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 |
|---|---|---|---|---|---|---|---|
| SG COWEN SECURITIES CORPORATION | 7616 | TriArtisan sbe Partners LLC | 1905140 | 01/19/2022 | D | Indefinite | $6,587,500 |
| SG COWEN SECURITIES CORPORATION | 7616 | Just Salad LLC | 1626732 | 12/10/2014 | D | $6,000,000 | $6,000,000 |
| SG COWEN SECURITIES CORPORATION | 7616 | TriArtisan Dandy Partners LLC | 1926844 | 05/04/2022 | D | Indefinite | $5,747,500 |
| SG COWEN SECURITIES CORPORATION | 7616 | Genesis Biopharma, Inc | 1425205 | 08/09/2011 | D | $5,000,000 | $5,000,000 |
| SG COWEN SECURITIES CORPORATION | 7616 | Ener-Core Inc. | 1495536 | 05/08/2015 | D | $5,000,000 | $5,000,000 |
| SG COWEN SECURITIES CORPORATION | 7616 | GigPeak, Inc. | 1432150 | 04/12/2016 | D | $4,999,997 | $4,999,997 |
| SG COWEN SECURITIES CORPORATION | 7616 | PLEXTRONICS INC | 1272317 | 07/25/2012 | D | $4,000,000 | $4,000,000 |
| SG COWEN SECURITIES CORPORATION | 7616 | PLEXTRONICS INC | 1272317 | 04/27/2012 | D | $3,000,000 | $3,000,000 |
| SG COWEN SECURITIES CORPORATION | 7616 | Thin Film Electronics ASA | 1630511 | 11/08/2017 | D | $1,350,000 | $1,350,000 |
| SG COWEN SECURITIES CORPORATION | 7616 | HORIZON PHARMA, INC. | 1492426 | 03/08/2012 | D | $32,772 | $32,772 |