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 |
|---|---|---|---|---|---|---|---|
| SIGNATURE CAPITAL SECURITIES LLC | 43557 | VIRxSYS Corp | 1081596 | 12/22/2011 | D | $30,000,000 | $999,999 |
| DEWITT MARSHALL LOVELACE | 5840850 | TRANZLOGIC, LLC | 1562579 | 11/22/2013 | D/A | $1,000,000 | $999,968 |
| COKER & PALMER | 29163 | TRANZLOGIC, LLC | 1562579 | 11/22/2013 | D/A | $1,000,000 | $999,968 |
| GREAT POINT CAPITAL LLC | 114203 | BR Westerly, DST | 1794982 | 11/25/2019 | D | $38,053,704 | $999,428 |
| EMERSON EQUITY LLC | 130032 | BR Westerly, DST | 1794982 | 11/25/2019 | D | $38,053,704 | $999,428 |
| BLUEROCK CAPITAL MARKETS LLC | 136974 | BR Westerly, DST | 1794982 | 11/25/2019 | D | $38,053,704 | $999,428 |
| COURTLANDT SECURITIES CORPORATION | 137356 | BR Westerly, DST | 1794982 | 11/25/2019 | D | $38,053,704 | $999,428 |
| AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. | 18487 | BR Westerly, DST | 1794982 | 11/25/2019 | D | $38,053,704 | $999,428 |
| LIGHTPATH CAPITAL, INC | 34617 | BR Westerly, DST | 1794982 | 11/25/2019 | D | $38,053,704 | $999,428 |
| CAMBRIDGE INVESTMENT RESEARCH, INC. | 39543 | BR Westerly, DST | 1794982 | 11/25/2019 | D | $38,053,704 | $999,428 |