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 | CAIS OZMF LLC | 1607350 | 10/23/2017 | D/A | Indefinite | $42,577,151 |
| MAXIM GROUP LLC | 120708 | X-Vax Technology, Inc. | 1682900 | 04/17/2019 | D/A | $55,000,000 | $42,187,450 |
| MAXIM GROUP LLC | 120708 | CAIS Third Point Offshore Fund Ltd. | 1523889 | 10/23/2017 | D/A | Indefinite | $41,252,451 |
| MAXIM GROUP LLC | 120708 | X-Vax Technology, Inc. | 1682900 | 04/15/2019 | D/A | $55,000,000 | $39,267,450 |
| MAXIM GROUP LLC | 120708 | X4 Pharmaceuticals, Inc. | 1632304 | 08/28/2015 | D | $37,500,000 | $37,499,999 |
| MAXIM GROUP LLC | 120708 | X4 Pharmaceuticals, Inc. | 1632304 | 09/21/2018 | D/A | $34,999,150 | $34,999,150 |
| MAXIM GROUP LLC | 120708 | OcuTerra Therapeutics, Inc. | 1641226 | 08/24/2021 | D/A | $50,000,000 | $31,525,965 |
| MAXIM GROUP LLC | 120708 | Centrexion Therapeutics Corp | 1592052 | 08/11/2022 | D/A | $29,140,000 | $29,140,000 |
| MAXIM GROUP LLC | 120708 | Waveguide Corp | 1640481 | 06/17/2015 | D/A | $27,000,000 | $27,000,000 |
| MAXIM GROUP LLC | 120708 | X4 Pharmaceuticals, Inc. | 1632304 | 11/15/2017 | D | $30,000,000 | $25,838,812 |