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 | AmpliTech Group, Inc. | 1518461 | 04/29/2021 | D | $23,023,200 | $23,023,200 |
| MAXIM GROUP LLC | 120708 | Cerecor Inc. | 1534120 | 04/04/2012 | D | $22,500,000 | $22,137,301 |
| MAXIM GROUP LLC | 120708 | ROCK CREEK PHARMACEUTICALS, INC. | 776008 | 10/21/2015 | D | $20,000,000 | $20,000,000 |
| MAXIM GROUP LLC | 120708 | Neuraptive Therapeutics, Inc. | 1713836 | 10/14/2022 | D | $38,132,939 | $19,490,348 |
| MAXIM GROUP LLC | 120708 | China Gerui Advanced Materials Group Ltd | 1449801 | 06/14/2010 | D | $18,831,495 | $18,831,495 |
| MAXIM GROUP LLC | 120708 | Centrexion Therapeutics Corp | 1592052 | 01/05/2017 | D | $16,564,789 | $16,564,789 |
| MAXIM GROUP LLC | 120708 | Centrexion Therapeutics Corp | 1592052 | 06/08/2022 | D | $16,475,000 | $16,475,000 |
| MAXIM GROUP LLC | 120708 | Diffusion Pharmaceuticals Inc. | 1053691 | 03/16/2017 | D | $25,000,000 | $15,830,661 |
| MAXIM GROUP LLC | 120708 | Aridis Pharmaceuticals, Inc. | 1614067 | 08/19/2016 | D | $40,000,000 | $15,216,241 |
| MAXIM GROUP LLC | 120708 | OceanPal Inc. | 1869467 | 02/23/2023 | D | $15,150,000 | $15,150,000 |