K for the year ended December 31, 2020 March 31, 2021 Current Reports on Form 8-K April 5, 2021 Description of Common Shares contained in our Registration Statement on Form 8-A Description of 7.75% September 2025 notes contained in Registration Statement on Form 8-A Description of 7.125% June 2024 notes contained in Registration Statement on Form 8-A January 25, 2017 September 2, 2020 June 24, 2019 Document Filed Description of 6.875% December 2024 notes contained in Registration Statement on Form 8-A November 6, 2019 At your request, either orally or in writing, we will provide you with You may request a copy of any or all of the documents which are incorporated by reference. Such documents will be provided to you free of charge, but will not contain any exhibits, unless those exhibits are specifically incorporated by reference into those documents. Requests should be addressed to Sachem Capital Corp.but not delivered with this prospectus, 000 Xxxx at no cost, by writing or telephoning us at the following address and number: Investor Relations, Invitae Corporation, 0000 00xx Xxxxxx, XxxxxxxxXxx Xxxxxxxxx, Xxxxxxxxxxx 00000, Attention: Chief Financial Officer, telephone number Xxxxxxxxxx 00000 and (000) 000-0000. We will not, however, send exhibits to those documents, unless the exhibits are specifically incorporated by reference in those documents. $400,000,000 Common Stock PROSPECTUS $100,000,000 Common SharesSUPPLEMENT Cowen March 2, Preferred Shares, Debt Securities, Guarantees 2022 Exhibit 107 Calculation of Debt Securities, Warrants Filing Fee Tables 424(b)(5) (Form Type) Invitae Corporation (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Units We may, from time to time, offer, in one Carry Forward Securities Security Type Security Class Title Fee Calculation or more series or classes, separately or together, and in amounts, at prices and on terms to be set forth in one or more supplements to this prospectus, the following securities: • common shares, par value $0.001 per share; • preferred shares, par value $0.001 per share; • warrants to purchase common shares or preferred shares; • debt securities; • guarantees Carry Forward Rule (1) Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of debt securities; or • units consisting of two or more of the classes of securities listed above. We refer to the common shares, preferred shares, warrants, debt securities and units collectively as the “Securities” in this base prospectus. This base prospectus describes some of the general terms that may apply to the Securities and the general manner in which they may be offered. The specific terms of any Registration Fee (2) Carry Forward Form Type Carry Forward File Number Carry Forward Initial effective date Filing Fee Previously Paid In Connection with Unsold Securities to be offeredCarried Forward Newly Registered Securities Fees to Be Paid Fees Previously Paid Carry Forward Securities Carry Forward Securities Equity Common Stock, and the specific manner in which they may be offered will be set forth in the applicable prospectus supplement. The prospectus supplement will also contain information$0.0001 par value per share 457(p) 415(a)(6) $400,000,000 $400,000,000 0.0001091 $43,640 S-3ASR 333-230053 March 4, where applicable, about the material federal income tax considerations relating to, and any listing on a securities exchange of, the Securities covered by such prospectus supplement. It is important that you read both this base prospectus and the applicable prospectus supplement before you invest in the Securities. The Securities may be offered and sold to or through one or more underwriters, dealers and agents, or directly to purchasers, on a continuous or delayed basis. The prospectus supplement will describe the terms of the plan of distribution and set forth the names of any agents, dealers or underwriters involved in the sale of the securities. See “Plan of Distribution” beginning on page 58 for more information on this topic. No Securities may be sold without delivery of a prospectus supplement describing the method and terms of the offering of the Securities. Our common shares are listed on the NYSE American under the symbol “SACH.” On January 24, 2020, the closing sale price of the common shares on NYSE American was 2019 $4.34 per share. In addition, we have two series of five-year unsecured unsubordinated notes listed upon the NYSE American under the symbols “SCCB” and “SACC”. None of the other Securities are currently listed on any exchange or quoted on any other trading venue or system.43,640 Total Offering Amounts $400,000,000 Total Fees Previously Paid $43,640 Total Fee Offsets $43,640 Net Fee Due $—(1)

Appears in 1 contract

Samples: d18rn0p25nwr6d.cloudfront.net

Time is Money Join Law Insider Premium to draft better contracts faster.