Data / Form D filings / Nov 6
Form D filings, November 6, 2023: 70 companies raised $1.51 billion
70 operating companies filed a Form D on November 6, 2023, reporting $1.51 billion sold. Largest: United States Life Insurance Co in the City of New York ($695.9 million), PEAK PARTNERS L.P. ($217.6 million), GYNESONICS, INC ($92.2 million). The median filing is $1.2 million, and 77 pooled investment funds also filed that day.
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- 70Form D filings
- $1.51 billionreported sold
- $1.2 millionmedian amount sold
- CAmost filings (15)
Most filings by state: CA 15, NY 12, TX 8, AL 4, MA 4. By industry: Other Technology 17, Other 16, Commercial 9, Other Banking and Financial Services 6.
Every company that filed, largest first
| Company | Industry | City | State | Amount sold | Offering | Investors | Filed | Filing |
|---|---|---|---|---|---|---|---|---|
| United States Life Insurance Co in the City of New York (amended) | Insurance | New York | NY | $695,905,015 | Indefinite | 242 | Nov 6 | sec.gov |
| PEAK PARTNERS L.P. (amended) | Other | Newtown | PA | $217,593,905 | $500,000,000 | 138 | Nov 6 | sec.gov |
| GYNESONICS, INC (amended) | Other Health Care | Redwood City | CA | $92,184,203 | $92,184,203 | 13 | Nov 6 | sec.gov |
| Osceola Fund II, LP (amended) | Other | Tampa | FL | $77,500,000 | Indefinite | 6 | Nov 6 | sec.gov |
| Capra Project, Inc. | Other | Santa Monica | CA | $75,269,399 | $75,269,399 | 37 | Nov 6 | sec.gov |
| Lumeris Group Holdings Corp | Other Technology | Maryland Heights | MO | $50,000,000 | $50,000,000 | 4 | Nov 6 | sec.gov |
| Essential AI Labs, Inc. | Other Technology | San Francisco | CA | $36,499,975 | $51,499,954 | 8 | Nov 6 | sec.gov |
| CCG PROPERTY FUND III LLC (amended) | Other Real Estate | Bellevue | WA | $36,225,000 | $40,000,000 | 210 | Nov 6 | sec.gov |
| TRAM Services Holdings, LLC | Other | New York | NY | $30,968,179 | Indefinite | 10 | Nov 6 | sec.gov |
| Milhaus QOZ Business X, LLC | Other Real Estate | Indianapolis | IN | $27,116,087 | $35,000,000 | 8 | Nov 6 | sec.gov |
| Blue Ridge Repair Aggregator, LLC | Construction | Walnut Creek | CA | $22,631,304 | $22,631,304 | 10 | Nov 6 | sec.gov |
| LSC-Reno NV, DST (amended) | Residential | Radnor | PA | $21,670,000 | $21,670,000 | 76 | Nov 6 | sec.gov |
| AKF, Inc. (amended) | Other Banking and Financial Services | New York | NY | $18,250,000 | Indefinite | 6 | Nov 6 | sec.gov |
| BP Commercial Funding Trust II, Series SPL-XI | Other Banking and Financial Services | New York | NY | $14,000,000 | Indefinite | 2 | Nov 6 | sec.gov |
| Cytonus Therapeutics, Inc. | Biotechnology | Carlsbad | CA | $11,703,095 | $21,603,089 | 19 | Nov 6 | sec.gov |
| GRANATA BIO Corp | Biotechnology | Duxbury | MA | $10,094,226 | $13,999,999 | 10 | Nov 6 | sec.gov |
| SONALASENSE, INC. | Biotechnology | Oakland | CA | $9,765,000 | $15,000,000 | 30 | Nov 6 | sec.gov |
| Scitara Corp | Other Technology | Marlborough | MA | $8,500,000 | $15,000,000 | 6 | Nov 6 | sec.gov |
| Trolley Apartments Opportunity Fund LLC (amended) | Residential | Columbus | OH | $8,100,000 | $9,400,000 | 59 | Nov 6 | sec.gov |
| Form Health, Inc. | Other Technology | Boston | MA | $6,700,000 | $8,000,000 | 3 | Nov 6 | sec.gov |
| DIG09 Duluth Pavilion, LLC | Commercial | Atlanta | GA | $6,310,000 | $6,310,000 | 87 | Nov 6 | sec.gov |
| Battle Road Digital, Inc. | Other Technology | Garden City | ID | $4,000,000 | $5,000,000 | 1 | Nov 6 | sec.gov |
| Barnyard Games, Inc. | Other Technology | Encinitas | CA | $3,380,000 | $3,380,000 | 13 | Nov 6 | sec.gov |
| Mon Ami, Inc. | Other Technology | Palo Alto | CA | $3,366,113 | $7,999,998 | 5 | Nov 6 | sec.gov |
| Novu Normandy Partners, LLC | Other Real Estate | Birmingham | AL | $2,750,000 | $10,000,000 | 44 | Nov 6 | sec.gov |
| Three Peaks Capital LLC (amended) | Commercial | Seattle | WA | $1,845,000 | $10,000,000 | 21 | Nov 6 | sec.gov |
| finderco Holdings, LLC | Other | Austin | TX | $1,609,997 | $5,000,000 | 5 | Nov 6 | sec.gov |
| GreenSpense USA LLC | Other | Dover | DE | $1,600,000 | $5,000,000 | 6 | Nov 6 | sec.gov |
| Khor Holdings, Inc. | Manufacturing | Groveport | OH | $1,370,200 | $2,200,000 | 22 | Nov 6 | sec.gov |
| FanBlitz, Inc. | Business Services | Alexandria | VA | $1,300,000 | $1,300,000 | 1 | Nov 6 | sec.gov |
| VARCODE INC. (amended) | Other Technology | Chicago | IL | $1,100,000 | $2,500,000 | 7 | Nov 6 | sec.gov |
| VARCODE INC. | Other Technology | Chicago | IL | $1,100,000 | $2,500,000 | 7 | Nov 6 | sec.gov |
| WWC LXIX US, LP (amended) | Residential | Phoenix | AZ | $1,098,717 | $1,970,000 | 144 | Nov 6 | sec.gov |
| TPEG PACES RIVER INVESTORS LLC | Other Real Estate | Southlake | TX | $1,055,750 | $10,000,000 | 37 | Nov 6 | sec.gov |
| BRP 112th Ave Side Car LLC | Commercial | Dallas | TX | $1,000,000 | $7,000,000 | 5 | Nov 6 | sec.gov |
| BRP Belmont Side Car LLC | Commercial | Dallas | TX | $1,000,000 | $7,000,000 | 5 | Nov 6 | sec.gov |
| GS Finance Corp. | Investment Banking | New York | NY | $925,895 | $925,895 | 1 | Nov 6 | sec.gov |
| Primary Record Inc. | Other Technology | Mccordsville | IN | $755,000 | $1,000,000 | 6 | Nov 6 | sec.gov |
| Zircon Global Technologies (amended) | Other Technology | Reno | NV | $671,000 | $1,500,000 | 12 | Nov 6 | sec.gov |
| DocJuris Inc. | Other Technology | Houston | TX | $644,000 | $644,000 | 4 | Nov 6 | sec.gov |
| GS Finance Corp. | Investment Banking | New York | NY | $636,298 | $636,298 | 1 | Nov 6 | sec.gov |
| HerdDogg, Inc. (amended) | Other | Seward | NE | $500,000 | $3,000,000 | 1 | Nov 6 | sec.gov |
| Cove Acquisition Fund 5, LLC | Commercial | Torrance | CA | $450,000 | $25,000,000 | 2 | Nov 6 | sec.gov |
| Tectonic Metals Inc. | Other | Vancouver | $413,742 | $413,742 | 6 | Nov 6 | sec.gov | |
| Kalion, Inc. | Other Technology | Milton | MA | $405,869 | $2,000,000 | 21 | Nov 6 | sec.gov |
| Nemedio, Inc. | Other Technology | New York | NY | $350,000 | $350,000 | 3 | Nov 6 | sec.gov |
| Sucro Ltd | Other | Coral Gables | FL | $348,619 | $348,619 | 3 | Nov 6 | sec.gov |
| Fremont Gold Ltd. | Other | Vancouver | $230,054 | $425,600 | 7 | Nov 6 | sec.gov | |
| Phenom Resources Corp. (amended) | Other | Vancouver | $222,490 | $968,194 | 7 | Nov 6 | sec.gov | |
| Meridian Real Estate Income Fund LLC (amended) | Commercial | San Diego | CA | $153,125 | $2,500,000 | 3 | Nov 6 | sec.gov |
| Oncobiomix Inc. | Biotechnology | San Antonio | TX | $150,000 | $500,000 | 3 | Nov 6 | sec.gov |
| Linqto Liquidshares LLC | Other Banking and Financial Services | San Jose | CA | $140,571 | Indefinite | 35 | Nov 6 | sec.gov |
| Linqto Liquidshares LLC | Other Banking and Financial Services | San Jose | CA | $103,241 | Indefinite | 26 | Nov 6 | sec.gov |
| Linqto Liquidshares LLC | Other Banking and Financial Services | San Jose | CA | $62,529 | Indefinite | 20 | Nov 6 | sec.gov |
| Yummy Bazaar, Inc. (amended) | Other | Glassboro | NJ | $50,000 | $1,000,000 | 1 | Nov 6 | sec.gov |
| CytoViva Inc | Other Technology | Auburn | AL | $50,000 | $2,000,000 | 1 | Nov 6 | sec.gov |
| Hawaiian Bros Inc. | Restaurants | Kansas City | MO | $50,000 | $50,000 | 1 | Nov 6 | sec.gov |
| Linqto Liquidshares LLC | Other Banking and Financial Services | San Jose | CA | $25,124 | Indefinite | 7 | Nov 6 | sec.gov |
| Pixi Plus Inc. | Other Technology | Alexandria | VA | $25,000 | Indefinite | 1 | Nov 6 | sec.gov |
| Stockkings Holdings Inc. | Investing | New York | NY | $12,000 | $12,000 | 1 | Nov 6 | sec.gov |
| BRC Partners VII LP | REITS and Finance | Danville | CA | $0 | $104,000,000 | 0 | Nov 6 | sec.gov |
| Apex Office Ventures, LLC | Commercial | Sugar Land | TX | $0 | $6,500,000 | 0 | Nov 6 | sec.gov |
| FT. MYERS MEDICAL PLAZA, LLC | Other | Huntsville | AL | $0 | $8,000,000 | 0 | Nov 6 | sec.gov |
| Mind Your Business Off-Broadway Limited Partnership | Other | New York | NY | $0 | $1,500,000 | 0 | Nov 6 | sec.gov |
| Oakley Capital-LSC-Houston HFC Portfolio Fund 1, LLC | Commercial | Birmingham | AL | $0 | $500,000 | 0 | Nov 6 | sec.gov |
| TEX-DAL PARTNERS, LLC | Residential | Dallas | TX | $0 | $12,250,000 | 0 | Nov 6 | sec.gov |
| Investcorp US Real Estate Employee Co-Investment Incentive, L.P. | Commercial | New York | NY | $0 | Indefinite | 0 | Nov 6 | sec.gov |
| Ross Bicycles LLC | Other | Las Vegas | NV | $0 | $1,800,000 | 0 | Nov 6 | sec.gov |
| NowNews Digital Media Technology Co. Ltd. (amended) | Other Technology | New York | NY | $0 | $215,000 | 0 | Nov 6 | sec.gov |
| AQ Sunshine Parent, LLC | Other | New York | NY | $0 | Indefinite | 0 | Nov 6 | sec.gov |
November 7, 2023 · November 3, 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.