Data / Form D filings / Sep 6
Form D filings, September 6, 2023: 86 companies raised $1.11 billion
86 operating companies filed a Form D on September 6, 2023, reporting $1.11 billion sold. Largest: Ascend Elements, Inc. ($460.1 million), Riverhawk Funding III, LLC ($119 million), Alamo MultiFamily Fund 1, LP ($100 million). The median filing is $1.2 million, and 69 pooled investment funds also filed that day.
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- 86Form D filings
- $1.11 billionreported sold
- $1.2 millionmedian amount sold
- TXmost filings (15)
Most filings by state: TX 15, CA 13, FL 8, NY 8, NC 5. By industry: Other 21, Other Technology 15, Commercial 10, Other Real Estate 8.
Every company that filed, largest first
| Company | Industry | City | State | Amount sold | Offering | Investors | Filed | Filing |
|---|---|---|---|---|---|---|---|---|
| Ascend Elements, Inc. | Other Technology | Westborough | MA | $460,092,294 | $649,999,995 | 19 | Sep 6 | sec.gov |
| Riverhawk Funding III, LLC (amended) | Other Real Estate | Redondo Beach | CA | $119,031,586 | Indefinite | 103 | Sep 6 | sec.gov |
| Alamo MultiFamily Fund 1, LP | Commercial | San Antonio | TX | $100,000,000 | $100,000,000 | 1 | Sep 6 | sec.gov |
| Primrose Preferred Equity Fund, LLC (amended) | Other Real Estate | Redondo Beach | CA | $96,129,932 | Indefinite | 33 | Sep 6 | sec.gov |
| BIP Aligned Equity Interests LP (amended) | Investing | Boston | MA | $42,101,271 | Indefinite | 88 | Sep 6 | sec.gov |
| NexPoint Storage IV DST (amended) | Other Real Estate | Dallas | TX | $41,877,728 | $70,344,106 | 144 | Sep 6 | sec.gov |
| Turn Biotechnologies, Inc. | Other | Mountain View | CA | $29,132,219 | $43,867,224 | 55 | Sep 6 | sec.gov |
| INNVENTURE LLC (amended) | Other | Orlando | FL | $28,075,850 | $35,000,000 | 121 | Sep 6 | sec.gov |
| GSA CIS CAMP SPRINGS DST (amended) | Other Real Estate | Nashua | NH | $23,428,791 | $295,000,000 | 50 | Sep 6 | sec.gov |
| TDO Enterprises, LLC | Other | Midland | TX | $17,836,742 | $17,836,742 | 47 | Sep 6 | sec.gov |
| Revology Cars LLC | Manufacturing | Orlando | FL | $13,000,000 | $13,000,000 | 4 | Sep 6 | sec.gov |
| Momo Orchard Holdings, Inc. | Other Technology | New York | NY | $11,472,097 | $11,472,097 | 2 | Sep 6 | sec.gov |
| Principia Holdings Ltd | Other Technology | Grand Cayman | $10,423,890 | $15,000,000 | 5 | Sep 6 | sec.gov | |
| Neocova Corp | Other Technology | Austin | TX | $10,079,574 | $10,154,574 | 17 | Sep 6 | sec.gov |
| CLIMATE CLUB HOLDINGS PBC (amended) | Other Technology | New York | NY | $9,607,500 | $9,607,500 | 15 | Sep 6 | sec.gov |
| Lucid Scientific, Inc. | Other | Atlanta | GA | $8,884,494 | $9,164,494 | 13 | Sep 6 | sec.gov |
| Carson Capital LLC | Other | Charlotte | NC | $8,500,000 | $8,500,000 | 11 | Sep 6 | sec.gov |
| BrookTree Fund LLC | Other | Santa Monica | CA | $8,000,000 | $100,000,000 | 25 | Sep 6 | sec.gov |
| SQUEEZE, LLC (amended) | Other | Boca Raton | FL | $6,584,500 | $15,000,000 | 20 | Sep 6 | sec.gov |
| Schutt Real Estate Value Holdings II LLC (amended) | Other Real Estate | Richmond | VA | $5,715,100 | $10,000,000 | 34 | Sep 6 | sec.gov |
| Nanofiber Quantum Technologies, Inc. | Other Technology | Palo Alto | CA | $5,553,300 | $5,553,300 | 4 | Sep 6 | sec.gov |
| Digital Brands Group, Inc. | Retailing | Austin | TX | $5,000,004 | $5,000,004 | 1 | Sep 6 | sec.gov |
| RX Mapper, LLC (amended) | Other Health Care | Scottsdale | AZ | $4,200,000 | $6,000,000 | 30 | Sep 6 | sec.gov |
| PC Carolinas SS, LLC | Commercial | Charlotte | NC | $3,846,483 | Indefinite | 38 | Sep 6 | sec.gov |
| 1165S Medford LP Investors LLC | Commercial | New York | NY | $2,725,000 | $2,970,000 | 24 | Sep 6 | sec.gov |
| NexPoint Small Bay I DST (amended) | Other Real Estate | Dallas | TX | $2,663,799 | $59,505,817 | 9 | Sep 6 | sec.gov |
| Go Blue Zones LLC | Other | Austin | TX | $2,565,000 | $6,000,000 | 16 | Sep 6 | sec.gov |
| Evecxia, Inc. | Biotechnology | Research Triangle Park | NC | $2,438,082 | $8,000,000 | 76 | Sep 6 | sec.gov |
| YSA Mt Hood Las Vegas Fund LLC | Commercial | Ladera Ranch | CA | $2,350,000 | $18,000,000 | 15 | Sep 6 | sec.gov |
| Sortis Holdings, Inc. | Other | Portland | OR | $2,205,000 | $20,000,000 | 13 | Sep 6 | sec.gov |
| Trinity Art Works, LP | Other | Buffalo | NY | $2,078,500 | $25,000,000 | 9 | Sep 6 | sec.gov |
| Chase the American Dream, LLC | Residential | Waunakee | WI | $1,975,000 | $2,500,000 | 19 | Sep 6 | sec.gov |
| Hotel Mankato, LLC | Lodging and Conventions | Mankato | MN | $1,700,000 | $10,500,000 | 3 | Sep 6 | sec.gov |
| 8 Track Entertainment LLC (amended) | Other | Muscle Shoals | AL | $1,517,250 | $5,000,000 | 15 | Sep 6 | sec.gov |
| Calm Waters AI, Inc. | Other Technology | Nashville | TN | $1,500,000 | $2,500,000 | 1 | Sep 6 | sec.gov |
| GMI-Portland Preferred, LP (amended) | Other Real Estate | Westlake | TX | $1,400,000 | $4,842,362 | 9 | Sep 6 | sec.gov |
| Yourspace America QOF II, LLC | Commercial | Ladera Ranch | CA | $1,050,000 | $8,000,000 | 10 | Sep 6 | sec.gov |
| Carewear Corp | Other Health Care | Reno | NV | $1,000,000 | Indefinite | 5 | Sep 6 | sec.gov |
| Summit Coffee Holdings, LLC | Restaurants | Davidson | NC | $900,450 | $900,450 | 7 | Sep 6 | sec.gov |
| Imagen Center for Esthetic Dentistry Support Services, LLC | Other Health Care | Scottsdale | AZ | $886,000 | $1,046,000 | 1 | Sep 6 | sec.gov |
| TalesVision, Inc. | Other | Rancho Santa Fe | CA | $850,000 | $850,000 | 5 | Sep 6 | sec.gov |
| NEW EDGE TELECOM LLC | Other | Davie | FL | $850,000 | $1,750,000 | 4 | Sep 6 | sec.gov |
| LIBERTAS Implant Solutions, LLC | Other Technology | Potomac | MD | $750,000 | $3,000,000 | 3 | Sep 6 | sec.gov |
| USEDC Mineral Exchange I LLC (amended) | Oil and Gas | Arlington | TX | $657,116 | $100,000,000 | 0 | Sep 6 | sec.gov |
| Duke Partners Fund, LLC | Commercial | High Point | NC | $487,000 | $487,000 | 14 | Sep 6 | sec.gov |
| Planting Hope Company, Inc. | Retailing | Chicago | IL | $484,586 | $484,586 | 9 | Sep 6 | sec.gov |
| Integry Inc. | Other | Walnut | CA | $400,000 | $1,250,000 | 1 | Sep 6 | sec.gov |
| Polyamyna Nanotech Inc. | Other Health Care | St. John'S | $353,921 | $353,921 | 1 | Sep 6 | sec.gov | |
| Radicai LLC | Computers | Malibu | CA | $338,400 | Indefinite | 10 | Sep 6 | sec.gov |
| Vaporox, Inc. | Other Health Care | Lone Tree | CO | $280,129 | $280,129 | 11 | Sep 6 | sec.gov |
| 1522 Condominium LLC | Residential | Glen Allen | VA | $250,000 | $3,200,000 | 1 | Sep 6 | sec.gov |
| MB Crossing LLC | Commercial | Prosper | TX | $250,000 | $250,000 | 5 | Sep 6 | sec.gov |
| CEAI Park Edge Lender 2 LLC | Residential | Merriam | KS | $250,000 | $7,480,000 | 1 | Sep 6 | sec.gov |
| SEVEN POINT DISPENSING OF MICHIGAN LLC | Other | Troy | MI | $234,750 | $2,500,000 | 3 | Sep 6 | sec.gov |
| Fireside Strategic Corp. | Other Health Care | Miami | FL | $204,550 | $6,204,550 | 2 | Sep 6 | sec.gov |
| Jauntboards, INC. | Other Technology | Dover | DE | $135,000 | $200,000 | 5 | Sep 6 | sec.gov |
| Confidence by GaBBY Goodwin, Inc. | Retailing | Columbia | SC | $114,000 | $1,000,000 | 4 | Sep 6 | sec.gov |
| Holston DC Assets LLC | REITS and Finance | New York | NY | $112,000 | $125,000 | 112 | Sep 6 | sec.gov |
| GLAUS, PYLE, SCHOMER, BURNS & DEHAVEN, INC. | Other | Akron | OH | $105,344 | $182,250 | 169 | Sep 6 | sec.gov |
| GF 500 MAIN LLC | Restaurants | Garland | TX | $100,000 | $250,000 | 2 | Sep 6 | sec.gov |
| MTH Land LLC | Residential | Prosper | TX | $100,000 | $100,000 | 2 | Sep 6 | sec.gov |
| USEDC 2023 Drilling Fund LP (amended) | Oil and Gas | Arlington | TX | $100,000 | $300,000,000 | 0 | Sep 6 | sec.gov |
| Avalon Holographics Inc | Other Technology | St. John'S | $96,637 | $148,580 | 2 | Sep 6 | sec.gov | |
| Omnigres Corp. | Other Technology | San Francisco | CA | $85,000 | $250,000 | 5 | Sep 6 | sec.gov |
| Regenerative Medicine Orthopaedic Society Inc. | Other Health Care | Miami | FL | $80,000 | $80,000 | 4 | Sep 6 | sec.gov |
| Gently Inc. | Other | Dallas | GA | $75,000 | $75,000 | 1 | Sep 6 | sec.gov |
| ALL I CAN DO LTD LIABILITY CO | Other | New York | NY | $50,000 | $1,000,000 | 1 | Sep 6 | sec.gov |
| One Roq Spirits, LLC | Other Technology | Buffalo | NY | $50,000 | $250,000 | 30 | Sep 6 | sec.gov |
| SILVERTON ENERGY, INC. | Oil and Gas | Plano | TX | $50,000 | $2,000,000 | 0 | Sep 6 | sec.gov |
| Clubsocial Inc. | Other Technology | Dover | DE | $25,326 | $25,326 | 1 | Sep 6 | sec.gov |
| Florida Home & Auto Insurance Agency, LLC | Insurance | West Palm Beach | FL | $10,725 | $220,350 | 2 | Sep 6 | sec.gov |
| 3045 Martin Dr, LLC | Residential | Pleasanton | CA | $10,000 | $10,000 | 2 | Sep 6 | sec.gov |
| LP Raleigh Hills LLC | Restaurants | Portland | OR | $0 | $300,000 | 0 | Sep 6 | sec.gov |
| Infinite Real Estate Inc. | Other | American Fork | UT | $0 | $1,700,000 | 0 | Sep 6 | sec.gov |
| HOMEHOP CLEVELAND LLC | Other Real Estate | Norton | OH | $0 | $2,000,000 | 0 | Sep 6 | sec.gov |
| GROW YOUR CASHFLOW FUND LLC | Commercial | Sarasota | FL | $0 | $10,000,000 | 0 | Sep 6 | sec.gov |
| 16 Jasset - YS Ventures Fund, LLC | Residential | Westwood | MA | $0 | $625,000 | 7 | Sep 6 | sec.gov |
| BIO-AI, Inc. | Other Technology | Sheridan | WY | $0 | $10,000,000 | 0 | Sep 6 | sec.gov |
| Pikewood Capital Fund I LLC | Commercial | Columbus | OH | $0 | $10,000,000 | 0 | Sep 6 | sec.gov |
| Upend Ventures, LLC | Other | Dayton | OH | $0 | $50,000 | 0 | Sep 6 | sec.gov |
| Bakken Energy Income 23-2, LP (amended) | Oil and Gas | Houston | TX | $0 | $30,000,000 | 0 | Sep 6 | sec.gov |
| Investcorp US Real Estate Employee Co-Investment Incentive, L.P. | Commercial | New York | NY | $0 | Indefinite | 0 | Sep 6 | sec.gov |
| NatPets Incentive Company, LLC | Other | Boulder | CO | $0 | Indefinite | 1 | Sep 6 | sec.gov |
| Tau Lotus, Inc. | Other Technology | Cerritos | CA | $0 | $2,000,000 | 0 | Sep 6 | sec.gov |
| SCA Aventura Holdings, LLC | Other Health Care | Birmingham | AL | $0 | $319,001 | 0 | Sep 6 | sec.gov |
| SenesTech, Inc. | Agriculture | Phoenix | AZ | $0 | Indefinite | 1 | Sep 6 | sec.gov |
September 7, 2023 · September 5, 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.