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 |
|---|---|---|---|---|---|---|---|
| HOULIHAN LOKEY CAPITAL, INC. | 17708 | BOOM ENTERTAINMENT INC | 1406132 | 06/15/2017 | D | $9,999,999 | $9,999,999 |
| THE BENCHMARK COMPANY, LLC | 22982 | Winc, Inc. | 1782627 | 06/16/2021 | D | $13,999,998 | $9,999,999 |
| THE LEADERS GROUP, INC. | 37157 | Lombard International Life Assurance Co Separate Account VL 380 | 1910928 | 04/18/2023 | D/A | Indefinite | $9,999,999 |
| Jonathan Donfeld | 5845355 | Lombard International Life Assurance Co Separate Account VL 380 | 1910928 | 04/18/2023 | D/A | Indefinite | $9,999,999 |
| BOWEN ADVISORS, INC. | 142930 | RedShift BioAnalytics, Inc. | 1349049 | 10/29/2021 | D | $19,999,998 | $9,999,998 |
| H.C. WAINWRIGHT & CO., INC. | 375 | TENAX THERAPEUTICS, INC. | 34956 | 07/20/2021 | D | $9,999,998 | $9,999,998 |
| FIG PARTNERS, LLC | 41554 | PILOT BANCSHARES INC | 946608 | 10/30/2018 | D | $10,000,000 | $9,999,997 |
| SG COWEN SECURITIES CORPORATION | 7616 | Victory Pharma Inc | 1459010 | 03/23/2009 | D | $9,999,997 | $9,999,997 |
| LAZARD FRERES & CO. LLC | 2528 | Ciris Energy Inc | 1414135 | 02/27/2013 | D | $29,999,951 | $9,999,961 |
| ARC SECURITIES, LLC | 38045 | LOOKINGGLASS CYBER SOLUTIONS, INC. | 1532920 | 05/09/2018 | D | $14,999,922 | $9,999,948 |