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 | PENN DISTRESSED FUND L P | 1231294 | 03/15/2012 | D/A | Indefinite | $14,437,845 |
| SANDERS MORRIS HARRIS INC. | 20580 | PENN DISTRESSED FUND L P | 1231294 | 03/12/2010 | D/A | Indefinite | $14,187,845 |
| SANDERS MORRIS HARRIS INC. | 20580 | Alden Global Value Recovery Fund (Cayman), Ltd. | 1490667 | 05/15/2014 | D/A | Indefinite | $14,124,002 |
| SANDERS MORRIS HARRIS INC. | 20580 | PREFERRED YIELD PLUS LP | 1122892 | 01/10/2012 | D/A | Indefinite | $13,331,748 |
| SANDERS MORRIS HARRIS INC. | 20580 | Houston Ventures III (Institutional), LP | 1534352 | 11/19/2012 | D/A | Indefinite | $13,071,066 |
| SANDERS MORRIS HARRIS INC. | 20580 | Cariloha, Inc. | 1862733 | 09/09/2022 | D | $14,385,000 | $13,050,000 |
| SANDERS MORRIS HARRIS INC. | 20580 | PENN CONVERTIBLE FUND LP | 1460893 | 03/15/2013 | D/A | Indefinite | $13,017,541 |
| SANDERS MORRIS HARRIS INC. | 20580 | PENN CONVERTIBLE FUND LP | 1460893 | 03/15/2012 | D/A | Indefinite | $12,309,666 |
| SANDERS MORRIS HARRIS INC. | 20580 | Cypressbrook Gosling, LP | 1784756 | 09/05/2019 | D/A | $13,000,000 | $12,015,000 |
| SANDERS MORRIS HARRIS INC. | 20580 | Mewbourne Energy Partners 11-A, L.P. | 1518750 | 06/03/2011 | D | $73,000,000 | $11,305,000 |