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 | SciFluor Life Sciences, Inc. | 1641226 | 05/11/2021 | D | $40,000,000 | $14,609,408 |
| MAXIM GROUP LLC | 120708 | Vedantra Pharmaceuticals, Inc. | 1555192 | 08/03/2018 | D | $14,492,501 | $14,492,501 |
| MAXIM GROUP LLC | 120708 | PAVmed Inc. | 1624326 | 11/07/2019 | D | $14,000,000 | $14,000,000 |
| MAXIM GROUP LLC | 120708 | Waveguide Corp | 1640481 | 04/28/2015 | D | $20,000,000 | $13,920,380 |
| MAXIM GROUP LLC | 120708 | Aridis Pharmaceuticals, Inc. | 1614067 | 12/15/2016 | D | $25,000,000 | $13,642,707 |
| MAXIM GROUP LLC | 120708 | Workhorse Group Inc. | 1425287 | 12/17/2015 | D/A | $20,000,000 | $13,534,426 |
| MAXIM GROUP LLC | 120708 | Centrexion Therapeutics Corp | 1592052 | 01/26/2021 | D | $13,500,000 | $13,500,000 |
| MAXIM GROUP LLC | 120708 | PREMIER ALLIANCE GROUP, INC. | 1272550 | 03/07/2013 | D/A | $15,000,000 | $13,126,000 |
| MAXIM GROUP LLC | 120708 | LPATH, INC | 1251769 | 10/07/2014 | D | $12,527,521 | $12,527,521 |
| MAXIM GROUP LLC | 120708 | CONTRAFECT Corp | 1478069 | 09/15/2011 | D | $25,000,000 | $12,502,905 |