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 SCULPTOR MASTER FUND LLC | 1607350 | 11/18/2021 | D/A | Indefinite | $43,741,478 |
| MAXIM GROUP LLC | 120708 | CAIS SCULPTOR MASTER FUND LLC | 1607350 | 06/07/2022 | D/A | Indefinite | $43,741,478 |
| MAXIM GROUP LLC | 120708 | CAIS OZMF LLC | 1607350 | 06/12/2018 | D/A | Indefinite | $43,041,478 |
| MAXIM GROUP LLC | 120708 | CAIS OZMF LLC | 1607350 | 06/10/2019 | D/A | Indefinite | $43,041,478 |
| MAXIM GROUP LLC | 120708 | CAIS OZMF LLC | 1607350 | 06/08/2020 | D/A | Indefinite | $43,041,478 |
| MAXIM GROUP LLC | 120708 | CAIS OZMF LLC | 1607350 | 10/23/2017 | D/A | Indefinite | $42,577,151 |
| MAXIM GROUP LLC | 120708 | X-Vax Technology, Inc. | 1682900 | 04/17/2019 | D/A | $55,000,000 | $42,187,450 |
| MAXIM GROUP LLC | 120708 | CAIS Third Point Offshore Fund Ltd. | 1523889 | 10/23/2017 | D/A | Indefinite | $41,252,451 |
| MAXIM GROUP LLC | 120708 | X-Vax Technology, Inc. | 1682900 | 04/15/2019 | D/A | $55,000,000 | $39,267,450 |
| MAXIM GROUP LLC | 120708 | X4 Pharmaceuticals, Inc. | 1632304 | 09/21/2018 | D/A | $34,999,150 | $34,999,150 |