Broker-Dealers on SEC Form D for SANDERS MORRIS HARRIS INC.

Form Ds provide information on individual, unregistered securities offerings.

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Displaying 10 out of 21 results

Recipient	CRD	Primary Issuer	CIK	Filing Date	Form Type	Total Offering Amount	Total Amount Sold
SANDERS MORRIS HARRIS INC.	20580	PENN CONVERTIBLE FUND LP	1460893	12/27/2016	D/A	Indefinite	$9,466,476
SANDERS MORRIS HARRIS INC.	20580	PENN CONVERTIBLE FUND LP	1460893	12/26/2017	D/A	Indefinite	$9,466,476
SANDERS MORRIS HARRIS INC.	20580	PENN CONVERTIBLE FUND LP	1460893	12/14/2018	D/A	Indefinite	$9,466,476
SANDERS MORRIS HARRIS INC.	20580	PENN DIVERSIFIED MICRO CAP EQUITY FUND LP	1461084	12/27/2016	D/A	Indefinite	$9,407,322
SANDERS MORRIS HARRIS INC.	20580	PENN DIVERSIFIED MICRO CAP EQUITY FUND LP	1461084	12/26/2017	D/A	Indefinite	$9,407,322
SANDERS MORRIS HARRIS INC.	20580	PENN DIVERSIFIED MICRO CAP EQUITY FUND LP	1461084	12/14/2018	D/A	Indefinite	$9,407,322
SANDERS MORRIS HARRIS INC.	20580	SMH PRIVATE EQUITY GROUP III, L.P.	1534347	11/28/2011	D	Indefinite	$9,188,800
SANDERS MORRIS HARRIS INC.	20580	MCI Preferred Income Fund IV, LLC	1774415	06/12/2020	D/A	$500,000,000	$9,110,150
SANDERS MORRIS HARRIS INC.	20580	PENN Capital Pioneer Energy Fund, L.P.	1474376	12/27/2016	D/A	Indefinite	$8,891,921
SANDERS MORRIS HARRIS INC.	20580	SMH Valley Vet SPV LLC	1898968	12/15/2021	D	$8,100,000	$8,100,000

21 Results

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