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 |
|---|---|---|---|---|---|---|---|
| AEGIS CAPITAL CORP. | 15007 | ARMADA WATER ASSETS INC | 1568996 | 08/05/2013 | D | $700,000 | $700,000 |
| AEGIS CAPITAL CORP. | 15007 | Aegis Special Situations Fund LLC - Series Medtech VI | 1893051 | 01/12/2023 | D | $6,000,000 | $685,000 |
| AEGIS CAPITAL CORP. | 15007 | SmartMetric, Inc. | 1301991 | 05/31/2013 | D | $5,100,000 | $661,783 |
| AEGIS CAPITAL CORP. | 15007 | Dance Biopharm Holdings, Inc. | 1650840 | 08/04/2016 | D | $23,000,000 | $625,000 |
| AEGIS CAPITAL CORP. | 15007 | VIRTUAL PIGGY, INC. | 1437283 | 04/03/2013 | D | $1,000,000 | $600,000 |
| AEGIS CAPITAL CORP. | 15007 | ARMADA WATER ASSETS INC | 1568996 | 12/12/2013 | D | $5,000,000 | $590,000 |
| AEGIS CAPITAL CORP. | 15007 | National Cardiac Inc. | 1778394 | 06/04/2019 | D | $10,000,000 | $580,094 |
| AEGIS CAPITAL CORP. | 15007 | Adamis Pharmaceuticals Corp | 887247 | 04/24/2013 | D | $575,000 | $575,000 |
| AEGIS CAPITAL CORP. | 15007 | TNP Profit Participation Program, LLC | 1492941 | 07/29/2010 | D/A | $40,000,000 | $540,000 |
| AEGIS CAPITAL CORP. | 15007 | TNP Profit Participation Program, LLC | 1492941 | 01/31/2011 | D/A | $40,000,000 | $540,000 |