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 | Lianluo Smart Ltd | 1474627 | 03/04/2020 | D | $3,430,000 | $3,430,000 |
| MAXIM GROUP LLC | 120708 | Arch Therapeutics, Inc. | 1537561 | 06/02/2016 | D | $3,500,000 | $3,390,601 |
| MAXIM GROUP LLC | 120708 | Cryoport, Inc. | 1124524 | 09/08/2010 | D | Indefinite | $3,289,701 |
| MAXIM GROUP LLC | 120708 | Adhera Therapeutics, Inc. | 737207 | 07/11/2019 | D | $7,000,000 | $3,239,400 |
| MAXIM GROUP LLC | 120708 | Nacuity Pharmaceuticals, Inc. | 1690279 | 03/30/2021 | D | $11,000,000 | $3,171,000 |
| MAXIM GROUP LLC | 120708 | Capnia, Inc. | 1484565 | 07/06/2016 | D | $13,780,000 | $3,151,000 |
| MAXIM GROUP LLC | 120708 | Luxeyard, Inc. | 1493587 | 06/08/2012 | D | $3,116,500 | $3,116,500 |
| MAXIM GROUP LLC | 120708 | Cellular Biomedicine Group, Inc. | 1378624 | 07/26/2013 | D | $8,000,000 | $3,005,006 |
| MAXIM GROUP LLC | 120708 | BLUE SPHERE CORP. | 1419582 | 12/23/2015 | D | $3,000,000 | $3,000,000 |
| MAXIM GROUP LLC | 120708 | BARFRESH FOOD GROUP INC. | 1487197 | 10/12/2016 | D | $3,000,000 | $3,000,000 |