Kaival Brands Files S-1/A Amendment

TL;DR

Kaival Brands filed an S-1/A amendment, keep an eye on their filings for potential stock activity.

AI Summary

Kaival Brands Innovations Group, Inc. filed an S-1/A amendment on June 18, 2024, related to its registration statement (No. 333-279045). The filing, originating from Grant-Valkaria, Florida, details the company's business operations in non-store retailing. This amendment is part of an ongoing process to register securities with the SEC.

Why It Matters

This filing indicates ongoing regulatory activity for Kaival Brands, which is a necessary step for companies looking to issue or have previously issued securities to the public.

Risk Assessment

Risk Level: medium — S-1/A filings often relate to the issuance or sale of securities, which can introduce volatility and risk for investors.

Key Numbers

• 333-279045 — Registration Number (Identifies the specific registration statement being amended.)
• June 18, 2024 — Filing Date (The date this amendment was submitted to the SEC.)

Key Players & Entities

• Kaival Brands Innovations Group, Inc. (company) — Registrant
• 333-279045 (dollar_amount) — SEC Registration Number
• June 18, 2024 (date) — Filing Date
• Nirajkumar Patel (person) — Chief Executive Officer
• Grant-Valkaria, Florida (location) — Principal Executive Offices

FAQ

Key Financial Figures

• $5.96 — stock, at an assumed offering price of $5.96 per unit, which is equal to the closing
• $5,000,000 — ne 14, 2024 for gross proceeds of up to $5,000,000. The common warrants included in the un
• $0 — d to the public in this offering, minus $0.001, and the exercise price of each pre
• $0.001 — ncluded in the pre-funded units will be $0.001 per share. The pre-funded warrants will

Filing Documents

• e5748_s1a5.htm (S-1/A) — 443KB
• e5748_ex4-5.htm (EX-4.5) — 97KB
• e5748_ex4-6.htm (EX-4.6) — 96KB
• e5748_ex5-1.htm (EX-5.1) — 9KB
• e5748_ex10-29.htm (EX-10.29) — 217KB
• e5748_ex23-1.htm (EX-23.1) — 3KB
• image_001.jpg (GRAPHIC) — 8KB
• image_002.jpg (GRAPHIC) — 4KB
• image_005.jpg (GRAPHIC) — 5KB
• 0001731122-24-000969.txt ( ) — 891KB

RISK FACTORS

RISK FACTORS 10 SPECIAL NOTE REGARDING FORWARD-LOOKING STATEMENTS 15

DILUTION

DILUTION 18 CAPITALIZATION 19 MANAGEMENT 20

DESCRIPTION OF SECURITIES

DESCRIPTION OF SECURITIES 22 PLAN OF DISTRIBUTION 27 LEGAL MATTERS 33 EXPERTS 33 WHERE YOU CAN FIND MORE INFORMATION 34 INCORPORATION OF CERTAIN INFORMATION BY REFERENCE 34 ABOUT THIS PROSPECTUS We incorporate by reference important information into this prospectus. You may obtain the information incorporated by reference without charge by following the instructions under “ Where You Can Find More Information .” You should carefully read this prospectus as well as additional information described under “ Incorporation of Certain Information by Reference ,” before deciding to invest in our securities. We have not, and the placement agent has not, authorized anyone to provide any information or to make any representations other than those contained in this prospectus or in any free writing prospectuses prepared by or on behalf of us or to which we have referred you. We take no responsibility for, and can provide no assurance as to the reliability of, any other information that others may give you. This prospectus is an offer to sell only the securities offered hereby, and only under circumstances and in jurisdictions where it is lawful to do so. The information contained in this prospectus or in any applicable free writing prospectus is current only as of its date, regardless of its time of delivery or any sale of our securities. Our business, financial condition, results of operations and prospects may have changed since that date. To the extent there is a conflict between the information contained in this prospectus, on the one hand, and the information contained in any document filed with the Securities and Exchange Commission before the date of this prospectus and incorporated by reference herein, on the other hand, you should rely on the information in this prospectus. If any statement in a document incorporated by reference is inconsistent with a statement in another document incorporated by reference having a later d

Forward-Looking Statements.”

Forward-Looking Statements.” Pursuant to Item 10(f) of Regulation S-K promulgated under the Securities Act of 1933, as amended, as indicated herein, we have elected to comply with the scaled disclosure requirements applicable to “smaller reporting companies,” including providing two years of audited financial statements. We further note that the representations, warranties and covenants made by us in any agreement that is filed as an exhibit to the registration statement of which this prospectus is a part were made solely for the benefit of the parties to such agreement, including, in some cases, for the purpose of allocating risk among the parties to such agreements, and should not be deemed to be a representation, warranty or covenant to you. Moreover, such representations, warranties or covenants were accurate only as of the date when made. Accordingly, such representations, warranties and covenants should not be relied on as accurately representing the current state of our affairs. We own or have rights to trademarks or trade names that we use in connection with the operation of our business, including our corporate names, logos and website names. In addition, we own or have the rights to copyrights, trade secrets and other proprietary rights that protect the content of our products. This prospectus may also contain trademarks, service marks and trade names of other companies, which are the property of their respective to, and should not be read to, imply a relationship with or endorsement or sponsorship of us. Solely for convenience, some of the copyrights, trade names and trademarks referred to in this prospectus are listed without their ©, ® and ™ symbols, but we will assert, to the fullest extent under applicable law, our rights to our copyrights, trade names and trademarks. All other tra

View Full Filing

View this S-1/A filing on SEC EDGAR