Data / Form D filings / Sep 28
Form D filings, September 28, 2023: 83 companies raised $1.35 billion
83 operating companies filed a Form D on September 28, 2023, reporting $1.35 billion sold. Largest: Griffin Capital Qualified Opportunity Zone Fund III, L.P. ($456.6 million), RECODE THERAPEUTICS, INC. ($259.8 million), Diversified Residential Portfolio III DST ($186 million). The median filing is $1.5 million, and 144 pooled investment funds also filed that day.
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- 83Form D filings
- $1.35 billionreported sold
- $1.5 millionmedian amount sold
- CAmost filings (14)
Most filings by state: CA 14, NY 9, TX 7, CO 5, IL 5. By industry: Other 16, Other Real Estate 12, Commercial 8, REITS and Finance 8.
Every company that filed, largest first
| Company | Industry | City | State | Amount sold | Offering | Investors | Filed | Filing |
|---|---|---|---|---|---|---|---|---|
| Griffin Capital Qualified Opportunity Zone Fund III, L.P. (amended) | Other Real Estate | El Segundo | CA | $456,559,448 | $500,000,000 | 745 | Sep 28 | sec.gov |
| RECODE THERAPEUTICS, INC. (amended) | Biotechnology | Menlo Park | CA | $259,799,396 | $290,000,113 | 28 | Sep 28 | sec.gov |
| Diversified Residential Portfolio III DST (amended) | Other Real Estate | Oak Brook | IL | $185,996,740 | $209,327,056 | 331 | Sep 28 | sec.gov |
| New AeroFarms, Inc. | Other | Ringgold | VA | $70,779,175 | $104,286,961 | 18 | Sep 28 | sec.gov |
| Lakewood Ranch SFR II DST (amended) | Other Real Estate | Oak Brook | IL | $62,589,462 | $62,589,462 | 164 | Sep 28 | sec.gov |
| Enclave Residential Fund II, LLC | Other Real Estate | Austin | TX | $47,368,421 | $50,000,000 | 9 | Sep 28 | sec.gov |
| Algonquin Senior Living DST (amended) | Other Real Estate | Oak Brook | IL | $41,282,720 | $46,208,179 | 103 | Sep 28 | sec.gov |
| Griffin Capital Development Partners Fund II, L.P. (amended) | Other Real Estate | El Segundo | CA | $32,488,917 | $145,000,000 | 202 | Sep 28 | sec.gov |
| Alternativ Inc. | Other Technology | Las Vegas | NV | $27,384,496 | $27,384,496 | 79 | Sep 28 | sec.gov |
| GSA CIS CAMP SPRINGS DST (amended) | Other Real Estate | Nashua | NH | $27,377,823 | $295,000,000 | 59 | Sep 28 | sec.gov |
| Empire Village at Carver Mountain, LLC (amended) | Residential | Scottsdale | AZ | $23,906,856 | $40,000,000 | 416 | Sep 28 | sec.gov |
| TuMeke, Inc. | Other Technology | San Mateo | CA | $13,104,987 | $13,105,000 | 21 | Sep 28 | sec.gov |
| Lila Biologics, Inc. | Biotechnology | Seattle | WA | $9,537,323 | $10,557,318 | 18 | Sep 28 | sec.gov |
| Par Spring Inv LLC | Residential | Elmsford | NY | $9,160,000 | $9,160,000 | 26 | Sep 28 | sec.gov |
| PACIFIC LIFE INSURANCE CO | Insurance | Newport Beach | CA | $6,987,587 | $6,987,587 | 1 | Sep 28 | sec.gov |
| Montana Avenue Capital Partners VI, LLC | Commercial | Los Angeles | CA | $6,700,000 | $6,700,000 | 25 | Sep 28 | sec.gov |
| UM Tax Aware Helix Fund LP (amended) | Other | New York | NY | $6,500,000 | Indefinite | 3 | Sep 28 | sec.gov |
| One Three Energy, Inc. | Other Energy | Cincinnati | OH | $5,278,070 | $6,348,071 | 34 | Sep 28 | sec.gov |
| Neo Commerce Inc. | Other | Boston | MA | $4,290,340 | $4,290,340 | 4 | Sep 28 | sec.gov |
| GH 7B HOLDCO LLC | Restaurants | Las Vegas | NV | $4,000,000 | $4,000,000 | 39 | Sep 28 | sec.gov |
| GVER Properties LLC | REITS and Finance | Kansas City | MO | $3,920,312 | $3,920,312 | 6 | Sep 28 | sec.gov |
| Cicero Technologies, Inc. | Other | San Juan Capistrano | CA | $3,500,000 | $7,000,000 | 2 | Sep 28 | sec.gov |
| Fin Mile Logistics, Inc. | Other Technology | London | $3,053,003 | $6,300,000 | 6 | Sep 28 | sec.gov | |
| Madison Fund XVI, LLC | Commercial | Thomasville | GA | $3,000,000 | $3,000,000 | 18 | Sep 28 | sec.gov |
| GSP III, LLC | Other Real Estate | Paoli | PA | $2,648,431 | $25,000,000 | 25 | Sep 28 | sec.gov |
| Martha Lake Lenders, LLC | REITS and Finance | Issaquah | WA | $2,500,000 | $6,700,000 | 12 | Sep 28 | sec.gov |
| GSP Growth Fund 1, LLC | Other Real Estate | Paoli | PA | $2,334,255 | $25,000,000 | 18 | Sep 28 | sec.gov |
| DMF Retreat Holdings, LLC | Residential | Richardson | TX | $2,175,000 | $8,700,000 | 13 | Sep 28 | sec.gov |
| Woburn 3 Property Holdings, LLC (amended) | Commercial | Miami | FL | $2,097,000 | $10,000,000 | 0 | Sep 28 | sec.gov |
| Elira, Inc. | Other Health Care | Ballwin | MO | $2,052,815 | $3,021,510 | 22 | Sep 28 | sec.gov |
| POLK PARTNERS FIBER, LLC (amended) | Other Technology | Des Moines | IA | $1,885,000 | $2,300,000 | 14 | Sep 28 | sec.gov |
| K-Island Resources, LLC (amended) | Coal Mining | Brevard | NC | $1,500,000 | $2,000,000 | 3 | Sep 28 | sec.gov |
| Be Chipper Inc. | Other Technology | Austin | TX | $1,500,000 | $2,000,000 | 2 | Sep 28 | sec.gov |
| Pulmotect, Inc. (amended) | Biotechnology | Houston | TX | $1,500,000 | Indefinite | 2 | Sep 28 | sec.gov |
| Starfighters Space, Inc. | Other | Tarpon Springs | FL | $1,310,000 | $8,000,000 | 13 | Sep 28 | sec.gov |
| One Three Energy, Inc. | Other Energy | Cincinnati | OH | $1,270,000 | $1,270,000 | 2 | Sep 28 | sec.gov |
| Avian PE, LLC | Commercial | Champaign | IL | $1,250,000 | $2,000,000 | 10 | Sep 28 | sec.gov |
| Panera Brands, Inc. (amended) | Restaurants | Fenton | MO | $900,000 | Indefinite | 36 | Sep 28 | sec.gov |
| GCDP II REIT Feeder, LLC (amended) | Other Real Estate | El Segundo | CA | $799,880 | $145,000,000 | 9 | Sep 28 | sec.gov |
| Helios Solar Partners VIII, LLC | Investing | Denver | CO | $750,000 | $750,000 | 2 | Sep 28 | sec.gov |
| SCG Investors II LLC | Commercial | Westlake | OH | $750,000 | $750,000 | 7 | Sep 28 | sec.gov |
| HOMEKEY SYSTEMS, INC. | Other Technology | Phoenix | AZ | $600,000 | Indefinite | 5 | Sep 28 | sec.gov |
| EagleCorps Inc. | Other | Salt Lake City | UT | $525,000 | $525,000 | 4 | Sep 28 | sec.gov |
| RADUX DEVICES, LLC | Other Health Care | Omaha | NE | $514,500 | $3,000,000 | 11 | Sep 28 | sec.gov |
| Konza ASIC Opportunity Fund LP | Other Technology | Frisco | CO | $500,000 | Indefinite | 1 | Sep 28 | sec.gov |
| VISIONARY METALS CORP. | Other Energy | Vancouver | $480,652 | $2,222,222 | 4 | Sep 28 | sec.gov | |
| WFS Home Care Enterprises, Inc. | Other Health Care | Henrico | VA | $425,000 | $1,500,000 | 6 | Sep 28 | sec.gov |
| Playfora, Inc. | Other | Blythewood | SC | $400,000 | $400,000 | 8 | Sep 28 | sec.gov |
| USEDC 2023 Auxiliary Fund LP (amended) | Oil and Gas | Arlington | TX | $400,000 | $150,000,000 | 0 | Sep 28 | sec.gov |
| Beringia, Inc. | Other | Bozeman | MT | $300,000 | $300,000 | 2 | Sep 28 | sec.gov |
| Altus Solutions, Inc. | Other | Laramie | WY | $200,000 | $2,500,000 | 0 | Sep 28 | sec.gov |
| Linqto Liquidshares LLC | Other Banking and Financial Services | San Jose | CA | $146,546 | Indefinite | 35 | Sep 28 | sec.gov |
| IV5 RARITAN RIVER REIT LLC | REITS and Finance | Atlanta | GA | $125,000 | $125,000 | 125 | Sep 28 | sec.gov |
| IV5 LOGISTICS REIT LLC | REITS and Finance | Atlanta | GA | $125,000 | $125,000 | 125 | Sep 28 | sec.gov |
| IV5 LOCUST GATEWAY REIT LLC | REITS and Finance | Atlanta | GA | $125,000 | $125,000 | 125 | Sep 28 | sec.gov |
| 1114 6th Avenue REIT LLC | REITS and Finance | New York | NY | $125,000 | $125,000 | 125 | Sep 28 | sec.gov |
| 225 Liberty REIT LLC | REITS and Finance | New York | NY | $125,000 | $125,000 | 125 | Sep 28 | sec.gov |
| 200 Liberty REIT LLC | REITS and Finance | New York | NY | $125,000 | $125,000 | 125 | Sep 28 | sec.gov |
| Ideologi Development, Inc. | Other Technology | Brooklyn | NY | $100,000 | Indefinite | 1 | Sep 28 | sec.gov |
| Linqto Liquidshares LLC | Other Banking and Financial Services | San Jose | CA | $87,544 | Indefinite | 20 | Sep 28 | sec.gov |
| Linqto Liquidshares LLC | Other Banking and Financial Services | San Jose | CA | $85,478 | Indefinite | 17 | Sep 28 | sec.gov |
| Linqto Liquidshares LLC | Other Banking and Financial Services | San Jose | CA | $57,790 | Indefinite | 15 | Sep 28 | sec.gov |
| Gabe Tesch Racing LLC | Other | Mica | WA | $50,000 | $5,000,000 | 1 | Sep 28 | sec.gov |
| USEDC 2023 Auxiliary Fund LP (amended) | Oil and Gas | Arlington | TX | $50,000 | $150,000,000 | 0 | Sep 28 | sec.gov |
| QUAINT OAK BANCORP INC | Other Banking and Financial Services | Southampton | PA | $1,300 | $7,000,000 | 2 | Sep 28 | sec.gov |
| ARCTRUST Phoenix DST | Commercial | Clifton | NJ | $0 | $10,270,000 | 0 | Sep 28 | sec.gov |
| ADREX Diversified 4 DST | Other Real Estate | Denver | CO | $0 | $249,531,680 | 0 | Sep 28 | sec.gov |
| EA Edge LLC | Commercial | Austin | TX | $0 | $10,500,000 | 0 | Sep 28 | sec.gov |
| Illuminarium Chicago, LLC | Other | Lewiston | NY | $0 | $25,000,000 | 0 | Sep 28 | sec.gov |
| M Capital Fund LP | Residential | Eagle Mountain | UT | $0 | $10,000,000 | 0 | Sep 28 | sec.gov |
| CMMTP-2 EE, L.P. | Commercial | Los Angeles | CA | $0 | Indefinite | 0 | Sep 28 | sec.gov |
| Sterling Park Investment Group LLC (amended) | Other | Norman | OK | $0 | $5,700,000 | 0 | Sep 28 | sec.gov |
| Azura Verona, LLC | Other Real Estate | Milwaukee | WI | $0 | $8,000,000 | 0 | Sep 28 | sec.gov |
| Kimby Series 006 LLC, a series of Kimby Series LLC | Other | London | $0 | $750,000 | 0 | Sep 28 | sec.gov | |
| Allium Holdco LLC | Other | Englewood | CO | $0 | Indefinite | 0 | Sep 28 | sec.gov |
| C3 Bullion, Inc. (amended) | Business Services | Chicago | IL | $0 | $1,000,000 | 0 | Sep 28 | sec.gov |
| Allium Management Holdco LLC | Other | Englewood | CO | $0 | Indefinite | 0 | Sep 28 | sec.gov |
| KOD ECOMMERCE LLC | Other | Baltimore | MD | $0 | Indefinite | 0 | Sep 28 | sec.gov |
| MHR Acquisitions, Inc. | Manufacturing | New York | NY | $0 | $150,000,000 | 0 | Sep 28 | sec.gov |
| Fruit Street Health, P.B.C. (amended) | Other Health Care | New York | NY | $0 | Indefinite | 300 | Sep 28 | sec.gov |
| Verity's Group, LLC | Investing | Coeur D'Alene, | ID | $0 | Indefinite | 0 | Sep 28 | sec.gov |
| Frontier Farmland Opportunity Fund, LP | Agriculture | San Carlos | CA | $0 | Indefinite | 0 | Sep 28 | sec.gov |
| American Oncology Network, Inc. | Hospitals and Physicians | Fort Myers | FL | $0 | Indefinite | 153 | Sep 28 | sec.gov |
September 29, 2023 · September 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.