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 |
|---|---|---|---|---|---|---|---|
| SANDERS MORRIS HARRIS INC. | 20580 | PENN DISTRESSED FUND L P | 1231294 | 03/16/2015 | D/A | Indefinite | $14,808,845 |
| SANDERS MORRIS HARRIS INC. | 20580 | PENN DISTRESSED FUND L P | 1231294 | 03/10/2016 | D/A | Indefinite | $14,808,845 |
| SANDERS MORRIS HARRIS INC. | 20580 | PENN DISTRESSED FUND L P | 1231294 | 12/27/2016 | D/A | Indefinite | $14,808,845 |
| SANDERS MORRIS HARRIS INC. | 20580 | PENN DISTRESSED FUND L P | 1231294 | 12/26/2017 | D/A | Indefinite | $14,808,845 |
| SANDERS MORRIS HARRIS INC. | 20580 | PENN DISTRESSED FUND L P | 1231294 | 03/15/2013 | D/A | Indefinite | $14,658,845 |
| SANDERS MORRIS HARRIS INC. | 20580 | Tectonic Holdings, LLC | 1706364 | 05/24/2017 | D | $14,474,999 | $14,474,999 |
| SANDERS MORRIS HARRIS INC. | 20580 | PENN DISTRESSED FUND L P | 1231294 | 03/15/2012 | D/A | Indefinite | $14,437,845 |
| SANDERS MORRIS HARRIS INC. | 20580 | PENN DISTRESSED FUND L P | 1231294 | 03/12/2010 | D/A | Indefinite | $14,187,845 |
| SANDERS MORRIS HARRIS INC. | 20580 | Alden Global Value Recovery Fund (Cayman), Ltd. | 1490667 | 05/15/2014 | D/A | Indefinite | $14,124,002 |
| SANDERS MORRIS HARRIS INC. | 20580 | PREFERRED YIELD PLUS LP | 1122892 | 01/10/2012 | D/A | Indefinite | $13,331,748 |