The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. The reader should not assume that the information is accurate and complete.
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM D
2. Principal Place of Business and Contact Information
Name of Issuer
Surna Inc.
Street Address 1
Street Address 2
1780 55TH STREET, SUITE C
City
State/Province/Country
ZIP/PostalCode
Phone Number of Issuer
BOULDER
COLORADO
80301
(303) 993-5271
3. Related Persons
Last Name
First Name
Middle Name
Bechtel
Chris
Street Address 1
Street Address 2
1780 55th Street, Suite C
City
State/Province/Country
ZIP/PostalCode
Boulder
COLORADO
80301
Relationship:
X
Executive Officer
X
Director
Promoter
Clarification of Response (if Necessary):
Last Name
First Name
Middle Name
Simonton
J. Taylor
Street Address 1
Street Address 2
1780 55th Street, Suite C
City
State/Province/Country
ZIP/PostalCode
Boulder
COLORADO
80301
Relationship:
Executive Officer
X
Director
Promoter
Clarification of Response (if Necessary):
Last Name
First Name
Middle Name
Keating
Timothy
J.
Street Address 1
Street Address 2
1780 55th Street, Suite C
City
State/Province/Country
ZIP/PostalCode
Boulder
COLORADO
80301
Relationship:
Executive Officer
X
Director
Promoter
Clarification of Response (if Necessary):
4. Industry Group
Agriculture
Banking & Financial Services
Commercial Banking
Insurance
Investing
Investment Banking
Pooled Investment Fund
Is the issuer registered as an investment company under the Investment Company Act of 1940?
Yes
No
Other Banking & Financial Services
Business Services
Energy
Coal Mining
Electric Utilities
Energy Conservation
Environmental Services
Oil & Gas
Other Energy
Health Care
Biotechnology
Health Insurance
Hospitals & Physicians
Pharmaceuticals
Other Health Care
Manufacturing
Real Estate
Commercial
Construction
REITS & Finance
Residential
Other Real Estate
Retailing
Restaurants
Technology
Computers
Telecommunications
X
Other Technology
Travel
Airlines & Airports
Lodging & Conventions
Tourism & Travel Services
Other Travel
Other
5. Issuer Size
Revenue Range
OR
Aggregate Net Asset Value Range
No Revenues
No Aggregate Net Asset Value
$1 – $1,000,000
$1 – $5,000,000
$1,000,001 – $5,000,000
$5,000,001 – $25,000,000
X
$5,000,001 – $25,000,000
$25,000,001 – $50,000,000
$25,000,001 – $100,000,000
$50,000,001 – $100,000,000
Over $100,000,000
Over $100,000,000
Decline to Disclose
Decline to Disclose
Not Applicable
Not Applicable
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
Rule 504(b)(1) (not (i), (ii) or (iii))
Rule 504 (b)(1)(i)
Rule 504 (b)(1)(ii)
Rule 504 (b)(1)(iii)
X
Rule 506(b)
Rule 506(c)
Securities Act Section 4(a)(5)
Investment Company Act Section 3(c)
Section 3(c)(1)
Section 3(c)(9)
Section 3(c)(2)
Section 3(c)(10)
Section 3(c)(3)
Section 3(c)(11)
Section 3(c)(4)
Section 3(c)(12)
Section 3(c)(5)
Section 3(c)(13)
Section 3(c)(6)
Section 3(c)(14)
Section 3(c)(7)
7. Type of Filing
X
New Notice
Date of First Sale
2018-05-23
First Sale Yet to Occur
Amendment
8. Duration of Offering
Does the Issuer intend this offering to last more than one year?
Yes
X
No
9. Type(s) of Securities Offered (select all that apply)
X
Equity
Pooled Investment Fund Interests
Debt
Tenant-in-Common Securities
X
Option, Warrant or Other Right to Acquire Another Security
Mineral Property Securities
Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security
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?
Yes
X
No
Clarification of Response (if Necessary):
11. Minimum Investment
Minimum investment accepted from any outside investor
$10,000
USD
12. Sales Compensation
Recipient
Recipient CRD Number
X
None
None
None
(Associated) Broker or Dealer
X
None
(Associated) Broker or Dealer CRD Number
X
None
None
None
Street Address 1
Street Address 2
NONE
NONE
City
State/Province/Country
ZIP/Postal Code
NONE
Unknown
None
State(s) of Solicitation (select all that apply) Check “All States” or check individual States
All States
Foreign/non-US
COLORADO
CONNECTICUT
DELAWARE
GEORGIA
TEXAS
13. Offering and Sales Amounts
Total Offering Amount
$1,210,000
USD
or
Indefinite
Total Amount Sold
$1,210,000
USD
Total Remaining to be Sold
$0
USD
or
Indefinite
Clarification of Response (if Necessary):
14. Investors
Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the 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:
9
15. Sales Commissions & Finder’s 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
$0
USD
Estimate
Finders’ Fees
$0
USD
Estimate
Clarification of Response (if Necessary):
16. Use of Proceeds
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
Estimate
Clarification of Response (if Necessary):
Signature and Submission
Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.
Terms of Submission
In submitting this notice, each issuer named above is:
Notifying the SEC and/or each State in which this notice is filed of the offering of
securities described and undertaking to furnish them, upon written request, in the accordance with applicable
law, the information furnished to offerees.*
Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator
or other legally designated officer of the State in which the issuer maintains its principal
place of business and any State in which this notice is filed, as its agents for service of
process, and agreeing that these persons may accept service on its behalf, of any notice,
process or pleading, and further agreeing that such service may be made by registered or
certified mail, in any Federal or state action, administrative proceeding, or arbitration
brought against the issuer in any place subject to the jurisdiction of the United States, if the
action, proceeding or arbitration (a) arises out of any activity in connection with the
offering of securities that is the subject of this notice, and (b) is founded, directly or
indirectly, upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange
Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the
Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii)
the laws of the State in which the issuer maintains its principal place of business or any State
in which this notice is filed.
Certifying that, if the issuer is claiming a Regulation D exemption for the offering, the issuer is not disqualified from relying on Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) or Rule 506(d).
Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.
For signature, type in the signer’s name or other letters or characters adopted or authorized as the signer’s signature.
Issuer
Signature
Name of Signer
Title
Date
Surna Inc.
/s/ Chris Bechtel
Chris Bechtel
Chief Executive Officer
2018-06-13
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.
* This undertaking does not affect any limits Section 102(a) of the National Securities Markets
Improvement Act of 1996 (“NSMIA”) [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to
require information. As a result, if the securities that are the subject of this Form D are “covered securities” for purposes
of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot
routinely require offering materials under this undertaking or otherwise and can require offering materials only to the
extent NSMIA permits them to do so under NSMIA’s preservation of their anti-fraud authority.
