Data / Form D filings / Jan 4
Form D filings, January 4, 2023: 143 companies raised $1.15 billion
143 operating companies filed a Form D on January 4, 2023, reporting $1.15 billion sold. Largest: Diversified Residential Portfolio III DST ($135.8 million), Zero Motorcycles Inc ($106.6 million), CareSave Technologies, Inc. ($86.6 million). The median filing is $600,000, and 108 pooled investment funds also filed that day.
SpecStream is the live web data engine for teams and agents. It reads every Form D on SEC EDGAR the day it is filed, and this page is that reading. Ask for your own cut (a state, an industry, a size) and new filings arrive in your sheet, CRM, Slack or agent as they land.
- 143Form D filings
- $1.15 billionreported sold
- $600,000median amount sold
- CAmost filings (26)
Most filings by state: CA 26, FL 21, TX 19, NY 12, CO 9. By industry: REITS and Finance 32, Other 25, Other Technology 21, Other Real Estate 17.
Every company that filed, largest first
| Company | Industry | City | State | Amount sold | Offering | Investors | Filed | Filing |
|---|---|---|---|---|---|---|---|---|
| Diversified Residential Portfolio III DST (amended) | Other Real Estate | Oak Brook | IL | $135,837,272 | $209,327,056 | 222 | Jan 4 | sec.gov |
| Zero Motorcycles Inc (amended) | Other | Scotts Valley | CA | $106,649,965 | $225,000,000 | 7 | Jan 4 | sec.gov |
| CareSave Technologies, Inc. | Other Health Care | Mclean | VA | $86,616,156 | $115,818,500 | 9 | Jan 4 | sec.gov |
| NexPoint Hughes DST (amended) | Other Real Estate | Dallas | TX | $73,623,049 | $115,262,632 | 206 | Jan 4 | sec.gov |
| NexPoint Hughes DST | Other Real Estate | Dallas | TX | $73,623,049 | $115,262,632 | 206 | Jan 4 | sec.gov |
| Hancock Timberland & Farmland Fund LP | Other Real Estate | Boston | MA | $71,550,000 | Indefinite | 8 | Jan 4 | sec.gov |
| NexPoint Aviation DST (amended) | Other Real Estate | Dallas | TX | $66,770,242 | $77,258,899 | 182 | Jan 4 | sec.gov |
| NexPoint Aviation DST | Other Real Estate | Dallas | TX | $66,770,242 | $77,258,899 | 182 | Jan 4 | sec.gov |
| NexPoint Buffalo DST (amended) | Other Real Estate | Dallas | TX | $52,383,976 | $54,531,314 | 182 | Jan 4 | sec.gov |
| NexPoint Buffalo DST | Other Real Estate | Dallas | TX | $52,383,976 | $54,531,314 | 182 | Jan 4 | sec.gov |
| ExchangeRight Net Leased Portfolio 39 DST (amended) | Commercial | Pasadena | CA | $47,775,000 | $47,775,000 | 89 | Jan 4 | sec.gov |
| ExchangeRight Net Leased Portfolio 40 DST (amended) | Commercial | Pasadena | CA | $45,440,000 | $45,440,000 | 103 | Jan 4 | sec.gov |
| WEM Uintah IV, LLC | Oil and Gas | Provo | UT | $34,174,533 | $200,000,000 | 47 | Jan 4 | sec.gov |
| Lakewood Ranch SFR II DST (amended) | Other Real Estate | Oak Brook | IL | $25,583,640 | $62,589,462 | 61 | Jan 4 | sec.gov |
| BlocPower Public Benefit Corp | Other Technology | New York | NY | $24,395,969 | $35,000,000 | 26 | Jan 4 | sec.gov |
| ExchangeRight Value-Add Portfolio 1 DST (amended) | Commercial | Pasadena | CA | $13,760,000 | $13,760,000 | 32 | Jan 4 | sec.gov |
| Sunrise Ascent on Bethany Partners, LLC | Commercial | Irvine | CA | $11,339,319 | $11,339,319 | 176 | Jan 4 | sec.gov |
| Dotwork Inc. | Other Technology | Georgetown | TX | $11,124,968 | $16,000,140 | 25 | Jan 4 | sec.gov |
| PROXIMITY THERAPEUTICS, INC. (amended) | Biotechnology | Cambridge | MA | $11,000,001 | $11,000,001 | 9 | Jan 4 | sec.gov |
| Hoth Therapeutics, Inc. | Biotechnology | New York | NY | $10,000,000 | $10,000,000 | 1 | Jan 4 | sec.gov |
| SuperNormal Technologies, Inc. | Other Technology | Lidingo | $9,999,991 | $9,999,991 | 11 | Jan 4 | sec.gov | |
| Early Bird Medical, Inc. | Other Health Care | Malvern | PA | $8,700,489 | $12,535,417 | 37 | Jan 4 | sec.gov |
| TC Georgia Solar Investments LLC | Other Real Estate | Tulsa | OK | $7,353,700 | $7,700,000 | 63 | Jan 4 | sec.gov |
| Ribonaut Therapeutics, Inc. | Biotechnology | Jupiter | FL | $6,917,854 | $25,999,994 | 6 | Jan 4 | sec.gov |
| Preveta Corp | Other Health Care | Redondo Beach | CA | $6,250,000 | $6,250,000 | 7 | Jan 4 | sec.gov |
| Jot Labs Inc. | Other | Boulder | CO | $5,999,976 | $5,999,996 | 19 | Jan 4 | sec.gov |
| Hawaiian Bros Inc. | Restaurants | Kansas City | MO | $5,075,000 | $15,000,000 | 12 | Jan 4 | sec.gov |
| Metrika Inc. | Other Technology | Cambridge | MA | $4,857,858 | $5,807,858 | 4 | Jan 4 | sec.gov |
| ANOKIWAVE, INC. | Other Technology | Billerica | MA | $4,790,000 | $20,000,000 | 23 | Jan 4 | sec.gov |
| Impact Prosperity Diversified Fund I, LLC | Other | Colleyville | TX | $4,300,000 | $50,000,000 | 3 | Jan 4 | sec.gov |
| Hulett Bancorp | Commercial Banking | Laurel | MT | $4,000,046 | $5,650,365 | 2 | Jan 4 | sec.gov |
| Breakout Global Technologies Inc. | Other Technology | Tampa | FL | $3,570,000 | $3,570,000 | 1 | Jan 4 | sec.gov |
| Carbon Reform Inc. | Other | Philadelphia | PA | $2,999,999 | $3,000,000 | 16 | Jan 4 | sec.gov |
| PiKNiK & Company, Inc. (amended) | Other | La Jolla | CA | $2,980,000 | $2,980,000 | 7 | Jan 4 | sec.gov |
| Listeners on Call, Inc. (amended) | Other Technology | Dallas | TX | $2,850,000 | $9,000,000 | 11 | Jan 4 | sec.gov |
| LMCV DDO FUND I LLC | Investing | New York | NY | $2,800,000 | $2,800,000 | 28 | Jan 4 | sec.gov |
| Livelike Inc. | Other Technology | New York | NY | $2,746,173 | $5,168,189 | 23 | Jan 4 | sec.gov |
| ESP Technology & Logistics, Inc. | Other Technology | Los Angeles | CA | $2,679,986 | $5,000,000 | 10 | Jan 4 | sec.gov |
| Northern Lights Royalties V, LP (amended) | Oil and Gas | Southlake | TX | $2,639,167 | $5,900,000 | 27 | Jan 4 | sec.gov |
| Whoseyourlandlord, Inc. | Other Technology | Brooklyn | NY | $2,406,059 | $2,406,059 | 14 | Jan 4 | sec.gov |
| Northern Lights Royalties V, LP (amended) | Oil and Gas | Southlake | TX | $2,353,324 | $5,900,000 | 25 | Jan 4 | sec.gov |
| NetQub, Inc. (amended) | Other | Greenwood Village | CO | $2,310,616 | Indefinite | 126 | Jan 4 | sec.gov |
| Moment Residences, LLC | Residential | Middleton | WI | $2,295,000 | $19,000,000 | 31 | Jan 4 | sec.gov |
| Papaya Tutoring Services, Inc. | Other | Plantation | FL | $2,254,685 | $2,254,685 | 8 | Jan 4 | sec.gov |
| Erdene Resource Development Corp | Other | Dartmouth | $1,895,386 | $3,299,376 | 3 | Jan 4 | sec.gov | |
| ROCKBERRY APARTMENTS LLC | Commercial | Hinckley | OH | $1,775,000 | $1,775,000 | 25 | Jan 4 | sec.gov |
| Opti-Harvest, Inc. | Other | Los Angeles | CA | $1,620,005 | $15,000,000 | 13 | Jan 4 | sec.gov |
| CureMint, Inc. | Other Technology | Durham | NC | $1,277,257 | $3,000,000 | 9 | Jan 4 | sec.gov |
| Mountain Lion Mining, LLC | Commercial | Houston | TX | $1,151,070 | $2,062,500 | 12 | Jan 4 | sec.gov |
| Flavocure Biotech, Inc. | Biotechnology | Baltimore | MD | $1,125,000 | $1,250,000 | 3 | Jan 4 | sec.gov |
| Jot Labs Inc. | Other | Boulder | CO | $1,118,956 | $1,999,992 | 8 | Jan 4 | sec.gov |
| BioSig Technologies, Inc. | Other Health Care | Westport | CT | $1,098,092 | $1,098,092 | 8 | Jan 4 | sec.gov |
| CareWork, Inc. | Other Technology | Port Orange | FL | $1,069,999 | $1,600,000 | 7 | Jan 4 | sec.gov |
| Zoe Angling Group, LLC (amended) | Other | Chattanooga | TN | $1,050,000 | $3,000,000 | 9 | Jan 4 | sec.gov |
| CEFF I Parallel LLC | Other Technology | Seattle | WA | $1,000,000 | Indefinite | 1 | Jan 4 | sec.gov |
| FBMC Benefits Management, Inc. | Insurance | Tallahassee | FL | $919,566 | $919,566 | 9 | Jan 4 | sec.gov |
| MTNTough Inc. | Other | Bozeman | MT | $870,000 | $2,000,000 | 11 | Jan 4 | sec.gov |
| Dormie Inc. | Other | Beverly Hills | MI | $685,660 | Indefinite | 22 | Jan 4 | sec.gov |
| Mountain Lion Mining QOF, LLC | Commercial | Houston | TX | $675,000 | $2,062,500 | 5 | Jan 4 | sec.gov |
| Evoltti, Inc. (amended) | Other | Boca Raton | FL | $660,000 | $660,000 | 4 | Jan 4 | sec.gov |
| Advanced Magnet Lab Inc | Other Technology | Melbourne | FL | $650,000 | $2,500,000 | 5 | Jan 4 | sec.gov |
| Silverback Learning Solutions, Inc. (amended) | Other Technology | Boise | ID | $600,000 | $1,200,000 | 3 | Jan 4 | sec.gov |
| RNAV8 BIO, INC. (amended) | Biotechnology | Laguna Niguel | CA | $599,500 | $2,000,000 | 11 | Jan 4 | sec.gov |
| RNAV8 BIO, INC. | Biotechnology | Laguna Niguel | CA | $599,500 | $2,000,000,000 | 11 | Jan 4 | sec.gov |
| Rali Solutions, LLC | Other Technology | Alpharetta | GA | $579,000 | $4,000,000 | 11 | Jan 4 | sec.gov |
| VF-VareCo 5661 W Green Meadows, LLC | Other Real Estate | Denver | CO | $500,000 | $500,000 | 7 | Jan 4 | sec.gov |
| Harvest Invest - 050 LLC (A series of Harvest Invest LLC) (amended) | Investing | Fort Worth | TX | $470,000 | $700,000 | 25 | Jan 4 | sec.gov |
| Mule Investment Management Limited Partnership | Investing | Richmond | VA | $425,000 | $1,000,000 | 4 | Jan 4 | sec.gov |
| Element Exo, Inc. | Other Technology | Allison Park | PA | $400,000 | $1,500,000 | 1 | Jan 4 | sec.gov |
| Epcon Oak Grove, LLC | Other Real Estate | Dublin | OH | $350,000 | $1,500,000 | 1 | Jan 4 | sec.gov |
| Resource Exploration, Inc. | Other Technology | Denver | CO | $350,000 | $350,000 | 1 | Jan 4 | sec.gov |
| MINERVA BIOTECHNOLOGIES Corp (amended) | Biotechnology | Waltham | MA | $327,720 | $30,000,000 | 5 | Jan 4 | sec.gov |
| NeuroX Innovations Inc. | Biotechnology | Greenwood Village | CO | $325,000 | $2,500,000 | 4 | Jan 4 | sec.gov |
| NetQub, Inc. | Other | Greenwood Village | CO | $283,715 | Indefinite | 23 | Jan 4 | sec.gov |
| PRES I REIT A, LLC | REITS and Finance | San Francisco | CA | $250,000 | $250,000 | 125 | Jan 4 | sec.gov |
| CodeScience, Inc. | Other Technology | Chattanooga | TN | $249,989 | $249,989 | 1 | Jan 4 | sec.gov |
| Gaingels Atmosfy LLC | Other | Burlington | VT | $221,275 | $221,275 | 13 | Jan 4 | sec.gov |
| PARKERVISION INC | Telecommunications | Jacksonville | FL | $200,000 | $200,000 | 2 | Jan 4 | sec.gov |
| VeteranCrowd Rewards, LLC | Other Technology | Cobbs Creek | VA | $190,000 | $625,000 | 3 | Jan 4 | sec.gov |
| BAYHORSE SILVER INC. | Other | Burnaby | $151,111 | $151,111 | 2 | Jan 4 | sec.gov | |
| Meta Burger, Inc. | Restaurants | Commerce City | CO | $150,001 | $150,001 | 1 | Jan 4 | sec.gov |
| ULCER SOLUTIONS, LLC | Other Health Care | Ridgefield | WA | $150,000 | $875,000 | 3 | Jan 4 | sec.gov |
| Bones-Bourzou Inc. | REITS and Finance | Tampa | FL | $125,000 | $125,000 | 125 | Jan 4 | sec.gov |
| Madison Realty Capital Debt Fund VI Holdings LLC | REITS and Finance | New York | NY | $125,000 | $125,000 | 125 | Jan 4 | sec.gov |
| Madison Realty Capital Debt MA III Holdings LLC | REITS and Finance | New York | NY | $125,000 | $125,000 | 125 | Jan 4 | sec.gov |
| Madison Newbond Holdings I LLC | REITS and Finance | New York | NY | $125,000 | $125,000 | 125 | Jan 4 | sec.gov |
| Pagaya Smartresi Fund II REIT LLC | REITS and Finance | New York | NY | $125,000 | $125,000 | 125 | Jan 4 | sec.gov |
| Javelin 2022 REIT, LLC | REITS and Finance | New York | NY | $125,000 | $125,000 | 125 | Jan 4 | sec.gov |
| Regent Opportunity Fund V REIT II | REITS and Finance | Los Angeles | CA | $125,000 | $125,000 | 125 | Jan 4 | sec.gov |
| WP Greenwood REIT LLC | REITS and Finance | Columbus | OH | $125,000 | $125,000 | 125 | Jan 4 | sec.gov |
| Pagaya Smartresi Fund II Intermediate REIT LLC | REITS and Finance | New York | NY | $125,000 | $125,000 | 125 | Jan 4 | sec.gov |
| ARES CARS D-REIT LLC | REITS and Finance | Los Angeles | CA | $125,000 | $125,000 | 125 | Jan 4 | sec.gov |
| ARES CARS F-REIT LLC | REITS and Finance | Los Angeles | CA | $125,000 | $125,000 | 125 | Jan 4 | sec.gov |
| AREG US Fund X-B REIT LLC | REITS and Finance | Los Angeles | CA | $125,000 | $125,000 | 125 | Jan 4 | sec.gov |
| North Cap REIT 3 LLC | REITS and Finance | Los Angeles | CA | $125,000 | $125,000 | 125 | Jan 4 | sec.gov |
| North Cap REIT 2 LLC | REITS and Finance | Los Angeles | CA | $125,000 | $125,000 | 125 | Jan 4 | sec.gov |
| North Cap REIT 1 LLC | REITS and Finance | Los Angeles | CA | $125,000 | $125,000 | 125 | Jan 4 | sec.gov |
| Pantheon RE Co-invest REIT LLC | REITS and Finance | San Francisco | CA | $125,000 | $125,000 | 125 | Jan 4 | sec.gov |
| Dalfen Last Mile V REIT LP | REITS and Finance | Dallas | TX | $125,000 | $125,000 | 125 | Jan 4 | sec.gov |
| Ashrei V REIT LP | REITS and Finance | Dallas | TX | $125,000 | $125,000 | 125 | Jan 4 | sec.gov |
| ALF IV REIT Regan LLC | REITS and Finance | Tampa | FL | $125,000 | $125,000 | 125 | Jan 4 | sec.gov |
| ALF IV REIT Scout Landing LLC | REITS and Finance | Tampa | FL | $125,000 | $125,000 | 125 | Jan 4 | sec.gov |
| ALF IV REIT Tribute AL LLC | REITS and Finance | Tampa | FL | $125,000 | $125,000 | 125 | Jan 4 | sec.gov |
| ALF IV REIT Westwood Terrace LLC | REITS and Finance | Tampa | FL | $125,000 | $125,000 | 125 | Jan 4 | sec.gov |
| ALF IV REIT Wynwood LLC | REITS and Finance | Tampa | FL | $125,000 | $125,000 | 125 | Jan 4 | sec.gov |
| Electra America Hospitality REIT LLC | REITS and Finance | Tampa | FL | $125,000 | $125,000 | 125 | Jan 4 | sec.gov |
| Electra Transcendent SFR JV-3 REIT LLC | REITS and Finance | Tampa | FL | $125,000 | $125,000 | 125 | Jan 4 | sec.gov |
| ALF IV REIT Murray AL LLC | REITS and Finance | Tampa | FL | $125,000 | $125,000 | 125 | Jan 4 | sec.gov |
| ALF IV REIT Neo at Ten LLC | REITS and Finance | Tampa | FL | $125,000 | $125,000 | 125 | Jan 4 | sec.gov |
| ALF IV REIT Phillips Pass LLC | REITS and Finance | Tampa | FL | $125,000 | $125,000 | 125 | Jan 4 | sec.gov |
| ROF V ROSS REIT, LLC | REITS and Finance | Los Angeles | CA | $125,000 | $125,000 | 125 | Jan 4 | sec.gov |
| PIMCO Flexible Real Estate Income Fund | REITS and Finance | Newport Beach | CA | $125,000 | $125,000 | 125 | Jan 4 | sec.gov |
| Gaingels Graphiant LLC | Other | Burlington | VT | $114,892 | $114,892 | 22 | Jan 4 | sec.gov |
| Ordr Smart Inc. | Other | Chicago | IL | $110,000 | $250,000 | 3 | Jan 4 | sec.gov |
| Gaingels Cadre LLC | Other | Burlington | VT | $104,255 | $104,255 | 16 | Jan 4 | sec.gov |
| Neuro-Innovators LLC | Pharmaceuticals | Sewickley | PA | $100,000 | $1,900,000 | 2 | Jan 4 | sec.gov |
| American Entertainment Worldwide, Inc. | Other Technology | Wilmington | DE | $100,000 | $500,000 | 1 | Jan 4 | sec.gov |
| Live Circle Inc. | Other Health Care | Ridgewood | NJ | $50,000 | $500,000 | 1 | Jan 4 | sec.gov |
| Alma Gold Inc. | Other | Bedford | $9,177 | $9,177 | 0 | Jan 4 | sec.gov | |
| SUTUREGARD Medical, Inc. | Other Health Care | Portland | OR | $7,920 | $67,320 | 1 | Jan 4 | sec.gov |
| Utah Home & Auto LLC | Insurance | Newtown Square | PA | $4,550 | $162,500 | 5 | Jan 4 | sec.gov |
| Realbid Token Holdings, LLC Series 2000 West Loop S | Other Real Estate | San Francisco | CA | $922 | $5,000 | 12 | Jan 4 | sec.gov |
| Realbid Token Holdings, LLC | Other Real Estate | San Francisco | CA | $922 | $5,000 | 12 | Jan 4 | sec.gov |
| HIE Depot, LLC | Lodging and Conventions | Minot | ND | $0 | $3,000,000 | 0 | Jan 4 | sec.gov |
| Edwin 1872, LLC | Other Real Estate | Minot | ND | $0 | $5,000,000 | 0 | Jan 4 | sec.gov |
| Butter Shave Inc. | Retailing | Chicago | IL | $0 | $150,000 | 0 | Jan 4 | sec.gov |
| Garages of America Fund I, LLC | Other Real Estate | Carrollton | TX | $0 | $75,000,000 | 0 | Jan 4 | sec.gov |
| RoBott Garcia Portfolio LLC | REITS and Finance | Beverly Hills | CA | $0 | $7,000,000 | 0 | Jan 4 | sec.gov |
| Treasure Experience LLC | Other | Vero Beach | FL | $0 | $6,000,000 | 0 | Jan 4 | sec.gov |
| HONEYBRICKS 005 LLC | Other Real Estate | South San Francisco | CA | $0 | $500,000 | 39 | Jan 4 | sec.gov |
| 2200 Midtown LLC | Commercial | Haslet | TX | $0 | $4,500,000 | 0 | Jan 4 | sec.gov |
| National Dental Clinics Corp. | Hospitals and Physicians | Dover | DE | $0 | $10,000,000 | 0 | Jan 4 | sec.gov |
| Asymmetria Investors III, LLC - Champs (PS) | Restaurants | West Des Moines | IA | $0 | Indefinite | 0 | Jan 4 | sec.gov |
| Asymmetria Investors III, LLC - Malum Convert (PS) | Investing | West Des Moines | IA | $0 | Indefinite | 0 | Jan 4 | sec.gov |
| Asymmetria Investors III, LLC - Pensacola ESA (PS) | Commercial | West Des Moines | IA | $0 | Indefinite | 0 | Jan 4 | sec.gov |
| Asymmetria Investors III, LLC - Panama City ESA (PS) | Commercial | West Des Moines | IA | $0 | Indefinite | 0 | Jan 4 | sec.gov |
| Blockchain Capital Solutions DeFi, LLC | Other | Miami | FL | $0 | Indefinite | 0 | Jan 4 | sec.gov |
| BURNT RIVER EQUITY PARTNERS LLC | Commercial | Shoreham | NY | $0 | $6,150,000 | 0 | Jan 4 | sec.gov |
| Green Voyage Corp | Agriculture | Selkirk | $0 | Indefinite | 0 | Jan 4 | sec.gov | |
| CLEANA, INC. (amended) | Other | Wyckoff | MA | $0 | $365,000 | 0 | Jan 4 | sec.gov |
| Anabaptist Savings & Loans International | Business Services | Grandview | TX | $0 | $50,000,000 | 0 | Jan 4 | sec.gov |
| NetQub, Inc. (amended) | Other | Greenwood Village | CO | $0 | Indefinite | 0 | Jan 4 | sec.gov |
| Afaxys, Inc. | Business Services | Charleston | SC | $0 | $50,000,000 | 0 | Jan 4 | sec.gov |
January 5, 2023 · January 3, 2023 · The whole week · All Form D filings
Read from SEC EDGAR. Amount sold is what the company reported on the day it filed; on an offering that is still open, a later amendment can raise it. Free to reuse with credit to SpecStream under CC BY 4.0.