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 | Alkeon Asia Growth, LP | 1410054 | 03/05/2015 | D/A | Indefinite | $46,067,011 |
| SANDERS MORRIS HARRIS INC. | 20580 | MCI Preferred Income Fund II, LLC | 1713236 | 07/11/2018 | D/A | $200,000,000 | $45,921,863 |
| SANDERS MORRIS HARRIS INC. | 20580 | KEYSTONE PRIVATE EQUITY OPPORTUNITIES II LP | 1451315 | 11/17/2009 | D/A | $150,000,000 | $45,350,000 |
| SANDERS MORRIS HARRIS INC. | 20580 | Alden Global Distressed Opportunities Fund (Cayman), L.P. | 1453506 | 07/15/2013 | D/A | Indefinite | $43,370,490 |
| SANDERS MORRIS HARRIS INC. | 20580 | DUNBAR CAPITAL INTERNATIONAL LTD | 1271422 | 03/17/2009 | D/A | Indefinite | $43,032,007 |
| SANDERS MORRIS HARRIS INC. | 20580 | Grey K Fund, LP | 1407070 | 03/12/2010 | D/A | Indefinite | $41,391,188 |
| SANDERS MORRIS HARRIS INC. | 20580 | Grey K Fund, LP | 1407070 | 03/09/2011 | D/A | Indefinite | $41,391,188 |
| SANDERS MORRIS HARRIS INC. | 20580 | Preferred Income Partners IV, LLC | 1457305 | 03/03/2010 | D/A | $50,000,000 | $40,667,818 |
| SANDERS MORRIS HARRIS INC. | 20580 | SKK 9i Ventures QP, LLC | 1787199 | 04/28/2023 | D/A | Indefinite | $38,967,850 |
| SANDERS MORRIS HARRIS INC. | 20580 | PENN DISTRESSED FUND L P | 1231294 | 03/14/2011 | D/A | Indefinite | $38,752,845 |