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 |
|---|---|---|---|---|---|---|---|
| BRENTWOOD CAPITAL ADVISORS LLC | 118712 | Medical Direct Club, LLC | 1476005 | 08/01/2012 | D | $4,999,999 | $4,999,999 |
| M.E.S.A. SECURITIES, INC. | 136138 | MOG INC | 1357675 | 03/19/2010 | D/A | $4,999,999 | $4,999,999 |
| WOMBAT CAPITAL MARKETS LLC | 162699 | ASCENDIA PHARMACEUTICALS, INC. | 1855888 | 04/20/2021 | D | $9,999,999 | $4,999,999 |
| CHARLES TOWNE SECURITIES, LLC | 172278 | FX HedgePool, Inc. | 1934248 | 07/14/2022 | D | $7,999,995 | $4,999,999 |
| SG COWEN SECURITIES CORPORATION | 7616 | GigPeak, Inc. | 1432150 | 04/12/2016 | D | $4,999,997 | $4,999,997 |
| AEGIS CAPITAL CORP. | 15007 | Aquyre Biosciences Inc | 1887377 | 05/13/2022 | D/A | $5,000,000 | $4,999,995 |
| WEDBUSH SECURITIES INC. | 877 | Coeur d'Alene Bancorp, Inc. | 1496955 | 05/15/2019 | D/A | $5,000,000 | $4,999,995 |
| CEROS FINANCIAL SERVICES, INC. | 37869 | Aquyre Biosciences Inc | 1887377 | 05/13/2022 | D/A | $5,000,000 | $4,999,995 |
| CIM SECURITIES, LLC | 120852 | Bond Biosciences, Inc. | 1824224 | 12/08/2020 | D/A | $6,000,000 | $4,999,991 |
| ARCADIA SECURITIES, LLC | 44656 | Calidi Biotherapeutics, Inc. | 1758478 | 06/29/2023 | D | $25,000,000 | $4,999,975 |