Small Company Offering and Sale of Securities Without Registration (d)
18 Mai 2021 - 5:31PM
Edgar (US Regulatory)
o
NoneEntity Type | 0001536674 | Galliard Resources Corp. |
x
Corporation
o
Limited Partnership
o
Limited Liability Company
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General Partnership
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Business Trust
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Other |
| Name of Issuer |
Novo Resources Corp. |
| Jurisdiction of Incorporation/Organization |
| BRITISH COLUMBIA, CANADA |
| |
| 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 | |
| Novo Resources Corp. | |
| Street Address 1 | Street Address 2 |
| 880 - 580 Hornby Street | |
| City | State/Province/Country | ZIP/Postal Code | Phone No. of Issuer |
| VANCOUVER | BRITISH COLUMBIA, CANADA | V6C 3B6 | 604 562-4854 |
| Last Name | First Name | Middle Name |
| Hennigh | Dr. Quinton | |
| Street Address 1 | Street Address 2 |
| 880 - 580 Hornby Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Vancouver | BRITISH COLUMBIA, CANADA | V6C 3B6 |
| Relationship: |
x
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Humphryson | Robert | |
| Street Address 1 | Street Address 2 |
| 880 - 580 Hornby Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Vancouver | BRITISH COLUMBIA, CANADA | V6C 3B6 |
| Relationship: |
x
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Sabo-Walsh | Ronan | |
| Street Address 1 | Street Address 2 |
| 880 - 580 Hornby Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Vancouver | BRITISH COLUMBIA, CANADA | V6C 3B6 |
| Relationship: |
x
| Executive Officer |
o
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Karabelas | Leo | |
| Street Address 1 | Street Address 2 |
| 880 - 580 Hornby Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Vancouver | BRITISH COLUMBIA, CANADA | V6C 3B6 |
| Relationship: |
x
| Executive Officer |
o
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Levinson | Akiko | |
| Street Address 1 | Street Address 2 |
| 880 - 580 Hornby Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Vancouver | BRITISH COLUMBIA, CANADA | V6C 3B6 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Barrett | Michael | |
| Street Address 1 | Street Address 2 |
| 880 - 580 Hornby Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Vancouver | BRITISH COLUMBIA, CANADA | V6C 3B6 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Ishikawa | Yoshikazu | |
| Street Address 1 | Street Address 2 |
| 880 - 580 Hornby Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Vancouver | BRITISH COLUMBIA, CANADA | V6C 3B6 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Hamilton | Ross | |
| Street Address 1 | Street Address 2 |
| 880 - 580 Hornby Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Vancouver | BRITISH COLUMBIA, CANADA | V6C 3B6 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Spreadborough | Michael | |
| Street Address 1 | Street Address 2 |
| 880 - 580 Hornby Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Vancouver | BRITISH COLUMBIA, CANADA | V6C 3B6 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
|
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 |
o
| Manufacturing | |
o
| Airlines & Airports |
| | Real Estate | |
o
| Lodging & Conventions |
| |
o
| Commercial | |
o
| Tourism & Travel Services |
| |
o
| Construction | |
o
| Other Travel |
| |
o
| REITS & Finance |
x
| 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 |
|
x
| 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 |
|
o
| 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) |
|
x
| New Notice | Date of First Sale | 2021-05-04 |
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 |
x
| Equity |
|
o
| Tenant-in-Common Securities |
o
| Debt |
|
o
| Mineral Property Securities |
x
| 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 |
x
| Other (describe) |
| | Each special warrant is comprised of one unit, which is comprised of one common share and one-half common share purchase warrant. Each whole warrant is exercisable for one common share at an exercise price of Cdn$3.00 per share for a period of 36 months. |
| 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 |
| STIFEL, NICOLAUS & COMPANY, INCORPORATED | 793 |
| (Associated) Broker or Dealer |
x
| None | (Associated) Broker or Dealer CRD Number |
x
| None |
| | |
| Street Address 1 | Street Address 2 |
| 501 NORTH BROADWAY | |
| City | State/Province/Country | ZIP/Postal Code |
| ST. LOUIS | MISSOURI | 63102 |
| State(s) of Solicitation |
o
| All States |
o
| Foreign/Non-US |
COLORADO
CONNECTICUT
|
| Recipient | Recipient CRD Number |
o
| None |
| PI FINANCIAL (US) CORP. | 127404 |
| (Associated) Broker or Dealer |
x
| None | (Associated) Broker or Dealer CRD Number |
x
| None |
| | |
| Street Address 1 | Street Address 2 |
| 1900-666 BURRARD STREET | |
| City | State/Province/Country | ZIP/Postal Code |
| VANCOUVER | BRITISH COLUMBIA, CANADA | V6C 3N1 |
| State(s) of Solicitation |
o
| All States |
o
| Foreign/Non-US |
COLORADO
CONNECTICUT
|
| Recipient | Recipient CRD Number |
o
| None |
| HAYWOOD SECURITIES (USA) INC. | 42072 |
| (Associated) Broker or Dealer |
x
| None | (Associated) Broker or Dealer CRD Number |
x
| None |
| | |
| Street Address 1 | Street Address 2 |
| 200 BURRARD ST | SUITE 700 |
| City | State/Province/Country | ZIP/Postal Code |
| VANCOUVER | BRITISH COLUMBIA, CANADA | V6C 3L6 |
| State(s) of Solicitation |
o
| All States |
o
| Foreign/Non-US |
COLORADO
CONNECTICUT
|
| Recipient | Recipient CRD Number |
o
| None |
| CIBC WORLD MARKETS CORP. | 630 |
| (Associated) Broker or Dealer |
x
| None | (Associated) Broker or Dealer CRD Number |
x
| None |
| | |
| Street Address 1 | Street Address 2 |
| 425 LEXINGTON AVENUE | |
| City | State/Province/Country | ZIP/Postal Code |
| NEW YORK | NEW YORK | 10017 |
| State(s) of Solicitation |
o
| All States |
o
| Foreign/Non-US |
COLORADO
CONNECTICUT
|
| 13. Offering and Sales Amounts |
| Total Offering Amount | $ 13914738 USD |
o
Indefinite |
| Total Amount Sold | $ 1304507 USD | |
| Total Remaining to be Sold | $ 12610231 USD |
o
Indefinite |
| |
| Clarification of Response (if Necessary) |
| The additional $12,610,231.00 may be received upon the exercise of purchase warrants sold inside or outside the U.S. The U.S. dollar amounts are based on the Bank of Canada average rate of exchange reported on May 4, 2021, which was Cdn$1.2315=USD$1.00. |
|
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: | 2 |
| 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 | $ 78270 USD |
x
| Estimate |
| Finders' Fees | $ 0 USD |
o
| Estimate |
| |
| Clarification of Response (if Necessary) |
| Includes non-transferable broker warrants to purchase 391,353 common shares at Cdn$3.00 per unit for a period of 36 months. |
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 |
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