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 | CAPITAL STRUCTURE OPPORTUNITIES FUND LP | 1001486 | 03/14/2011 | D/A | Indefinite | $29,807,278 |
| SANDERS MORRIS HARRIS INC. | 20580 | Rainier Income & Growth Fund III LLC | 1386185 | 03/26/2009 | D/A | $50,000,000 | $29,326,463 |
| SANDERS MORRIS HARRIS INC. | 20580 | CAPITAL STRUCTURE OPPORTUNITIES FUND LP | 1001486 | 03/12/2010 | D/A | Indefinite | $28,883,438 |
| SANDERS MORRIS HARRIS INC. | 20580 | Alden Global Value Recovery Fund (Cayman), Ltd. | 1490667 | 05/15/2012 | D/A | Indefinite | $28,127,455 |
| SANDERS MORRIS HARRIS INC. | 20580 | XinVivo, Inc. | 1772604 | 08/29/2019 | D/A | $25,300,011 | $25,300,011 |
| SANDERS MORRIS HARRIS INC. | 20580 | Penn Mid Cap Equity Fund, L.P. | 1481060 | 03/11/2016 | D/A | Indefinite | $25,165,025 |
| SANDERS MORRIS HARRIS INC. | 20580 | Penn Mid Cap Equity Fund, L.P. | 1481060 | 12/27/2016 | D/A | Indefinite | $25,165,025 |
| SANDERS MORRIS HARRIS INC. | 20580 | Penn Mid Cap Equity Fund, L.P. | 1481060 | 12/26/2017 | D/A | Indefinite | $25,165,025 |