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 | Centrexion Therapeutics Corp | 1592052 | 01/02/2018 | D | $69,566,532 | $69,566,532 |
| MAXIM GROUP LLC | 120708 | CAIS DES Oculus LLC | 1523891 | 10/24/2017 | D/A | Indefinite | $64,646,763 |
| MAXIM GROUP LLC | 120708 | TEI Diversified Income & Opportunity Fund V LLC | 1796643 | 02/22/2022 | D/A | $63,657,087 | $63,657,087 |
| MAXIM GROUP LLC | 120708 | CAIS Millennium Intl. Commitment Fund Ltd. | 1887076 | 06/07/2022 | D/A | Indefinite | $59,705,000 |
| MAXIM GROUP LLC | 120708 | X-Vax Technology, Inc. | 1682900 | 07/18/2019 | D/A | $58,000,000 | $56,463,455 |
| MAXIM GROUP LLC | 120708 | Edge Therapeutics, Inc. | 1472091 | 04/09/2015 | D | $56,000,000 | $55,999,978 |
| MAXIM GROUP LLC | 120708 | Recon Technology, Ltd | 1442620 | 06/23/2021 | D | $54,971,996 | $54,971,996 |
| MAXIM GROUP LLC | 120708 | Shavit Capital Fund III (U.S.), LP | 1640124 | 05/05/2015 | D | $60,000,000 | $52,130,000 |
| MAXIM GROUP LLC | 120708 | CAIS Third Point Offshore Fund Ltd. | 1523889 | 06/01/2021 | D/A | Indefinite | $50,166,400 |
| MAXIM GROUP LLC | 120708 | CAIS Third Point Offshore Fund Ltd. | 1523889 | 06/07/2022 | D/A | Indefinite | $50,166,400 |