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 | Compass Acquisition CORP | 1381790 | 09/30/2010 | D | $15,000,000 | $9,600,000 |
| MAXIM GROUP LLC | 120708 | Soliton, Inc. | 1548187 | 06/17/2019 | D | $9,450,000 | $9,450,000 |
| MAXIM GROUP LLC | 120708 | Axion Power International, Inc. | 1028153 | 11/20/2015 | D | $9,363,530 | $9,363,530 |
| MAXIM GROUP LLC | 120708 | Cryoport, Inc. | 1124524 | 02/24/2011 | D | $11,000,000 | $9,353,462 |
| MAXIM GROUP LLC | 120708 | SELLAS Life Sciences Group, Inc. | 1390478 | 08/31/2020 | D | $9,151,500 | $9,151,500 |
| MAXIM GROUP LLC | 120708 | Axion Power International, Inc. | 1028153 | 05/23/2013 | D | $9,000,000 | $9,000,000 |
| MAXIM GROUP LLC | 120708 | YieldMo, Inc. | 1593326 | 06/23/2017 | D | $10,000,000 | $8,873,801 |
| MAXIM GROUP LLC | 120708 | Workhorse Group Inc. | 1425287 | 11/12/2015 | D | $20,000,000 | $8,750,001 |
| MAXIM GROUP LLC | 120708 | Stratus Media Group, Inc | 1053691 | 07/20/2011 | D | $10,000,000 | $8,700,000 |
| MAXIM GROUP LLC | 120708 | Elicio Therapeutics, Inc. | 1555192 | 03/13/2020 | D | $8,411,801 | $8,411,801 |