Data / Form D filings / Sep 22
Form D filings, September 22, 2023: 86 companies raised $1.52 billion
86 operating companies filed a Form D on September 22, 2023, reporting $1.52 billion sold. Largest: ImmunityBio, Inc. ($470 million), Royal Oak Realty Trust Inc. ($348.8 million), Shield AI Inc ($114.4 million). The median filing is $1.7 million, and 131 pooled investment funds also filed that day.
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- 86Form D filings
- $1.52 billionreported sold
- $1.7 millionmedian amount sold
- CAmost filings (23)
Most filings by state: CA 23, NY 12, TX 10, AZ 7, FL 5. By industry: Other 23, Other Technology 21, Residential 12, Other Real Estate 5.
Every company that filed, largest first
| Company | Industry | City | State | Amount sold | Offering | Investors | Filed | Filing |
|---|---|---|---|---|---|---|---|---|
| ImmunityBio, Inc. | Biotechnology | San Diego | CA | $469,986,600 | $469,986,600 | 3 | Sep 22 | sec.gov |
| Royal Oak Realty Trust Inc. (amended) | REITS and Finance | Rochester | NY | $348,806,716 | Indefinite | 959 | Sep 22 | sec.gov |
| Shield AI Inc | Other Technology | San Diego | CA | $114,416,408 | $150,000,020 | 5 | Sep 22 | sec.gov |
| Broadfield Income Fund LP (amended) | Investing | Boone | NC | $61,249,327 | Indefinite | 4 | Sep 22 | sec.gov |
| HiddenLayer, Inc. (amended) | Other Technology | Leander | TX | $49,999,925 | $50,000,000 | 14 | Sep 22 | sec.gov |
| Overhaul Group, Inc. (amended) | Other | Austin | TX | $45,926,670 | $50,000,000 | 12 | Sep 22 | sec.gov |
| NexPoint Storage IV DST (amended) | Other Real Estate | Dallas | TX | $44,304,972 | $70,344,106 | 158 | Sep 22 | sec.gov |
| DELOITTE CONSULTING LLP (amended) | Other | New York | NY | $40,128,485 | $40,128,485 | 343 | Sep 22 | sec.gov |
| Highline Real Estate Fund 1, LP | Other Real Estate | Miami | FL | $35,000,000 | $75,000,000 | 48 | Sep 22 | sec.gov |
| Graf Apartments Phase II QOF LLC | Residential | Bozeman | MT | $26,850,000 | $30,000,000 | 66 | Sep 22 | sec.gov |
| Diligent Robotics, Inc. | Other | Austin | TX | $26,499,980 | $26,499,980 | 22 | Sep 22 | sec.gov |
| Post TX I Partners, LLC | Investing | Los Angeles | CA | $26,044,000 | $26,508,525 | 233 | Sep 22 | sec.gov |
| Cellectar Biosciences, Inc. | Biotechnology | Florham Park | NJ | $24,500,000 | $24,500,000 | 21 | Sep 22 | sec.gov |
| LM Logistics Pointe Coinvestment, LLC | Commercial | New York | NY | $18,500,000 | $18,500,000 | 41 | Sep 22 | sec.gov |
| Deloitte Tax LLP (amended) | Other | New York | NY | $18,106,924 | $18,106,924 | 188 | Sep 22 | sec.gov |
| DELOITTE & TOUCHE LLP (amended) | Other | New York | NY | $17,834,577 | $17,834,577 | 225 | Sep 22 | sec.gov |
| Synvitrobio, Inc. | Other Health Care | San Leandro | CA | $17,556,003 | $17,556,003 | 16 | Sep 22 | sec.gov |
| Falcon Hospice, L.P. (amended) | Other Health Care | Atlanta | GA | $15,380,090 | Indefinite | 66 | Sep 22 | sec.gov |
| SKUxchange, Inc. (amended) | Other Technology | St. Petersburg | FL | $12,390,268 | $22,500,000 | 35 | Sep 22 | sec.gov |
| POPLAR FEN PLACE, LLC | Residential | Columbus | OH | $9,090,126 | $9,090,126 | 1 | Sep 22 | sec.gov |
| Deloitte LLP (amended) | Other | New York | NY | $8,164,490 | $8,164,490 | 111 | Sep 22 | sec.gov |
| Felix Technologies Inc. | Other Technology | San Francisco | CA | $7,965,495 | $8,080,500 | 51 | Sep 22 | sec.gov |
| Cecilian Partners, Inc. | Other Technology | New Hope | PA | $7,800,000 | $11,800,000 | 32 | Sep 22 | sec.gov |
| NICE Holding Co LLC | Manufacturing | St. Louis | MO | $6,039,880 | $6,039,880 | 16 | Sep 22 | sec.gov |
| Fierce Whiskers Distillery, LLC | Other | Austin | TX | $5,650,000 | $5,650,000 | 12 | Sep 22 | sec.gov |
| Citrine Informatics, Inc. | Other | Redwood City | CA | $4,999,999 | $4,999,999 | 2 | Sep 22 | sec.gov |
| VERQOR HOLDINGS LTD. | Other Banking and Financial Services | Cdmx | $3,900,011 | $4,000,006 | 5 | Sep 22 | sec.gov | |
| BOM DIA IMPORTS LLC (amended) | Other | Seattle | WA | $3,596,265 | $5,400,000 | 38 | Sep 22 | sec.gov |
| NexPoint Small Bay I DST (amended) | Other Real Estate | Dallas | TX | $3,427,268 | $59,505,817 | 13 | Sep 22 | sec.gov |
| Prism FM Inc. | Other Technology | Austin | TX | $3,425,742 | $4,999,999 | 9 | Sep 22 | sec.gov |
| Horizon Energy Global Corp | Oil and Gas | Fairfield | IA | $3,259,822 | $3,259,822 | 12 | Sep 22 | sec.gov |
| Fair Warning Art, Inc. | Other Technology | New York | NY | $3,049,999 | $8,000,000 | 3 | Sep 22 | sec.gov |
| Cambrian Inc. (amended) | Other Technology | London | $2,999,998 | $3,999,997 | 3 | Sep 22 | sec.gov | |
| Creatify Lab Inc. | Other Technology | Mountain View | CA | $2,995,000 | $3,000,000 | 11 | Sep 22 | sec.gov |
| Lex, Inc. | Other Technology | San Francisco | CA | $2,721,999 | $2,750,000 | 11 | Sep 22 | sec.gov |
| Deloitte Financial Advisory Services LLP (amended) | Other | New York | NY | $2,094,964 | $2,094,964 | 19 | Sep 22 | sec.gov |
| Aligned Carbon Inc. (amended) | Other Technology | Santa Clara | CA | $2,067,580 | $3,000,000 | 11 | Sep 22 | sec.gov |
| Bloom Credit, Inc | Other Technology | New York | NY | $1,950,000 | $5,000,000 | 2 | Sep 22 | sec.gov |
| Courtside Group, Inc. | Other Technology | Beverly Hills | CA | $1,670,400 | $1,670,400 | 2 | Sep 22 | sec.gov |
| Arena Innovation Corp. | Other | San Francisco | CA | $1,400,500 | $2,000,000 | 5 | Sep 22 | sec.gov |
| Bloom Credit, Inc | Other Technology | New York | NY | $1,331,645 | $1,331,645 | 30 | Sep 22 | sec.gov |
| Hawthorne Food Co (amended) | Other | Waltham | MA | $1,200,000 | $2,000,000 | 9 | Sep 22 | sec.gov |
| RAD OZ Fund, LLC | Commercial | Alpharetta | GA | $1,150,000 | $2,500,000 | 8 | Sep 22 | sec.gov |
| Light Wave Holding Company, LLC | Other Health Care | New York | NY | $1,067,000 | $1,067,000 | 2 | Sep 22 | sec.gov |
| Western Alaska Minerals Corp. | Other | Tucson | AZ | $982,214 | $982,214 | 10 | Sep 22 | sec.gov |
| Mintech Bio Angels LLC | Biotechnology | Pembroke Pines | FL | $945,000 | Indefinite | 22 | Sep 22 | sec.gov |
| REtokens USA Inc. | Other Technology | Spokane Valley | WA | $905,000 | $2,250,000 | 5 | Sep 22 | sec.gov |
| WWC LXIX US, LP (amended) | Residential | Phoenix | AZ | $841,768 | $1,970,000 | 135 | Sep 22 | sec.gov |
| EdgeTheory, LLC | Other Technology | University | MS | $750,000 | $1,323,735 | 3 | Sep 22 | sec.gov |
| Eunoia Capital, LLC | Other | Mexico City | $720,000 | $720,000 | 15 | Sep 22 | sec.gov | |
| WWC LXVI US, LP (amended) | Residential | Phoenix | AZ | $718,412 | $1,705,000 | 55 | Sep 22 | sec.gov |
| WWC LXVIII US, LP (amended) | Residential | Phoenix | AZ | $703,585 | $1,600,000 | 104 | Sep 22 | sec.gov |
| We Realize Inc. | Tourism and Travel Services | Nashville | TN | $700,000 | Indefinite | 1 | Sep 22 | sec.gov |
| WB Creekside LLC | Residential | Scottsdale | AZ | $700,000 | $1,000,000 | 7 | Sep 22 | sec.gov |
| Brandywine Branch Distillers LLC | Other | Elverson | PA | $569,500 | $1,500,000 | 11 | Sep 22 | sec.gov |
| WWC XLIII US, LP (amended) | Residential | Phoenix | AZ | $442,045 | $2,015,000 | 15 | Sep 22 | sec.gov |
| Angarak, Inc. | Other | San Diego | CA | $350,000 | $1,000,000 | 4 | Sep 22 | sec.gov |
| ELEVATED EQUITY INVESTMENT FUND LLC (amended) | Other Real Estate | Austin | TX | $320,000 | $10,000,000 | 6 | Sep 22 | sec.gov |
| LWCD Dental Leaders, LLC | Other Health Care | Woodbridge | VA | $316,000 | $316,000 | 3 | Sep 22 | sec.gov |
| WWC L US, LP (amended) | Residential | Phoenix | AZ | $303,580 | $1,390,000 | 27 | Sep 22 | sec.gov |
| GainR LLC | Other Technology | Miami Beach | FL | $300,000 | $700,000 | 1 | Sep 22 | sec.gov |
| ACE Fund LLC | Residential | Pismo Beach | CA | $250,000 | $960,000 | 1 | Sep 22 | sec.gov |
| Elevai Labs Inc. | Other | Newport Beach | CA | $249,996 | $549,990 | 2 | Sep 22 | sec.gov |
| MSPV 2023B, LLC | Residential | Fort Collins | CO | $247,000 | $247,000 | 5 | Sep 22 | sec.gov |
| Linqto Liquidshares LLC | Other Banking and Financial Services | San Jose | CA | $210,831 | Indefinite | 30 | Sep 22 | sec.gov |
| Rhoshan Pharmaceuticals, Inc. | Pharmaceuticals | Chadds Ford | PA | $149,995 | $758,800 | 1 | Sep 22 | sec.gov |
| Linqto Liquidshares LLC | Other Banking and Financial Services | San Jose | CA | $130,923 | Indefinite | 30 | Sep 22 | sec.gov |
| Linqto Liquidshares LLC | Other Banking and Financial Services | San Jose | CA | $125,037 | Indefinite | 35 | Sep 22 | sec.gov |
| GDSPD Holdings, Inc. | Other | Celina | TX | $96,250 | $250,000 | 9 | Sep 22 | sec.gov |
| CashEx Inc. | Other Technology | Boston | MA | $82,500 | $1,500,000 | 3 | Sep 22 | sec.gov |
| Linqto Liquidshares LLC | Other Banking and Financial Services | San Jose | CA | $47,508 | Indefinite | 11 | Sep 22 | sec.gov |
| Vesalius Cardiovascular Inc. | Other Technology | Vancouver | $37,821 | $98,836 | 2 | Sep 22 | sec.gov | |
| ALYNE Performance, Inc. | Other | Arlington Heights | IL | $30,000 | $150,000 | 2 | Sep 22 | sec.gov |
| IPS Investment Fund, LLC - Series I | Investing | San Juan | PR | $10,000 | $20,000,000 | 2 | Sep 22 | sec.gov |
| Lex, Inc. | Other Technology | San Francisco | CA | $5,887 | $5,887 | 46 | Sep 22 | sec.gov |
| Calfus Inc. | Other Technology | Mountain View | CA | $1,920 | $1,920 | 1 | Sep 22 | sec.gov |
| Sun TopCo, LP (amended) | Other | Los Angeles | CA | $37 | Indefinite | 34 | Sep 22 | sec.gov |
| ICG Deer Valley, DST | Residential | Clovis | CA | $0 | $47,200,000 | 0 | Sep 22 | sec.gov |
| LIONS TRUST PRIVATE EQUITY FUND LLC | Commercial | Orlando | FL | $0 | $25,000,000 | 0 | Sep 22 | sec.gov |
| Shavelson BTR LP | Other | Houston | TX | $0 | $4,000,000 | 0 | Sep 22 | sec.gov |
| ARCTRUST Industrial DST | Commercial | Clifton | NJ | $0 | $7,132,000 | 0 | Sep 22 | sec.gov |
| Sol-Gen Corp | Manufacturing | Yermo | CA | $0 | $5,000,000 | 0 | Sep 22 | sec.gov |
| Woodlands at Hudson Sole Member LLC | Other Real Estate | Kingston | NY | $0 | $5,280,000 | 0 | Sep 22 | sec.gov |
| AS Holdings Inc. | Other | Daniels | WV | $0 | $1,300,000 | 0 | Sep 22 | sec.gov |
| Cottonwood Communities, Inc. | Residential | Salt Lake City | UT | $0 | $150,000,000 | 0 | Sep 22 | sec.gov |
| HuntPost.com, Inc. (amended) | Other | Englewood | CO | $0 | Indefinite | 0 | Sep 22 | sec.gov |
September 25, 2023 · September 21, 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.