Netcapital, a FinTech firm operating a digital private capital markets ecosystem, has announced a fresh funding deal under Nasdaq rules.
The company has secured $5m upfront in a registered direct offering with up to an additional $4.9m of potential gross proceeds from the exercise of short-term warrants. The offering was led by H.C. Wainwright & Co, which acted as the exclusive placement agent.
Netcapital operates a scalable technology platform that enables private companies to raise capital online while offering private equity investment opportunities to investors.
The firm’s services include Netcapital Advisors, which provides marketing and strategic advice, and its Netcapital Funding Portal, registered with the SEC and a member of FINRA. Netcapital Securities Inc., the company’s broker-dealer, is also SEC-registered and a FINRA member.
The funds raised in this round will be used by Netcapital to repay certain outstanding promissory notes and for general working capital.
The registered direct offering includes 714,286 shares of common stock at $7 per share, while the private placement will issue unregistered short-term warrants to purchase the same number of shares at $6.88 per share.
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