Data / Form D filings / Oct 6
Form D filings, October 6, 2023: 88 companies raised $518.5 million
88 operating companies filed a Form D on October 6, 2023, reporting $518.5 million sold. Largest: Kairoi Investment Fund VI, LP ($79 million), Self-Storage Portfolio XIX DST ($77.8 million), Persefoni AI Inc. ($52.7 million). The median filing is $2.7 million, and 167 pooled investment funds also filed that day.
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- 88Form D filings
- $518.5 millionreported sold
- $2.7 millionmedian amount sold
- CAmost filings (20)
Most filings by state: CA 20, NY 12, WI 6, FL 5, AZ 5. By industry: Other 23, Commercial 14, Other Technology 13, Other Health Care 8.
Every company that filed, largest first
| Company | Industry | City | State | Amount sold | Offering | Investors | Filed | Filing |
|---|---|---|---|---|---|---|---|---|
| Kairoi Investment Fund VI, LP | Residential | San Antonio | TX | $79,000,000 | $90,000,000 | 80 | Oct 6 | sec.gov |
| Self-Storage Portfolio XIX DST (amended) | Other Real Estate | Oak Brook | IL | $77,780,620 | $77,780,620 | 185 | Oct 6 | sec.gov |
| Persefoni AI Inc. | Other Technology | Mesa | AZ | $52,714,648 | $82,714,648 | 16 | Oct 6 | sec.gov |
| PROVIDENT MORTGAGE TRUST INC (amended) | REITS and Finance | Santa Rosa | CA | $47,212,770 | $250,000,000 | 128 | Oct 6 | sec.gov |
| 2165NP, LP (amended) | Residential | Irmo | SC | $27,229,990 | $27,400,000 | 254 | Oct 6 | sec.gov |
| Akura Medical, Inc. | Other Health Care | Campbell | CA | $18,385,452 | $35,005,906 | 27 | Oct 6 | sec.gov |
| Alluvial Finance Inc. | Other Technology | Chicago | IL | $18,283,644 | $18,283,644 | 38 | Oct 6 | sec.gov |
| Syncromune, Inc. (amended) | Other Health Care | Fort Lauderdale | FL | $14,180,000 | $20,000,000 | 44 | Oct 6 | sec.gov |
| Opsera, Inc. | Other Technology | Palo Alto | CA | $12,000,003 | $12,000,003 | 10 | Oct 6 | sec.gov |
| Sunwealth Power, Inc. | Other Energy | Cambridge | MA | $10,000,000 | $10,000,000 | 12 | Oct 6 | sec.gov |
| Cofactr Inc | Other | New York | NY | $9,091,669 | $9,091,669 | 27 | Oct 6 | sec.gov |
| Castelion Corp | Other Technology | El Segundo | CA | $8,588,336 | $8,638,335 | 17 | Oct 6 | sec.gov |
| NATIONAL ASSET OPPORTUNITY FUND, LLC (amended) | Other Real Estate | Fullerton | CA | $8,255,475 | $25,000,000 | 24 | Oct 6 | sec.gov |
| NOLA Terminal LLC | Other | Port Sulphur | LA | $8,200,000 | $8,200,000 | 14 | Oct 6 | sec.gov |
| CoPilot Systems Inc. | Other | Pittsburgh | PA | $6,555,990 | $6,555,990 | 9 | Oct 6 | sec.gov |
| VF Real Estate IV, LP | Investing | Audubon | PA | $6,300,000 | $40,000,000 | 12 | Oct 6 | sec.gov |
| Cheq Lifestyle Technology, Inc. | Other Technology | Kirkland | WA | $6,273,199 | $6,648,199 | 59 | Oct 6 | sec.gov |
| 555 EAST 242 FUNDING L.P. | Other Real Estate | Woodmere | NY | $6,250,000 | $6,250,000 | 30 | Oct 6 | sec.gov |
| ARMADILLO HOME SOLUTIONS, INC. | Other | Clarksville | IN | $5,836,592 | $7,529,806 | 8 | Oct 6 | sec.gov |
| PTF Global, LLC | Other | Chicago | IL | $5,500,000 | $5,500,000 | 1 | Oct 6 | sec.gov |
| Persimmon.Life Inc. (amended) | Other Technology | Healdsburg | CA | $5,323,629 | $5,323,629 | 4 | Oct 6 | sec.gov |
| MACH1 PLATINUM INVESTMENTS LLC (amended) | Commercial | Wauwatosa | WI | $5,000,000 | $10,000,000 | 50 | Oct 6 | sec.gov |
| MACH1 PLATINUM INVESTMENTS LLC (amended) | Commercial | Wauwatosa | WI | $5,000,000 | Indefinite | 0 | Oct 6 | sec.gov |
| MACH1 PLATINUM INVESTMENTS LLC | Commercial | Wauwatosa | WI | $5,000,000 | Indefinite | 0 | Oct 6 | sec.gov |
| DPEG Cottage Green, LP | Commercial | Stafford | TX | $4,500,000 | $11,200,000 | 90 | Oct 6 | sec.gov |
| Worldplay Communications Inc. (amended) | Other Technology | Calgary | $4,456,195 | $4,456,195 | 4 | Oct 6 | sec.gov | |
| AP Associates I, LLC | Other | White Plains | NY | $4,425,000 | $4,425,000 | 31 | Oct 6 | sec.gov |
| MileUp, Inc. | Other | Medford | MA | $4,250,000 | $4,250,000 | 4 | Oct 6 | sec.gov |
| Falcomm, Inc. | Other Technology | Atlanta | GA | $4,082,910 | $4,641,583 | 9 | Oct 6 | sec.gov |
| Level Health, Inc. | Other Health Care | San Francisco | CA | $4,000,000 | $4,000,000 | 5 | Oct 6 | sec.gov |
| Matrix Adhesives Group, LLC | Other | Minneapolis | MN | $3,999,645 | $3,999,645 | 11 | Oct 6 | sec.gov |
| Cell Source, Inc. | Biotechnology | New York | NY | $3,905,134 | Indefinite | 48 | Oct 6 | sec.gov |
| Terma Project, Inc. (amended) | Other | New York | NY | $3,840,000 | $5,000,000 | 23 | Oct 6 | sec.gov |
| GMI-Portland Preferred, LP (amended) | Other Real Estate | Westlake | TX | $3,552,362 | $4,842,362 | 19 | Oct 6 | sec.gov |
| Green Bugatti Broadway Ltd Liability Co (amended) | Other | New York | NY | $3,298,333 | $19,500,000 | 42 | Oct 6 | sec.gov |
| Surprise ALC LLC | Other Health Care | Mercer Island | WA | $3,000,000 | $3,000,000 | 27 | Oct 6 | sec.gov |
| Quoherent, Inc. | Other Technology | Huntsville | AL | $2,350,001 | $4,699,999 | 5 | Oct 6 | sec.gov |
| Reciprocity Health, Inc. (amended) | Other Health Care | Wilmington | DE | $2,340,000 | $3,000,000 | 22 | Oct 6 | sec.gov |
| D4 Equity Jacksonville - Via Veneto LLC | Residential | Denver | CO | $2,335,000 | $2,335,000 | 9 | Oct 6 | sec.gov |
| Simple Venue LLC | Restaurants | New York | NY | $1,189,841 | $5,000,000 | 18 | Oct 6 | sec.gov |
| BioSig Technologies, Inc. | Other Health Care | Westport | CT | $1,169,715 | $1,169,715 | 10 | Oct 6 | sec.gov |
| Tigawok Inc | Restaurants | City Of Industry | CA | $1,100,000 | $1,100,000 | 6 | Oct 6 | sec.gov |
| US REIGN Fund LLC | Commercial | Dover | DE | $1,025,000 | $25,000,000 | 6 | Oct 6 | sec.gov |
| S.T.L. Resources Drilling Fund E, LP | Oil and Gas | Wexford | PA | $1,013,000 | $100,000,000 | 17 | Oct 6 | sec.gov |
| Neuralift Inc. | Other Technology | Livingston | NJ | $999,999 | $999,999 | 2 | Oct 6 | sec.gov |
| SQQ INC. (amended) | Other Technology | Astoria | NY | $990,000 | $1,250,000 | 2 | Oct 6 | sec.gov |
| 507 Chase Ave LLC | Commercial | Lake Crystal | MN | $975,000 | $975,000 | 15 | Oct 6 | sec.gov |
| WWC LXIX US, LP (amended) | Residential | Phoenix | AZ | $967,717 | $1,970,000 | 143 | Oct 6 | sec.gov |
| WWC LXV US, LP (amended) | Residential | Phoenix | AZ | $841,127 | $4,805,000 | 44 | Oct 6 | sec.gov |
| WWC LXVI US, LP (amended) | Residential | Phoenix | AZ | $831,924 | $1,705,000 | 64 | Oct 6 | sec.gov |
| LQD Assets, LLC | Other | Bardstown | KY | $762,960 | $762,960 | 24 | Oct 6 | sec.gov |
| WWC LXVIII US, LP (amended) | Residential | Phoenix | AZ | $744,773 | $1,600,000 | 114 | Oct 6 | sec.gov |
| MACH1 PREMIUM INVESTMENTS LLC (amended) | Commercial | Wauwatosa | WI | $500,000 | $10,000,000 | 25 | Oct 6 | sec.gov |
| MACH1 PREMIUM INVESTMENTS LLC (amended) | Commercial | Wauwatosa | WI | $500,000 | Indefinite | 10 | Oct 6 | sec.gov |
| HerdDogg, Inc. | Other | Laramie | WY | $500,000 | $3,000,000 | 1 | Oct 6 | sec.gov |
| OPEN DOORS PARTNERS, LLC | Other | Woodside | CA | $400,000 | $400,000 | 6 | Oct 6 | sec.gov |
| LQD Assets, LLC | Other | Bardstown | KY | $394,590 | $394,590 | 10 | Oct 6 | sec.gov |
| ZRCN Inc. | Manufacturing | Campbell | CA | $238,188 | $238,188 | 7 | Oct 6 | sec.gov |
| Soturi Fitness & Nutrition LLC | Restaurants | Fremont | CA | $190,000 | $190,000 | 3 | Oct 6 | sec.gov |
| HCP/LS 2011 REIT LLC | REITS and Finance | Denver | CO | $172,500 | $172,500 | 115 | Oct 6 | sec.gov |
| GGL RESOURCES CORP. | Other | Vancouver | $116,683 | $116,683 | 3 | Oct 6 | sec.gov | |
| Fort Point Timber Inc. | Business Services | Boston | MA | $100,000 | $800,000 | 1 | Oct 6 | sec.gov |
| ZRCN Inc. | Manufacturing | Campbell | CA | $100,000 | $100,000 | 6 | Oct 6 | sec.gov |
| ZRCN Inc. | Manufacturing | Campbell | CA | $100,000 | $100,000 | 5 | Oct 6 | sec.gov |
| ZRCN Inc. | Manufacturing | Campbell | CA | $100,000 | $100,000 | 1 | Oct 6 | sec.gov |
| AUTONOMOUS ELECTRIC RIDES LLC | Other Technology | New Rochelle | NY | $50,000 | $50,000 | 1 | Oct 6 | sec.gov |
| Spiro Medical Inc. | Other Health Care | Belleair Bluffs | FL | $50,000 | $500,000 | 1 | Oct 6 | sec.gov |
| ZRCN Inc. | Manufacturing | Campbell | CA | $47,500 | $47,500 | 2 | Oct 6 | sec.gov |
| PACIFIC RIDGE EXPLORATION LTD | Other | Vancouver | $39,492 | $98,734 | 1 | Oct 6 | sec.gov | |
| ZRCN Inc. | Manufacturing | Campbell | CA | $20,000 | $20,000 | 2 | Oct 6 | sec.gov |
| Sumenzuo Inc | Other | Boulder | CO | $2,000 | $2,000 | 1 | Oct 6 | sec.gov |
| Backplain, Inc. | Computers | Carlsbad | CA | $725 | $725 | 16 | Oct 6 | sec.gov |
| Apex Centinel TR | Investing | Escondido | CA | $0 | Indefinite | 0 | Oct 6 | sec.gov |
| Avistone Tech Park, LLC | Commercial | San Diego | CA | $0 | $12,700,000 | 0 | Oct 6 | sec.gov |
| Avistone Tech Park II, LLC | Commercial | San Diego | CA | $0 | $12,700,000 | 0 | Oct 6 | sec.gov |
| Mars Manufacturing LLC | Manufacturing | North Canton | OH | $0 | $1,525,000 | 0 | Oct 6 | sec.gov |
| Red Rock Capital Fund 2309002-Bombril, LP | Other | Orlando | FL | $0 | $70,000,000 | 1 | Oct 6 | sec.gov |
| Red Rock Capital Fund 2309001-Mall11, LP | Other | Orlando | FL | $0 | $100,000,000 | 1 | Oct 6 | sec.gov |
| SWEET CO/LAB RC LTD LIABILITY CO | Other | New York | NY | $0 | $1,250,000 | 0 | Oct 6 | sec.gov |
| Harri Topco, Inc. | Other Technology | New York | NY | $0 | $36,000,000 | 0 | Oct 6 | sec.gov |
| Burgeon Fund Founders LLC | Commercial | Sheridan | WY | $0 | $25,000,000 | 0 | Oct 6 | sec.gov |
| LQD Assets, LLC | Other | Bardstown | KY | $0 | $12,000,000 | 0 | Oct 6 | sec.gov |
| LQD Assets, LLC | Other | Bardstown | KY | $0 | $9,000,000 | 0 | Oct 6 | sec.gov |
| MACH1 CAPITAL LLC (amended) | Commercial | Wauwatosa | WI | $0 | Indefinite | 0 | Oct 6 | sec.gov |
| SCA Aventura Holdings, LLC (amended) | Other Health Care | Birmingham | AL | $0 | $407,002 | 0 | Oct 6 | sec.gov |
| Commodore Management Aggregator, LLC | Other | New York | NY | $0 | Indefinite | 0 | Oct 6 | sec.gov |
| Principle Income Fund LLC (amended) | Commercial | Lancaster | PA | $0 | $3,500,000 | 0 | Oct 6 | sec.gov |
| Cerus Capital Real Estate Opportunity Fund, LLC | Commercial | Tampa | FL | $0 | $25,000,000 | 0 | Oct 6 | sec.gov |
October 10, 2023 · October 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.