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 | Revolution Money Inc. | 1467458 | 07/15/2009 | D | $20,000,000 | $15,225,000 |
| SANDERS MORRIS HARRIS INC. | 20580 | Alkeon Asia Growth Offshore Fund, Ltd. | 1410036 | 03/05/2013 | D/A | Indefinite | $15,130,000 |
| SANDERS MORRIS HARRIS INC. | 20580 | PENN CONVERTIBLE FUND LP | 1460893 | 03/17/2014 | D/A | Indefinite | $15,118,262 |
| SANDERS MORRIS HARRIS INC. | 20580 | PENN DISTRESSED FUND L P | 1231294 | 03/17/2014 | D/A | Indefinite | $14,808,845 |
| SANDERS MORRIS HARRIS INC. | 20580 | PENN DISTRESSED FUND L P | 1231294 | 03/16/2015 | D/A | Indefinite | $14,808,845 |
| SANDERS MORRIS HARRIS INC. | 20580 | PENN DISTRESSED FUND L P | 1231294 | 03/10/2016 | D/A | Indefinite | $14,808,845 |
| SANDERS MORRIS HARRIS INC. | 20580 | PENN DISTRESSED FUND L P | 1231294 | 12/27/2016 | D/A | Indefinite | $14,808,845 |
| SANDERS MORRIS HARRIS INC. | 20580 | PENN DISTRESSED FUND L P | 1231294 | 12/26/2017 | D/A | Indefinite | $14,808,845 |
| SANDERS MORRIS HARRIS INC. | 20580 | PENN DISTRESSED FUND L P | 1231294 | 03/15/2013 | D/A | Indefinite | $14,658,845 |
| SANDERS MORRIS HARRIS INC. | 20580 | Tectonic Holdings, LLC | 1706364 | 05/24/2017 | D | $14,474,999 | $14,474,999 |