Form Ds provide information on individual, unregistered securities offerings.
Search by Recipient Name or Primary Issuer:
| Recipient | CRD | Primary Issuer | CIK | Filing Date | Form Type | Total Offering Amount | Total Amount Sold |
|---|---|---|---|---|---|---|---|
| MAXIM GROUP LLC | 120708 | CAIS Millennium Intl. Ltd. | 1523884 | 06/10/2019 | D/A | Indefinite | $368,250,375 |
| MAXIM GROUP LLC | 120708 | CAIS Millennium Intl. Ltd. | 1523884 | 06/12/2018 | D/A | Indefinite | $327,486,775 |
| MAXIM GROUP LLC | 120708 | CAIS Millennium Intl. Ltd. | 1523884 | 10/24/2017 | D/A | Indefinite | $281,951,908 |
| MAXIM GROUP LLC | 120708 | TEI Diversified Income & Opportunity Fund IV LLC | 1728129 | 01/17/2020 | D/A | $150,000,000 | $128,639,555 |
| MAXIM GROUP LLC | 120708 | TEI Diversified Income & Opportunity Fund IV LLC | 1728129 | 01/27/2020 | D/A | $150,000,000 | $128,639,555 |
| MAXIM GROUP LLC | 120708 | CAIS Third Point Partners LLC | 1523897 | 06/01/2021 | D/A | Indefinite | $117,397,641 |
| MAXIM GROUP LLC | 120708 | CAIS Third Point Partners LLC | 1523897 | 06/07/2022 | D/A | Indefinite | $117,397,641 |
| MAXIM GROUP LLC | 120708 | CAIS Third Point Partners LLC | 1523897 | 06/08/2020 | D/A | Indefinite | $108,240,141 |
| MAXIM GROUP LLC | 120708 | CAIS Third Point Partners LLC | 1523897 | 06/10/2019 | D/A | Indefinite | $106,915,141 |
| MAXIM GROUP LLC | 120708 | CAIS Third Point Partners LLC | 1523897 | 06/12/2018 | D/A | Indefinite | $104,215,141 |