Amended Small Company Offering and Sale of Securities Without Registration (d/a)
20 Mai 2020 - 12:01PM
Edgar (US Regulatory)
x
NoneEntity Type | 0001271140 | |
o
Corporation
o
Limited Partnership
o
Limited Liability Company
o
General Partnership
o
Business Trust
x
Other
Public limited company |
| Name of Issuer |
ELEMENTIS PLC |
| Jurisdiction of Incorporation/Organization |
| UNITED KINGDOM |
| |
| Year of Incorporation/Organization |
| |
x
| Over Five Years Ago |
| |
o
| Within Last Five Years (Specify Year) | |
| |
o
| Yet to Be Formed | |
| 2. Principal Place of Business and Contact Information |
| Name of Issuer | |
| ELEMENTIS PLC | |
| Street Address 1 | Street Address 2 |
| Caroline House | 55-57 High Holborn |
| City | State/Province/Country | ZIP/Postal Code | Phone No. of Issuer |
| LONDON | UNITED KINGDOM | WC1V 6DX | 44 0 20 7067 2999 |
| Last Name | First Name | Middle Name |
| Duff | Andrew | |
| Street Address 1 | Street Address 2 |
| Caroline House | 55-57 High Holborn |
| City | State/Province/Country | ZIP/Postal Code |
| LONDON | UNITED KINGDOM | WC1V 6DX |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | Chairman of the Board of Directors |
| Last Name | First Name | Middle Name |
| Waterman | Lynn | Paul |
| Street Address 1 | Street Address 2 |
| 469 Old Trenton Road | |
| City | State/Province/Country | ZIP/Postal Code |
| East Windsor | NEW JERSEY | 08512 |
| Relationship: |
x
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | Chief Executive Officer |
| Last Name | First Name | Middle Name |
| Hewins | Ralph | |
| Street Address 1 | Street Address 2 |
| Caroline House | 55-57 High Holborn |
| City | State/Province/Country | ZIP/Postal Code |
| LONDON | UNITED KINGDOM | WC1V 6DX |
| Relationship: |
x
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | Chief Financial Officer |
| Last Name | First Name | Middle Name |
| Deuring | Dorothee | |
| Street Address 1 | Street Address 2 |
| Caroline House | 55-57 High Holborn |
| City | State/Province/Country | ZIP/Postal Code |
| LONDON | UNITED KINGDOM | WC1V 6DX |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | Non-Executive Director |
| Last Name | First Name | Middle Name |
| Good | Stephen | |
| Street Address 1 | Street Address 2 |
| Caroline House | 55-57 High Holborn |
| City | State/Province/Country | ZIP/Postal Code |
| LONDON | UNITED KINGDOM | WC1V 6DX |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | Non-Executive Director |
| Last Name | First Name | Middle Name |
| Hyland | Anne | |
| Street Address 1 | Street Address 2 |
| Caroline House | 55-57 High Holborn |
| City | State/Province/Country | ZIP/Postal Code |
| LONDON | UNITED KINGDOM | WC1V 6DX |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | Non-Executive Director |
| Last Name | First Name | Middle Name |
| O'Higgins | John | |
| Street Address 1 | Street Address 2 |
| Caroline House | 55-57 High Holborn |
| City | State/Province/Country | ZIP/Postal Code |
| London | UNITED KINGDOM | WC1V 6DX |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | Non-Executive Director |
|
o
| Agriculture | | Health Care |
o
| Retailing |
| | Banking & Financial Services | |
o
| Biotechnology |
o
| Restaurants |
| |
o
| Commercial Banking | |
o
| Health Insurance | | Technology |
| |
o
| Insurance | |
o
| Hospitals & Physicians | |
o
| Computers |
| |
o
| Investing | |
o
| Pharmaceuticals | |
o
| Telecommunications |
| |
o
| Investment Banking | |
o
| Other Health Care | |
o
| Other Technology |
| |
o
| Pooled Investment Fund
| | | | | Travel |
| |
o
| Other Banking & Financial Services |
x
| Manufacturing | |
o
| Airlines & Airports |
| | Real Estate | |
o
| Lodging & Conventions |
| |
o
| Commercial | |
o
| Tourism & Travel Services |
| |
o
| Construction | |
o
| Other Travel |
| |
o
| REITS & Finance |
o
| Other |
| |
o
| Residential | |
| |
o
| Other Real Estate | |
|
o
| Business Services | |
| | Energy | |
| |
o
| Coal Mining | |
| |
o
| Electric Utilities | |
| |
o
| Energy Conservation | |
| |
o
| Environmental Services | |
| |
o
| Oil & Gas | |
| |
o
| Other Energy | |
| Revenue Range | Aggregate Net Asset Value Range |
|
o
| No Revenues |
o
| No Aggregate Net Asset Value |
|
o
| $1 - $1,000,000 |
o
| $1 - $5,000,000 |
|
o
| $1,000,001 - $5,000,000 |
o
| $5,000,001 - $25,000,000 |
|
o
| $5,000,001 - $25,000,000 |
o
| $25,000,001 - $50,000,000 |
|
o
| $25,000,001 - $100,000,000 |
o
| $50,000,001 - $100,000,000 |
|
x
| Over $100,000,000 |
o
| Over $100,000,000 |
|
o
| Decline to Disclose |
o
| Decline to Disclose |
|
o
| Not Applicable |
o
| Not Applicable |
| 6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply) |
|
o
| Rule 504(b)(1) (not (i), (ii) or (iii)) |
o
| Rule 505 |
|
o
| Rule 504 (b)(1)(i) |
x
| Rule 506(b) |
|
o
| Rule 504 (b)(1)(ii) |
o
| Rule 506(c) |
|
o
| Rule 504 (b)(1)(iii) |
o
| Securities Act Section 4(a)(5) |
| |
o
| Investment Company Act Section 3(c) |
|
o
| New Notice | Date of First Sale | 2013-04-25 |
o
| First Sale Yet to Occur |
| Does the Issuer intend this offering to last more than one year? |
x
| Yes |
o
| No |
| 9. Type(s) of Securities Offered (select all that apply) |
|
o
| Pooled Investment Fund Interests |
o
| Equity |
|
o
| Tenant-in-Common Securities |
o
| Debt |
|
o
| Mineral Property Securities |
o
| Option, Warrant or Other Right to Acquire Another Security |
|
x
| Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security |
o
| Other (describe) |
| | |
| 10. Business Combination Transaction |
| Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
o
| Yes |
x
| No |
| |
| Clarification of Response (if Necessary) | |
| |
| Minimum investment accepted from any outside investor | $ 0 USD |
| Recipient | Recipient CRD Number |
o
| None |
| | |
| (Associated) Broker or Dealer |
o
| None | (Associated) Broker or Dealer CRD Number |
o
| None |
| | |
| Street Address 1 | Street Address 2 |
| | |
| City | State/Province/Country | ZIP/Postal Code |
| | | |
| State(s) of Solicitation |
o
| All States |
| |
| |
| 13. Offering and Sales Amounts |
| Total Offering Amount | $ USD |
x
Indefinite |
| Total Amount Sold | $ 21264703 USD | |
| Total Remaining to be Sold | $ USD |
x
Indefinite |
| |
| Clarification of Response (if Necessary) |
| The issuer's ordinary shares are issued when employee equity grants vest upon satisfaction of certain conditions over a designated period. The Total Amount Sold reflects market prices of the ordinary shares on the respective dates of vesting. |
|
o
| Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
Number of such non-accredited investors who already have invested in the offering
| |
| | Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: | 6 |
| 15. Sales Commissions & Finders’ Fees Expenses |
Provide separately the amounts of sales commissions and finders' fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
|
| Sales Commissions | $ 0 USD |
o
| Estimate |
| Finders' Fees | $ 0 USD |
o
| Estimate |
| |
| Clarification of Response (if Necessary) |
| |
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
|
| | $ 0 USD |
x
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