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 |
|---|---|---|---|---|---|---|---|
| CANTOR FITZGERALD & CO. | 134 | Entasis Therapeutics Holdings Inc. | 1724344 | 09/10/2020 | D | $24,999,999 | $24,999,999 |
| PAULSON INVESTMENT COMPANY LLC | 5670 | Cresilon, Inc. | 1728054 | 10/18/2022 | D | $25,000,000 | $24,999,999 |
| A.G.P. / ALLIANCE GLOBAL PARTNERS | 8361 | Entasis Therapeutics Holdings Inc. | 1724344 | 09/10/2020 | D | $24,999,999 | $24,999,999 |
| SG COWEN SECURITIES CORPORATION | 7616 | RightHand Robotics, Inc. | 1654327 | 04/21/2022 | D | $24,999,997 | $24,999,997 |
| UNIVEST SECURITIES, LLC | 36105 | Code Chain New Continent Ltd | 1641398 | 03/01/2021 | D | $24,999,996 | $24,999,996 |
| RBC CAPITAL MARKETS CORPORATION | 6579 | D2L Holdings Inc. | 1557367 | 09/05/2012 | D | $24,999,996 | $24,999,996 |
| GENTRY SECURITIES LLC | 155142 | Solexel, Inc. | 1549837 | 05/15/2012 | D | $24,999,994 | $24,999,994 |
| ROCKEFELLER FINANCIAL LLC | 291361 | Titan Ag LP | 1866162 | 08/09/2021 | D | Indefinite | $24,999,928 |
| INTE SECURITIES LLC | 47107 | LionHedge Platform Fund, L.P.-Series H | 1493482 | 10/17/2014 | D/A | Indefinite | $24,999,089 |
| JVM SECURITIES, LLC | 290327 | JVM Preferred Equity Fund, LLC | 1739656 | 10/30/2020 | D/A | Indefinite | $24,998,655 |