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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 8/31/22 Opti-Harvest, Inc. S-1 93:49M M2 Compliance LLC/FA |
Document/Exhibit Description Pages Size 1: S-1 Registration Statement (General Form) HTML 2.75M 2: EX-1.1 Underwriting Agreement or Conflict Minerals Report HTML 438K 3: EX-3.1.1 Articles of Incorporation/Organization or Bylaws HTML 23K 4: EX-3.1.2 Articles of Incorporation/Organization or Bylaws HTML 23K 5: EX-3.1.3 Articles of Incorporation/Organization or Bylaws HTML 24K 6: EX-3.1.4 Articles of Incorporation/Organization or Bylaws HTML 23K 7: EX-3.2 Articles of Incorporation/Organization or Bylaws HTML 32K 8: EX-4.1 Instrument Defining the Rights of Security Holders HTML 22K 9: EX-4.2 Instrument Defining the Rights of Security Holders HTML 135K 10: EX-4.3 Instrument Defining the Rights of Security Holders HTML 268K 11: EX-4.4 Instrument Defining the Rights of Security Holders HTML 31K 12: EX-4.6 Instrument Defining the Rights of Security Holders HTML 261K 13: EX-5.1 Opinion of Counsel re: Legality HTML 38K 14: EX-5.2 Opinion of Counsel re: Legality HTML 24K 15: EX-10.1 Material Contract HTML 42K 24: EX-10.10 Material Contract HTML 179K 25: EX-10.11 Material Contract HTML 33K 26: EX-10.12 Material Contract HTML 24K 16: EX-10.2 Material Contract HTML 23K 17: EX-10.3 Material Contract HTML 25K 18: EX-10.4 Material Contract HTML 61K 19: EX-10.5 Material Contract HTML 25K 20: EX-10.6 Material Contract HTML 120K 21: EX-10.7 Material Contract HTML 178K 22: EX-10.8 Material Contract HTML 59K 23: EX-10.9 Material Contract HTML 660K 27: EX-14.1 Code of Ethics HTML 66K 28: EX-23.1 Consent of Expert or Counsel HTML 26K 29: EX-FILING FEES Calculation of Filing Fee Tables HTML 40K 35: R1 Cover HTML 58K 36: R2 Balance Sheets HTML 112K 37: R3 Balance Sheets (Parenthetical) HTML 47K 38: R4 Statements of Operations HTML 85K 39: R5 Statements of Changes in Shareholders' Equity HTML 86K (Deficit) 40: R6 Statements of Cash Flows HTML 124K 41: R7 Basis of Presentation and Liquidity HTML 45K 42: R8 Significant Accounting Policies HTML 118K 43: R9 Property and Equipment HTML 44K 44: R10 Earnout and Royalty Obligations HTML 55K 45: R11 Senior Convertible Notes Payable and Warrants HTML 76K 46: R12 Note Payable HTML 32K 47: R13 Loans payable HTML 41K 48: R14 Shareholders? Equity (Deficit) HTML 273K 49: R15 Commitments and Contingencies HTML 102K 50: R16 Income Taxes HTML 44K 51: R17 Related Party Transactions HTML 43K 52: R18 Subsequent Events HTML 47K 53: R19 Inventory HTML 31K 54: R20 Intangible Assets and Contingent Earnout Liability HTML 54K 55: R21 Significant Accounting Policies (Policies) HTML 154K 56: R22 Significant Accounting Policies (Tables) HTML 49K 57: R23 Property and Equipment (Tables) HTML 39K 58: R24 Senior Convertible Notes Payable and Warrants HTML 35K (Tables) 59: R25 Loans payable (Tables) HTML 31K 60: R26 Shareholders? Equity (Deficit) (Tables) HTML 123K 61: R27 Income Taxes (Tables) HTML 38K 62: R28 Inventory (Tables) HTML 30K 63: R29 Basis of Presentation and Liquidity (Details HTML 51K Narrative) 64: R30 Schedule of Estimated Useful Lives of Property and HTML 35K Equipment (Details) 65: R31 Schedule of Anti-Dilutive Securities of Earning HTML 40K Per Share (Details) 66: R32 Significant Accounting Policies (Details HTML 48K Narrative) 67: R33 Schedule of Property and Equipment (Details) HTML 41K 68: R34 Property and Equipment (Details Narrative) HTML 34K 69: R35 Earnout and Royalty Obligations (Details HTML 70K Narrative) 70: R36 Schedule of Senior Convertible Notes Payable HTML 33K (Details) 71: R37 Senior Convertible Notes Payable and Warrants HTML 144K (Details Narrative) 72: R38 Note Payable (Details Narrative) HTML 34K 73: R39 Loans payable (Details Narrative) HTML 54K 74: R40 Summary of Warrants (Details) HTML 50K 75: R41 Summary of Outstanding Warrants Exercise Price HTML 50K (Details) 76: R42 Summary of Options (Details) HTML 49K 77: R43 Summary of Outstanding Options Exercise Price HTML 44K (Details) 78: R44 Shareholders? Equity (Deficit) (Details Narrative) HTML 487K 79: R45 Commitments and Contingencies (Details Narrative) HTML 199K 80: R46 Schedule of Effective Income Tax Rate (Details) HTML 34K 81: R47 Schedule of Components of Deferred Taxes (Details) HTML 30K 82: R48 Income Taxes (Details Narrative) HTML 31K 83: R49 Related Party Transactions (Details Narrative) HTML 65K 84: R50 Subsequent Events (Details Narrative) HTML 103K 85: R51 Schedule of Inventory (Details) HTML 31K 86: R52 Inventory (Details Narrative) HTML 26K 87: R53 Schedule of Loans Payable (Details) HTML 30K 88: R54 Intangible Assets and Contingent Earnout Liability HTML 73K (Details Narrative) 91: XML IDEA XML File -- Filing Summary XML 134K 89: XML XBRL Instance -- forms-1_htm XML 1.82M 90: EXCEL IDEA Workbook of Financial Reports XLSX 176K 31: EX-101.CAL Inline XBRL Taxonomy Extension Calculation XML 147K Linkbase Document -- opti-20220630_cal 32: EX-101.DEF Inline XBRL Taxonomy Extension Definition Linkbase XML 847K Document -- opti-20220630_def 33: EX-101.LAB Inline XBRL Taxonomy Extension Label Linkbase XML 1.15M Document -- opti-20220630_lab 34: EX-101.PRE Inline XBRL Taxonomy Extension Presentation XML 975K Linkbase Document -- opti-20220630_pre 30: EX-101.SCH Inline XBRL Taxonomy Extension Schema Document -- XSD 162K opti-20220630 92: JSON XBRL Instance as JSON Data -- MetaLinks 374± 537K 93: ZIP XBRL Zipped Folder -- 0001493152-22-024661-xbrl Zip 1.95M
EXHIBIT 4.4
Opti-Harvest, Inc.
1801 Century Park East, Suite 520
Re: Amendment No. 1 to Senior Convertible Promissory Note
Dear Investor:
Reference is made to that certain offering (the “Offering”) of securities between September 23, 2021 and October 15, 2021, pursuant to which Opti-Harvest, Inc., a Delaware corporation (the “Company”), offered and sold approximately $3,591,235 of Senior Convertible Promissory Notes (the “Notes”) and warrants (the “Warrants”) to purchase that number of shares of common stock into which the Notes are convertible. Each Warrant is exercisable at a price equal to 115% of our initial public offering price.
Section 6 of the Notes states:
6. Maturity Date. This Note shall become due and payable in lawful money of the United States of America, and in any event the outstanding principal balance and accrued interest hereunder together with any additional amounts payable hereunder shall be due on earlier of (i) the consummation of the first underwritten public offering (the “IPO”) of Obligor pursuant to an effective registration statement under the Securities Act of 1933, as amended, covering the offer and sale by Obligor of not less than $10,000,000 of its equity securities, as a result of or following which Obligor shall be a reporting issuer under the Securities and Exchange Act of 1934, as amended, and its common stock (the “Common Stock”) shall be listed on the Nasdaq Stock Market, and (ii) December 15, 2021.
This letter agreement amends Section 6 of the Notes to change date “December 15, 2021” to “June 15, 2022”, in consideration for the issuance of shares of common stock to the holders of the Notes at a rate of 0.05666666288 shares of common stock of the Company for each $1.00 of Principal, as such term is defined in the Notes, a holder of the Notes invested in the Company pursuant to the Offering. For example, if an investor invested $1,000,000 in the Offering, then such investor would receive 56,667 shares of common stock for agreeing to extend the date “December 15, 2021” in Section 6 of the Note to “June 15, 2022”. Any fractional shares as result of this issuance will be rounded up to the nearest whole share.
Except as specifically set forth herein, the Notes shall remain in full force and effect and shall not be waived, modified, superseded or otherwise affected by this letter agreement. This letter agreement is not to be construed as a release, waiver or modification of any of the terms, representations, warranties, covenants, rights or remedies set forth in the Note, except as specifically set forth herein.
C:
If the foregoing accurately sets forth your understanding concerning this matter, please acknowledge your concurrence by signing this letter agreement in the space indicated below and e-mailing it back to me at shandy@opti-harvest.com.
Section 7 of the Note and Warrant Purchase Agreement executed in connection with the Offering states, in relevant part, that “[a]ny provision of this Agreement and the Notes may be amended, waived or modified only upon the written consent of the Company and a Majority in Interest of Investors….” Accordingly, I will notify the holders of the Notes that the majority interest threshold has been met as such time as the Company has received the signatures of a majority interest in the Notes.
Please contact me at shandy@opti-harvest.com or ____________ with any questions.
Sincerely, | ||
OPTI-HARVEST, INC. | ||
By: | ||
Name: | Steve Handy | |
Title: | Chief Financial Officer |
Accepted and Agreed:
Name of Holder of Note: ____________________ | |
Signature: _________________________________ | |
Print Name Person | |
Signing for Entity (if applicable): ____________________ | |
Title (if signing for an entity): ___________________ | |
Date: _________________, 2022 |
C:
C: 2 |
This ‘S-1’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed on: | 8/31/22 | None on these Dates | ||
6/15/22 | ||||
5/6/22 | ||||
12/15/21 | ||||
10/15/21 | ||||
9/23/21 | ||||
List all Filings |
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 1/11/24 Opti-Harvest, Inc. S-1/A 73:15M M2 Compliance LLC/FA 12/29/23 Opti-Harvest, Inc. S-1/A 78:15M M2 Compliance LLC/FA 11/20/23 Opti-Harvest, Inc. 10-Q 9/30/23 57:5.6M M2 Compliance LLC/FA 8/21/23 Opti-Harvest, Inc. 10-Q 6/30/23 57:5.5M M2 Compliance LLC/FA 6/26/23 Opti-Harvest, Inc. S-1 74:14M M2 Compliance LLC/FA 6/21/23 Opti-Harvest, Inc. POS AM 74:14M M2 Compliance LLC/FA 5/18/23 Opti-Harvest, Inc. 10-Q 3/31/23 57:4.7M M2 Compliance LLC/FA 4/17/23 Opti-Harvest, Inc. 10-K 12/31/22 68:7M M2 Compliance LLC/FA 2/08/23 Opti-Harvest, Inc. S-1/A 2:96K M2 Compliance LLC/FA 2/03/23 Opti-Harvest, Inc. S-1/A 80:13M M2 Compliance LLC/FA 1/13/23 Opti-Harvest, Inc. S-1/A 78:13M M2 Compliance LLC/FA |