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 | 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 |
| SANDERS MORRIS HARRIS INC. | 20580 | Penn Mid Cap Equity Fund, L.P. | 1481060 | 03/17/2014 | D/A | Indefinite | $24,876,200 |
| SANDERS MORRIS HARRIS INC. | 20580 | Penn Mid Cap Equity Fund, L.P. | 1481060 | 03/15/2013 | D/A | Indefinite | $24,531,200 |
| SANDERS MORRIS HARRIS INC. | 20580 | Penn Mid Cap Equity Fund, L.P. | 1481060 | 03/16/2015 | D/A | Indefinite | $24,165,025 |
| SANDERS MORRIS HARRIS INC. | 20580 | Penn Mid Cap Equity Fund, L.P. | 1481060 | 01/22/2010 | D | Indefinite | $24,100,000 |
| SANDERS MORRIS HARRIS INC. | 20580 | Penn Mid Cap Equity Fund, L.P. | 1481060 | 03/15/2012 | D/A | Indefinite | $24,066,650 |
| SANDERS MORRIS HARRIS INC. | 20580 | Tectonic Holdings, LLC | 1706364 | 05/26/2017 | D/A | $23,974,999 | $23,974,999 |