Data / Form D filings / Feb 28
Form D filings, February 28, 2023: 86 companies raised $1.43 billion
86 operating companies filed a Form D on February 28, 2023, reporting $1.43 billion sold. Largest: Brown Advisory Group Holdings LLC ($439.8 million), DIANA WEST CAPITAL CORP ($226 million), Derm Holdings LLC ($90 million). The median filing is $3.5 million, and 137 pooled investment funds also filed that day.
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- 86Form D filings
- $1.43 billionreported sold
- $3.5 millionmedian amount sold
- CAmost filings (14)
Most filings by state: CA 14, TX 13, NY 8, FL 7, AZ 5. By industry: Other 24, Other Technology 15, Other Real Estate 11, Other Health Care 6.
Every company that filed, largest first
| Company | Industry | City | State | Amount sold | Offering | Investors | Filed | Filing |
|---|---|---|---|---|---|---|---|---|
| Brown Advisory Group Holdings LLC (amended) | Other | Baltimore | MD | $439,798,731 | Indefinite | 220 | Feb 28 | sec.gov |
| DIANA WEST CAPITAL CORP | Other Technology | Sheridan | WY | $226,000,099 | $226,100,099 | 0 | Feb 28 | sec.gov |
| Derm Holdings LLC | Hospitals and Physicians | Boca Raton | FL | $90,000,000 | $90,000,000 | 3 | Feb 28 | sec.gov |
| Hall Wines of Napa, L.P. (amended) | Other Real Estate | St. Helena | CA | $76,995,000 | $100,000,000 | 850 | Feb 28 | sec.gov |
| CF ON3 Lifesciences Parent DST (amended) | Other Real Estate | New York | NY | $69,800,000 | $69,800,000 | 116 | Feb 28 | sec.gov |
| SPRUCE BIOSCIENCES, INC. | Biotechnology | South San Francisco | CA | $53,615,720 | $53,615,720 | 20 | Feb 28 | sec.gov |
| Arkestro Inc. (amended) | Other Technology | San Francisco | CA | $40,298,354 | $40,298,354 | 36 | Feb 28 | sec.gov |
| BAGH-B LLC (amended) | Other | Baltimore | MD | $37,517,081 | Indefinite | 34 | Feb 28 | sec.gov |
| Santa Ana Bio, Inc. | Biotechnology | Alameda | CA | $35,313,642 | $70,313,642 | 5 | Feb 28 | sec.gov |
| JMD INC. | Energy Conservation | Miamisburg | OH | $30,000,000 | $50,000,000 | 6 | Feb 28 | sec.gov |
| DC Energy Multi Strategy Fund, L.P. (amended) | Other Energy | Mclean | VA | $26,916,118 | Indefinite | 39 | Feb 28 | sec.gov |
| Cadence Neuroscience, Inc. | Biotechnology | Sammamish | WA | $26,029,994 | $26,029,994 | 7 | Feb 28 | sec.gov |
| SI Wayman Austin MF, LP | Investing | Dallas | TX | $24,210,000 | $24,210,000 | 96 | Feb 28 | sec.gov |
| FIDELITY FEDERAL BANCORP (amended) | Other Banking and Financial Services | Evansville | IN | $23,250,000 | $23,250,000 | 17 | Feb 28 | sec.gov |
| LEAPXPERT GROUP | Other Technology | Grand Cayman | $22,050,000 | $30,000,000 | 12 | Feb 28 | sec.gov | |
| Litera Holdco LP | Other | Wilmington | DE | $20,632,164 | Indefinite | 1 | Feb 28 | sec.gov |
| CFG Merchant Solutions, LLC | Other Banking and Financial Services | New York City | NY | $20,000,000 | $20,000,000 | 4 | Feb 28 | sec.gov |
| Causeway Therapeutics Ltd | Biotechnology | Glasgow | $14,263,627 | $14,263,627 | 10 | Feb 28 | sec.gov | |
| Toledo Solar Holdings, Inc. | Other | Perrysburg | OH | $13,571,000 | $13,571,000 | 5 | Feb 28 | sec.gov |
| WASHINGTON FEDERAL INC | Commercial Banking | Seattle | WA | $11,700,000 | $11,700,000 | 6 | Feb 28 | sec.gov |
| Sevaro Health Inc | Other Technology | North Brunswick | NJ | $10,999,991 | $11,999,992 | 1 | Feb 28 | sec.gov |
| CEIS Holdings, LLC | Other | Miami | FL | $10,307,500 | Indefinite | 6 | Feb 28 | sec.gov |
| 2022 Permian Basin JV, GP (amended) | Oil and Gas | Lubbock | TX | $8,850,000 | Indefinite | 83 | Feb 28 | sec.gov |
| CathBuddy, Inc. (amended) | Other Health Care | Syracuse | NY | $6,225,999 | $6,531,000 | 35 | Feb 28 | sec.gov |
| Tildei, Inc. | Other | New York | NY | $5,999,992 | $5,999,992 | 14 | Feb 28 | sec.gov |
| Angel Studios, Inc. | Other Technology | Provo | UT | $5,543,302 | $5,543,302 | 1 | Feb 28 | sec.gov |
| Axtra3D, Inc | Other Technology | Dover | DE | $5,250,000 | $5,250,000 | 2 | Feb 28 | sec.gov |
| BFS Income Investors, L.P. | Other | Boulder | CO | $5,200,000 | $5,200,000 | 11 | Feb 28 | sec.gov |
| Peerbridge Health, Inc. | Other | New York | NY | $5,047,089 | $10,000,000 | 26 | Feb 28 | sec.gov |
| Panorama Education, Inc. | Other Technology | Boston | MA | $5,030,650 | $5,780,754 | 21 | Feb 28 | sec.gov |
| Epikast Inc. | Other Health Care | Brooklyn | NY | $5,000,000 | $10,000,000 | 2 | Feb 28 | sec.gov |
| Mantra Health, Inc. | Other Technology | New York | NY | $4,999,999 | $4,999,999 | 12 | Feb 28 | sec.gov |
| Vantage Ventures Inc. | Other Real Estate | Atlanta | GA | $4,599,999 | $4,699,999 | 3 | Feb 28 | sec.gov |
| Calculum, Inc. (amended) | Business Services | Miami | FL | $4,191,476 | $4,499,999 | 9 | Feb 28 | sec.gov |
| Heading Health Inc. | Other | Austin | TX | $3,500,000 | $4,000,000 | 2 | Feb 28 | sec.gov |
| Gatlin Investor LLC (amended) | Other Real Estate | Baltimore | MD | $3,478,720 | $3,478,720 | 22 | Feb 28 | sec.gov |
| WWC CTC Investment Holdings, LLC | Other | Miami | FL | $3,035,000 | Indefinite | 1 | Feb 28 | sec.gov |
| Chestnut Xenia QOF, LP | Other Real Estate | Chattanooga | TN | $2,548,914 | Indefinite | 13 | Feb 28 | sec.gov |
| Layer Creative, Inc. | Other | San Francisco | CA | $2,511,998 | $2,511,998 | 6 | Feb 28 | sec.gov |
| WWC GEM Investment Fund II, LP | Other | Miami | FL | $2,035,000 | Indefinite | 2 | Feb 28 | sec.gov |
| Generational Hartland LPI LLC | Commercial | West Lake Hills | TX | $2,000,000 | $2,000,000 | 9 | Feb 28 | sec.gov |
| Roll Out the Barrel IX LLC | Other | Indianapolis | IN | $2,000,000 | $2,200,000 | 5 | Feb 28 | sec.gov |
| RET Multi Strategy Fund, LLC (amended) | Other Energy | Mclean | VA | $1,978,887 | Indefinite | 10 | Feb 28 | sec.gov |
| Alpha Cognition Inc. | Biotechnology | Vancouver | $1,847,827 | $4,673,916 | 8 | Feb 28 | sec.gov | |
| Indoor Harvest Corp | Other | Austin | TX | $1,625,000 | $1,625,000 | 1 | Feb 28 | sec.gov |
| Millwood Investor LLC (amended) | Other Real Estate | Baltimore | MD | $1,616,101 | $1,616,101 | 8 | Feb 28 | sec.gov |
| SE 333 E. 34TH (NEW YORK) GARAGE, DST | Other Real Estate | Chicago | IL | $1,290,248 | $8,920,000 | 12 | Feb 28 | sec.gov |
| ISLA TECHNOLOGIES, INC. | Other Health Care | San Carlos | CA | $1,249,995 | $3,000,000 | 4 | Feb 28 | sec.gov |
| UncommonX Inc. | Other Technology | Chicago | IL | $1,231,067 | $5,000,000 | 7 | Feb 28 | sec.gov |
| Grand Seasons Apts, LLC | Commercial | Dallas | TX | $1,055,000 | $15,500,000 | 15 | Feb 28 | sec.gov |
| WWC KRIP Investment Fund I, LP | Other | Miami | FL | $1,035,000 | Indefinite | 1 | Feb 28 | sec.gov |
| Osiris Exchange, Inc. | Other Technology | New York | NY | $1,000,000 | $1,000,000 | 1 | Feb 28 | sec.gov |
| TuMeke, Inc. | Other Technology | San Mateo | CA | $1,000,000 | $1,000,000 | 2 | Feb 28 | sec.gov |
| Auxly Cannabis Group Inc. | Other | Toronto | $991,781 | $2,266,928 | 1 | Feb 28 | sec.gov | |
| Clip Money Inc. | Other Technology | Toronto | $911,778 | $2,228,792 | 8 | Feb 28 | sec.gov | |
| Mid-Continent Revenue Fund I LP (amended) | Oil and Gas | Frisco | TX | $480,000 | $50,000,000 | 3 | Feb 28 | sec.gov |
| Pure Oil & Gas - Eastland #1A, L.P. | Oil and Gas | Palm Desert | CA | $470,000 | $500,000 | 15 | Feb 28 | sec.gov |
| Digital International Bank, Inc. | Other Banking and Financial Services | San Juan | PR | $456,477 | Indefinite | 5 | Feb 28 | sec.gov |
| ALP-ARC V REIT, LLC | REITS and Finance | Philadelphia | PA | $375,000 | $375,000 | 125 | Feb 28 | sec.gov |
| Max Travel, Inc. | Other Technology | Los Angeles | CA | $310,000 | Indefinite | 5 | Feb 28 | sec.gov |
| Trustless Privacy, Inc. (amended) | Other Technology | Oakland | CA | $310,000 | $3,500,000 | 5 | Feb 28 | sec.gov |
| Gerosynth Laboratories, Inc. (amended) | Other | Bloomington | MN | $255,000 | $400,000 | 5 | Feb 28 | sec.gov |
| Churchill Equity Fund, LLC | Residential | Encinitas | CA | $250,000 | $10,000,000 | 1 | Feb 28 | sec.gov |
| Phyto-Farma Labs LLC | Other | Akron | OH | $215,001 | $215,001 | 7 | Feb 28 | sec.gov |
| Fluid Efficiency Corp | Other Energy | Pasadena | CA | $210,000 | $250,000 | 2 | Feb 28 | sec.gov |
| Velaasa, LLC | Other | Oakdale | MN | $180,000 | $250,000 | 4 | Feb 28 | sec.gov |
| Valkere Fund I LLC (amended) | Other Real Estate | Phoenix | AZ | $100,000 | $15,000,000 | 3 | Feb 28 | sec.gov |
| DEEP-SOUTH RESOURCES INC. | Other | Vancouver | $82,464 | $82,464 | 1 | Feb 28 | sec.gov | |
| THREE AMIGOS PEST CONTROL INC. | Other | La Jolla | CA | $80,000 | $400,000 | 4 | Feb 28 | sec.gov |
| OneStep Power Solutions Inc. | Oil and Gas | Houston | TX | $45,037 | $1,000,000 | 1 | Feb 28 | sec.gov |
| Sonova Holding AG | Other | Stafa | $11,502 | $11,502 | 1 | Feb 28 | sec.gov | |
| Axis Capital Holdings LLC | Other Real Estate | Winter Park | FL | $0 | $20,000,000 | 0 | Feb 28 | sec.gov |
| MPC SC 2023 LIHTC ICF, LLC | Other Real Estate | Atlanta | GA | $0 | Indefinite | 0 | Feb 28 | sec.gov |
| PROVIDER CAPITAL FUND, LLC | Investing | Franklin | TN | $0 | Indefinite | 0 | Feb 28 | sec.gov |
| Savior ORCH II SPV LP | Investing | Wellesley | MA | $0 | $681,250 | 0 | Feb 28 | sec.gov |
| Empire Village at Mayfair, LLC | Residential | Scottsdale | AZ | $0 | $35,000,000 | 0 | Feb 28 | sec.gov |
| Maven Investment Fund, LLC | Commercial | Austin | TX | $0 | $1,000,000 | 0 | Feb 28 | sec.gov |
| Wildlife Partners EBP 2022C Joint Venture & Wildlife Partners EBP 2022C | Other | Boerne | TX | $0 | $7,500,000 | 0 | Feb 28 | sec.gov |
| Celina Station 2.0 LP | Other | Coppell | TX | $0 | $35,000,000 | 0 | Feb 28 | sec.gov |
| Hot Poppy, LLC | Other Technology | Nashville | TN | $0 | $300,000 | 0 | Feb 28 | sec.gov |
| PCR Land Fund I, LLC | Commercial | Houston | TX | $0 | $50,000,000 | 0 | Feb 28 | sec.gov |
| Three Appreciation Fund I LLC (amended) | Commercial | Houston | TX | $0 | $2,500,000 | 0 | Feb 28 | sec.gov |
| Shopoff DLV QOZ Fund, LLC (amended) | Other Real Estate | Irvine | CA | $0 | $186,000,000 | 0 | Feb 28 | sec.gov |
| Rio Grande Surgical Services LLC | Other Health Care | Tucson | AZ | $0 | $138,000 | 0 | Feb 28 | sec.gov |
| Bay State Surgical Services, LLC | Other Health Care | Tucson | AZ | $0 | $40,000 | 0 | Feb 28 | sec.gov |
| Matagorda Lithotripsy LLP | Other Health Care | Tucson | AZ | $0 | $100,000 | 0 | Feb 28 | sec.gov |
March 1, 2023 · February 27, 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.