Data / Form D filings / Mar 30
Form D filings, March 30, 2023: 88 companies raised $687.9 million
88 operating companies filed a Form D on March 30, 2023, reporting $687.9 million sold. Largest: Diversified Residential Portfolio III DST ($158.9 million), NGF Holdings, LLC ($118.1 million), Firebirds Ultimate Holdings, LP ($55.8 million). The median filing is $1.8 million, and 178 pooled investment funds also filed that day.
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- 88Form D filings
- $687.9 millionreported sold
- $1.8 millionmedian amount sold
- CAmost filings (12)
Most filings by state: CA 12, TX 9, FL 7, NY 6, PA 4. By industry: Other 24, Other Technology 12, Other Real Estate 11, Commercial 9.
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 | $158,895,792 | $209,327,056 | 263 | Mar 30 | sec.gov |
| NGF Holdings, LLC | Other Banking and Financial Services | Malibu | CA | $118,081,975 | Indefinite | 6 | Mar 30 | sec.gov |
| Firebirds Ultimate Holdings, LP | Restaurants | New York | NY | $55,777,223 | $55,777,223 | 17 | Mar 30 | sec.gov |
| Arizona Isotopes Science Research Corp. (amended) | Pharmaceuticals | Bunker Hill | IN | $51,988,500 | Indefinite | 96 | Mar 30 | sec.gov |
| Lakewood Ranch SFR II DST (amended) | Other Real Estate | Oak Brook | IL | $49,199,233 | $62,589,462 | 129 | Mar 30 | sec.gov |
| Fidelis Private Fund, L.P. (amended) | Other Real Estate | San Diego | CA | $47,339,062 | Indefinite | 114 | Mar 30 | sec.gov |
| Relievant MedSystems, Inc. | Other Health Care | Edina | MN | $45,999,999 | $49,999,997 | 12 | Mar 30 | sec.gov |
| DPEG Kingwood, LP | Commercial | Stafford | TX | $19,950,000 | $19,950,000 | 160 | Mar 30 | sec.gov |
| Command Energy, LLC | Oil and Gas | Tulsa | OK | $15,000,000 | $15,000,000 | 46 | Mar 30 | sec.gov |
| Serina Therapeutics, Inc. | Biotechnology | Huntsville | AL | $10,000,000 | $10,000,000 | 1 | Mar 30 | sec.gov |
| AEI NET LEASE PORTFOLIO 21 DST (amended) | Commercial | St. Paul | MN | $8,293,065 | $27,575,000 | 11 | Mar 30 | sec.gov |
| VRS OZ Fund II, LLC | Other Banking and Financial Services | Parker | CO | $7,107,207 | $7,107,207 | 13 | Mar 30 | sec.gov |
| CREDC Fund II, LLC | Other | Little Rock | AR | $7,000,000 | $10,000,000 | 2 | Mar 30 | sec.gov |
| SentiAR, Inc. | Other Health Care | Saint Louis | MO | $5,809,498 | $5,809,498 | 15 | Mar 30 | sec.gov |
| ARCTIC Semiconductor Corp (amended) | Other Technology | San Jose | CA | $5,701,822 | $5,701,822 | 2 | Mar 30 | sec.gov |
| NeoLight, LLC | Other Technology | Scottsdale | AZ | $5,649,942 | $9,999,997 | 12 | Mar 30 | sec.gov |
| PCH V - Creekside, LLC | Other Real Estate | Wayne | PA | $5,489,800 | $7,000,000 | 33 | Mar 30 | sec.gov |
| Buddy Technology Inc. | Other Technology | Richmond | VA | $5,147,487 | $5,647,489 | 45 | Mar 30 | sec.gov |
| Shellfish Solutions Inc. (amended) | Other | Castine | ME | $4,288,802 | $4,300,000 | 42 | Mar 30 | sec.gov |
| Integra Resources Corp. | Other | Vancouver | $3,565,192 | $3,565,192 | 2 | Mar 30 | sec.gov | |
| ShelterZoom Corp. | Other Technology | New York | NY | $3,548,000 | $11,000,000 | 39 | Mar 30 | sec.gov |
| La Tache Holdings, Inc | Other | Chicago | IL | $3,445,000 | Indefinite | 51 | Mar 30 | sec.gov |
| Hudson Bay Holdco LLC | Commercial | Austin | TX | $3,365,000 | $3,365,000 | 1 | Mar 30 | sec.gov |
| Emerson Fiducia Inc. (amended) | Other | Raleigh | NC | $3,045,000 | $4,000,000 | 45 | Mar 30 | sec.gov |
| Thread International PBC, Inc. | Other | Pittsburgh | PA | $2,895,610 | $2,895,610 | 4 | Mar 30 | sec.gov |
| TCD 252 I20 West Industrial Investment II LP | Commercial | Boston | MA | $2,850,000 | $3,000,000 | 2 | Mar 30 | sec.gov |
| Starboard Pickwick Investors LLC | Other Real Estate | Irvine | CA | $2,758,831 | $2,758,831 | 10 | Mar 30 | sec.gov |
| Geodex, Inc. | Other Technology | Atlanta | GA | $2,749,994 | $3,000,000 | 11 | Mar 30 | sec.gov |
| Sargasso Sea Holdco LLC | Commercial | Austin | TX | $2,700,000 | $2,700,000 | 38 | Mar 30 | sec.gov |
| X-Golf Holdings LLC | Retailing | Isanti | MN | $2,518,000 | $3,000,000 | 10 | Mar 30 | sec.gov |
| Aatru Medical LLC (amended) | Other Health Care | Cleveland | OH | $2,415,000 | $7,285,438 | 30 | Mar 30 | sec.gov |
| Opanga Networks, Inc. | Telecommunications | Seattle | WA | $2,189,000 | $2,189,000 | 28 | Mar 30 | sec.gov |
| RDV Saugatuck JV, LLC | Commercial | Westport | CT | $1,875,000 | $20,000,000 | 9 | Mar 30 | sec.gov |
| First Community Bancorp, Inc. | Commercial Banking | Beecher | IL | $1,825,000 | $1,825,000 | 7 | Mar 30 | sec.gov |
| FastLane Labs Inc (amended) | Other | Pasadena | CA | $1,501,000 | $2,500,000 | 1 | Mar 30 | sec.gov |
| Terramera, Inc. | Agriculture | Vancouver | $1,500,000 | $1,500,000 | 2 | Mar 30 | sec.gov | |
| Pipsnacks LLC | Other | Bethlehem | PA | $1,500,000 | $1,500,000 | 3 | Mar 30 | sec.gov |
| MarketCipher Partners, LLC (amended) | Investing | Ponte Vedra Beach | FL | $1,300,000 | $5,000,000 | 8 | Mar 30 | sec.gov |
| KinCap JRHP 1322 W. Broad, LLC | Residential | Glen Allen | VA | $1,125,000 | $1,125,000 | 16 | Mar 30 | sec.gov |
| Join Tandem, Inc. | Other | Columbus | OH | $1,099,998 | $4,999,998 | 3 | Mar 30 | sec.gov |
| Cove Opportunistic Income Fund 75, LLC | Commercial | Torrance | CA | $1,050,000 | $100,000,000 | 4 | Mar 30 | sec.gov |
| Genesis Systems LLC | Other Technology | Tampa | FL | $1,000,000 | $25,000,000 | 5 | Mar 30 | sec.gov |
| FansUnite Entertainment Inc. | Other | Vancouver | $975,744 | $4,283,299 | 4 | Mar 30 | sec.gov | |
| Web3 Ventures Inc. | Other | Toronto | $959,400 | $959,400 | 6 | Mar 30 | sec.gov | |
| ShelterZoom Corp. | Other Technology | New York | NY | $912,543 | $6,000,000 | 10 | Mar 30 | sec.gov |
| Gaucho Group Holdings, Inc. | Other Real Estate | Miami | FL | $890,045 | $890,045 | 38 | Mar 30 | sec.gov |
| VLPAH LLC | Residential | Irving | TX | $710,000 | $4,100,000 | 14 | Mar 30 | sec.gov |
| ShelterZoom Corp. | Other Technology | New York | NY | $675,000 | $15,000,000 | 6 | Mar 30 | sec.gov |
| Retextion, Inc. | Other Technology | Park City | UT | $600,000 | $1,000,000 | 4 | Mar 30 | sec.gov |
| Kore-1, LLC | Investing | Thousand Oaks | CA | $500,000 | $500,000 | 2 | Mar 30 | sec.gov |
| Zark Parking Solutions, Inc. | Other | Scottsdale | AZ | $450,000 | $2,500,000 | 6 | Mar 30 | sec.gov |
| Western Wealth Capital LXI US Investor, LP | Residential | Phoenix | AZ | $415,613 | $1,085,723 | 86 | Mar 30 | sec.gov |
| Seqnc, Inc. | Other Technology | Pleasant Hill | CA | $400,000 | $400,000 | 2 | Mar 30 | sec.gov |
| Harvest Invest - 053 LLC (A series of Harvest Invest LLC) | Investing | Fort Worth | TX | $375,000 | $1,200,000 | 23 | Mar 30 | sec.gov |
| Equalize Digital, Inc. | Other Technology | Georgetown | TX | $300,000 | $300,000 | 1 | Mar 30 | sec.gov |
| Mexican Gold Mining Corp. | Other | Vancouver | $172,015 | $387,033 | 3 | Mar 30 | sec.gov | |
| Linqto Liquidshares LLC | Other Banking and Financial Services | San Jose | CA | $170,047 | Indefinite | 15 | Mar 30 | sec.gov |
| Gaingels DroneSeed 2023 LLC | Other | Burlington | VT | $164,444 | $164,444 | 22 | Mar 30 | sec.gov |
| TGM HoldCo, Inc. | Other | Wilmington | DE | $150,000 | $350,000 | 4 | Mar 30 | sec.gov |
| Gaingels Semicab LLC | Other | Burlington | VT | $147,340 | $147,340 | 8 | Mar 30 | sec.gov |
| Gaingels Mage LLC | Other | Burlington | VT | $105,555 | $105,555 | 27 | Mar 30 | sec.gov |
| BROADCAST PIX INC | Other Technology | Tyngsboro | MA | $105,000 | $150,000 | 4 | Mar 30 | sec.gov |
| Regency Silver Corp. | Other | Vancouver | $47,903 | $47,903 | 1 | Mar 30 | sec.gov | |
| Carolina Lithotripsy, A Ltd Partnership | Other Health Care | Austin | TX | $45,289 | $45,289 | 2 | Mar 30 | sec.gov |
| ASSUREX GLOBAL REINSURANCE LTD | Insurance | Hamilton | $40,000 | $2,000,000 | 1 | Mar 30 | sec.gov | |
| MindKind, Inc. (amended) | Computers | Westminster | CA | $37,000 | $100,000 | 2 | Mar 30 | sec.gov |
| IMEX USA Inc. | Other | New York | NY | $25,000 | $5,000,000 | 1 | Mar 30 | sec.gov |
| WVA Penn Grant, LLC | Residential | Willow Street | PA | $0 | $3,000,000 | 0 | Mar 30 | sec.gov |
| sliceNote New Music Fund 1, LLC | Other | Saint George | UT | $0 | Indefinite | 0 | Mar 30 | sec.gov |
| sliceNote Catalog Fund 1, LLC | Other | Saint George | UT | $0 | Indefinite | 0 | Mar 30 | sec.gov |
| AR Investment Company, LLC | Residential | Knoxville | TN | $0 | $7,000,000 | 0 | Mar 30 | sec.gov |
| HOOSIER PARK FUND, LLC | Residential | Lakeland | FL | $0 | $1,500,000 | 0 | Mar 30 | sec.gov |
| Research Affiliates US Value Opportunities LP | Other Banking and Financial Services | Newport Beach | CA | $0 | Indefinite | 0 | Mar 30 | sec.gov |
| POWELL 132 LLC | Other Real Estate | Aventura | FL | $0 | $1,620,000 | 0 | Mar 30 | sec.gov |
| SSTORAGE 1 LLC | Other Real Estate | Aventura | FL | $0 | $2,150,000 | 0 | Mar 30 | sec.gov |
| DIVIDENZ SPV 10 LLC | Other Real Estate | Aventura | FL | $0 | $2,857,142 | 0 | Mar 30 | sec.gov |
| Phone Up Studios Inc | Other | Laredo | TX | $0 | $5,000,090 | 0 | Mar 30 | sec.gov |
| Weatherfoot LLC | Other | Mount Pleasant | SC | $0 | $500,000 | 0 | Mar 30 | sec.gov |
| Greenleaf Investment Partners L107, LLC | Commercial | Norcross | GA | $0 | $600,000 | 25 | Mar 30 | sec.gov |
| EPHANT GROUP - KNOX HIGH, LLC | Commercial | Knoxville | TN | $0 | $9,000,000 | 0 | Mar 30 | sec.gov |
| White Plains Multifamily Value-Add Portfolio LLC (amended) | Residential | Newark | NJ | $0 | $1,800,000 | 0 | Mar 30 | sec.gov |
| White Plains Multifamily Value-Add Portfolio LLC | Residential | Newark | NJ | $0 | $1,800,000 | 0 | Mar 30 | sec.gov |
| East Austin Townhome Fund, LLC | Other Real Estate | Austin | TX | $0 | $2,000,000 | 0 | Mar 30 | sec.gov |
| Sculptor Diversified Real Estate Income Trust, Inc. | REITS and Finance | New York | NY | $0 | Indefinite | 0 | Mar 30 | sec.gov |
| Consumers Choice Title LLC | Other Real Estate | Toms River | NJ | $0 | $10,000 | 0 | Mar 30 | sec.gov |
| VERTIMASS, LLC (amended) | Other | Irvine | CA | $0 | $25,000,000 | 0 | Mar 30 | sec.gov |
| Atomic Object LLC | Computers | Grand Rapids | MI | $0 | $1,400,000 | 0 | Mar 30 | sec.gov |
| ANDERSEN CORP | Manufacturing | Bayport | MN | $0 | Indefinite | 10 | Mar 30 | sec.gov |
March 31, 2023 · March 29, 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.