Small Company Offering and Sale of Securities Without Registration (d)
June 24 2021 - 04:10PM
Edgar (US Regulatory)
o
None
Entity
Type |
0001694617
|
Royale Energy Holdings, Inc.
|
x Corporation
o Limited
Partnership
o Limited Liability
Company
o General
Partnership
o Business
Trust
o Other
|
Name of Issuer |
Royale Energy,
Inc.
|
Jurisdiction of
Incorporation/Organization |
DELAWARE |
|
Year of Incorporation/Organization |
|
o |
Over Five Years
Ago |
|
x |
Within Last Five
Years (Specify Year) |
2016 |
|
o |
Yet to Be
Formed |
|
2. Principal Place of Business and Contact Information |
Name of
Issuer |
|
Royale
Energy, Inc. |
|
Street Address
1 |
Street Address
2 |
1870 CORDELL COURT, SUITE 210 |
|
City |
State/Province/Country |
ZIP/Postal Code |
Phone No. of
Issuer |
EL CAJON |
CALIFORNIA |
92020 |
6193836600 |
Last
Name |
First
Name |
Middle
Name |
Vogel |
Robert |
|
Street Address
1 |
Street Address 2 |
1870 Cordell Court |
Suite 210 |
City |
State/Province/Country |
ZIP/Postal
Code |
El Cajon |
CALIFORNIA |
92020 |
Relationship: |
o |
Executive
Officer |
x |
Director |
o |
Promoter |
Clarification of
Response (if Necessary) |
|
|
Last
Name |
First
Name |
Middle
Name |
Gregory |
Jonathan |
|
Street Address
1 |
Street Address 2 |
1870 Cordell Court |
Suite 210 |
City |
State/Province/Country |
ZIP/Postal
Code |
El Cajon |
CALIFORNIA |
92020 |
Relationship: |
o |
Executive
Officer |
x |
Director |
o |
Promoter |
Clarification of
Response (if Necessary) |
|
|
Last
Name |
First
Name |
Middle
Name |
Jordan |
Johnny |
|
Street Address
1 |
Street Address 2 |
1870 Cordell Court |
Suite 210 |
City |
State/Province/Country |
ZIP/Postal
Code |
El Cajon |
CALIFORNIA |
92020 |
Relationship: |
x |
Executive
Officer |
x |
Director |
o |
Promoter |
Clarification of
Response (if Necessary) |
|
|
Last
Name |
First
Name |
Middle
Name |
Riggs |
Mel |
G. |
Street Address
1 |
Street Address 2 |
1870 Cordell Court |
Suite 210 |
City |
State/Province/Country |
ZIP/Postal
Code |
El Cajon |
CALIFORNIA |
92020 |
Relationship: |
o |
Executive
Officer |
x |
Director |
o |
Promoter |
Clarification of
Response (if Necessary) |
|
|
Last
Name |
First
Name |
Middle
Name |
Gladney |
Tom |
|
Street Address
1 |
Street Address 2 |
1870 Cordell Court |
Suite 210 |
City |
State/Province/Country |
ZIP/Postal
Code |
El Cajon |
CALIFORNIA |
92020 |
Relationship: |
o |
Executive
Officer |
x |
Director |
o |
Promoter |
Clarification of
Response (if Necessary) |
|
|
Last
Name |
First
Name |
Middle
Name |
Kerns |
Karen |
|
Street Address
1 |
Street Address 2 |
1870 Cordell Court |
Suite 210 |
City |
State/Province/Country |
ZIP/Postal
Code |
El Cajon |
CALIFORNIA |
92020 |
Relationship: |
o |
Executive
Officer |
x |
Director |
o |
Promoter |
Clarification of
Response (if Necessary) |
|
|
Last
Name |
First
Name |
Middle
Name |
Hosmer |
Donald |
|
Street Address
1 |
Street Address 2 |
1870 Cordell Court |
Suite 210 |
City |
State/Province/Country |
ZIP/Postal
Code |
El Cajon |
CALIFORNIA |
92020 |
Relationship: |
x |
Executive
Officer |
o |
Director |
o |
Promoter |
Clarification of
Response (if Necessary) |
|
Co-Founder |
Last
Name |
First
Name |
Middle
Name |
Hosmer |
Stephen |
|
Street Address
1 |
Street Address 2 |
1870 Cordell Court |
Suite 210 |
City |
State/Province/Country |
ZIP/Postal
Code |
El Cajon |
CALIFORNIA |
92020 |
Relationship: |
x |
Executive
Officer |
o |
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 |
o |
Other |
|
o |
Residential |
|
|
o |
Other Real
Estate |
|
o |
Business Services |
|
|
Energy |
|
|
o |
Coal
Mining |
|
|
o |
Electric
Utilities |
|
|
o |
Energy
Conservation |
|
|
o |
Environmental
Services |
|
|
x |
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 |
o |
Over
$100,000,000 |
o |
Over
$100,000,000 |
x |
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) |
o |
Rule 506(b) |
o |
Rule 504 (b)(1)(ii) |
x |
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 |
2021-06-18 |
o |
First Sale Yet to Occur |
Does the Issuer intend this offering to last more than
one year? |
o |
Yes |
x |
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 |
x |
Mineral Property Securities |
o |
Option, Warrant or Other Right to Acquire Another
Security |
o |
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 |
$ 25000 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 |
$ 4545000 USD |
o Indefinite |
Total Amount
Sold |
$ 125000 USD |
|
Total Remaining to
be Sold |
$ 4420000 USD |
o
Indefinite |
|
Clarification of
Response (if Necessary) |
|
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: |
1 |
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 |
$ 272700 USD |
x |
Estimate |
Finders' Fees |
$ 0 USD |
o |
Estimate |
|
Clarification
of Response (if Necessary) |
Units are being offered by the Company through
authorized employees. The Company may engage broker dealers who are
members of FINRA that may offer such units on a "best efforts"
basis and be paid a commission on units sold through them of up to
6%. |
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.
|
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