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 |
|---|---|---|---|---|---|---|---|
| CIM SECURITIES, LLC | 120852 | AnaBios Corp | 1517420 | 06/03/2016 | D/A | $8,385,556 | $5,128,808 |
| CIM SECURITIES, LLC | 120852 | Bond Biosciences, Inc. | 1824224 | 12/08/2020 | D/A | $6,000,000 | $4,999,991 |
| CIM SECURITIES, LLC | 120852 | Rezolute, Inc. | 1509261 | 04/24/2018 | D/A | $6,000,000 | $4,800,000 |
| CIM SECURITIES, LLC | 120852 | AntriaBio, Inc. | 1509261 | 03/22/2016 | D/A | $16,709,995 | $4,347,615 |
| CIM SECURITIES, LLC | 120852 | Neumentum, Inc. | 1720959 | 09/06/2019 | D/A | $7,000,000 | $3,020,000 |
| CIM SECURITIES, LLC | 120852 | SmartSoda Holdings, Inc. | 1792706 | 03/14/2023 | D/A | $3,000,000 | $3,000,000 |
| CIM SECURITIES, LLC | 120852 | Native Cardio, Inc. | 1767312 | 01/29/2020 | D/A | $6,000,000 | $2,150,101 |
| CIM SECURITIES, LLC | 120852 | Compass Group Providence Square, LLC | 1592307 | 06/25/2015 | D/A | $9,800,000 | $1,975,000 |
| CIM SECURITIES, LLC | 120852 | SmartSoda Holdings, Inc. | 1792706 | 06/24/2022 | D/A | $3,000,000 | $1,593,750 |
| CIM SECURITIES, LLC | 120852 | San Joaquin Renewables, LLC | 1749019 | 08/23/2019 | D/A | $8,000,000 | $1,125,000 |