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 Offshore Fund, Ltd. | 1410036 | 10/26/2018 | D/A | Indefinite | $3,887,500 |
| SANDERS MORRIS HARRIS INC. | 20580 | BIOS Fund III NT, LP | 1791910 | 07/22/2020 | D/A | $100,000,000 | $3,867,000 |
| SANDERS MORRIS HARRIS INC. | 20580 | SKK 9i Ventures, LLC | 1787454 | 04/28/2023 | D/A | Indefinite | $3,784,537 |
| SANDERS MORRIS HARRIS INC. | 20580 | GREY K OFFSHORE FUND, LTD. | 1391747 | 03/12/2010 | D/A | Indefinite | $3,450,000 |
| SANDERS MORRIS HARRIS INC. | 20580 | GREY K OFFSHORE FUND, LTD. | 1391747 | 03/09/2011 | D/A | Indefinite | $3,450,000 |
| SANDERS MORRIS HARRIS INC. | 20580 | BIOS Fund III, LP | 1791917 | 07/22/2020 | D/A | $100,000,000 | $3,295,000 |
| SANDERS MORRIS HARRIS INC. | 20580 | PENN CONVERTIBLE FUND LP | 1460893 | 03/12/2010 | D/A | Indefinite | $2,449,650 |
| SANDERS MORRIS HARRIS INC. | 20580 | Union Avenue Investors LLC | 1460873 | 04/26/2010 | D/A | Indefinite | $2,200,000 |
| SANDERS MORRIS HARRIS INC. | 20580 | Union Avenue Investors LLC | 1460873 | 04/20/2011 | D/A | Indefinite | $2,200,000 |
| SANDERS MORRIS HARRIS INC. | 20580 | MCI Preferred Income Fund IV, LLC | 1774415 | 01/23/2020 | D/A | $500,000,000 | $1,927,500 |