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 | Aeterna Zentaris Inc. | 1113423 | 10/01/2019 | D | $4,987,500 | $4,987,500 |
| MAXIM GROUP LLC | 120708 | RiceBran Technologies | 1063537 | 04/02/2014 | D | $7,000,000 | $4,898,649 |
| MAXIM GROUP LLC | 120708 | PROFIRE ENERGY INC | 1289636 | 12/03/2013 | D | $4,735,843 | $4,735,843 |
| MAXIM GROUP LLC | 120708 | LB PHARMACEUTICALS INC | 1691082 | 09/01/2020 | D | $10,000,000 | $4,629,200 |
| MAXIM GROUP LLC | 120708 | Lipidio Pharmaceuticals Inc. | 1794644 | 11/21/2019 | D | $12,000,000 | $4,622,530 |
| MAXIM GROUP LLC | 120708 | Capnia, Inc. | 1484565 | 10/22/2015 | D | $10,000,000 | $4,555,000 |
| MAXIM GROUP LLC | 120708 | US Dry Cleaning Services Corp | 920317 | 10/05/2011 | D | $8,000,000 | $4,500,000 |
| MAXIM GROUP LLC | 120708 | ACORN ENERGY, INC. | 880984 | 11/17/2014 | D | $4,500,000 | $4,500,000 |
| MAXIM GROUP LLC | 120708 | REGENERX BIOPHARMACEUTICALS INC | 707511 | 07/13/2016 | D | $4,375,000 | $4,375,000 |
| MAXIM GROUP LLC | 120708 | CONTRAFECT Corp | 1478069 | 08/23/2010 | D | $10,000,000 | $4,326,603 |