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 | DUNBAR CAPITAL INTERNATIONAL LTD | 1271422 | 03/17/2011 | D/A | Indefinite | $49,996,705 |
| SANDERS MORRIS HARRIS INC. | 20580 | MCI Preferred Income Fund IV, LLC | 1774415 | 07/09/2021 | D/A | $500,000,000 | $49,599,420 |
| SANDERS MORRIS HARRIS INC. | 20580 | Alkeon Asia Growth, LP | 1410054 | 02/24/2016 | D/A | Indefinite | $49,217,197 |
| SANDERS MORRIS HARRIS INC. | 20580 | Alkeon Asia Growth, LP | 1410054 | 02/23/2017 | D/A | Indefinite | $49,217,197 |
| SANDERS MORRIS HARRIS INC. | 20580 | DUNBAR CAPITAL INTERNATIONAL LTD | 1271422 | 03/17/2010 | D/A | Indefinite | $48,851,199 |
| SANDERS MORRIS HARRIS INC. | 20580 | PENN SMALL CAPITALIZATION FUND LP | 1129386 | 03/15/2012 | D/A | Indefinite | $48,850,257 |
| SANDERS MORRIS HARRIS INC. | 20580 | PENN SMALL CAPITALIZATION FUND LP | 1129386 | 03/14/2011 | D/A | Indefinite | $48,207,549 |
| SANDERS MORRIS HARRIS INC. | 20580 | BIOS Fund III QP, LP | 1791916 | 07/22/2020 | D/A | $100,000,000 | $47,968,000 |
| SANDERS MORRIS HARRIS INC. | 20580 | CAPITAL STRUCTURE OPPORTUNITIES FUND LP | 1001486 | 03/17/2014 | D/A | Indefinite | $47,631,407 |
| SANDERS MORRIS HARRIS INC. | 20580 | PENN SMALL CAPITALIZATION FUND LP | 1129386 | 03/12/2010 | D/A | Indefinite | $47,419,929 |