Data / Form D filings / Nov 7
Form D filings, November 7, 2023: 85 companies raised $1.70 billion
85 operating companies filed a Form D on November 7, 2023, reporting $1.70 billion sold. Largest: NHIT: Core Plus Full Discretion Trust ($769.2 million), Armadillo Litigation Funding Partners II LP ($250 million), Kyverna Therapeutics, Inc. ($152 million). The median filing is $2 million, and 124 pooled investment funds also filed that day.
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- 85Form D filings
- $1.70 billionreported sold
- $2 millionmedian amount sold
- CAmost filings (11)
Most filings by state: CA 11, TX 9, NY 9, PA 6, MA 5. By industry: Other Technology 18, Other 18, Residential 11, Other Real Estate 9.
Every company that filed, largest first
| Company | Industry | City | State | Amount sold | Offering | Investors | Filed | Filing |
|---|---|---|---|---|---|---|---|---|
| NHIT: Core Plus Full Discretion Trust (amended) | Investing | Boston | MA | $769,176,839 | Indefinite | 14 | Nov 7 | sec.gov |
| Armadillo Litigation Funding Partners II LP | Other | Houston | TX | $250,000,000 | Indefinite | 1 | Nov 7 | sec.gov |
| Kyverna Therapeutics, Inc. | Biotechnology | Emeryville | CA | $151,999,981 | $151,999,981 | 24 | Nov 7 | sec.gov |
| Aligos Therapeutics, Inc. | Biotechnology | South San Francisco | CA | $92,150,000 | $92,150,000 | 11 | Nov 7 | sec.gov |
| Hartford Funds Management Group, Inc. (amended) | Other Banking and Financial Services | Wayne | PA | $88,976,529 | $226,600,000 | 227 | Nov 7 | sec.gov |
| JVM Multi-Family Premier Fund 5, LLC (amended) | Other Real Estate | Oak Brook | IL | $88,639,131 | $150,000,000 | 123 | Nov 7 | sec.gov |
| Paradromics, Inc. (amended) | Other Health Care | Austin | TX | $50,141,276 | $51,012,815 | 53 | Nov 7 | sec.gov |
| Spandrel Sponsors Fund II, LP (amended) | Other Real Estate | New York | NY | $19,910,000 | Indefinite | 37 | Nov 7 | sec.gov |
| Govly Inc. | Other Technology | Denver | CO | $13,134,527 | $13,134,527 | 23 | Nov 7 | sec.gov |
| Olivette BREP QOF LLC | Residential | San Francisco | CA | $10,250,000 | $15,000,000 | 14 | Nov 7 | sec.gov |
| OAK COURT PARTNERS, LLC | Commercial | Memphis | TN | $9,800,000 | $19,635,000 | 30 | Nov 7 | sec.gov |
| Whaleshead MHP Limited Partnership (amended) | Investing | Brookings | OR | $9,600,000 | $9,600,000 | 25 | Nov 7 | sec.gov |
| Whaleshead MHP Limited Partnership | Residential | Brookings | OR | $9,600,000 | $9,600,000 | 25 | Nov 7 | sec.gov |
| Pipedream Laboratories, Inc. | Other | Austin | TX | $9,427,169 | $9,427,169 | 33 | Nov 7 | sec.gov |
| QualiaOS, Inc | Other Technology | Philadelphia | PA | $8,806,713 | $12,936,213 | 69 | Nov 7 | sec.gov |
| BRAINBOX SOLUTIONS, INC. | Biotechnology | Richmond | VA | $7,089,159 | $18,499,976 | 32 | Nov 7 | sec.gov |
| Foldax, Inc. | Biotechnology | Salt Lake City | UT | $7,000,000 | Indefinite | 10 | Nov 7 | sec.gov |
| MCP Holdings II LLC | Commercial | Uniontown | PA | $6,185,000 | $6,185,000 | 22 | Nov 7 | sec.gov |
| inquirED, Inc. | Other Technology | Chicago | IL | $6,163,877 | $6,163,877 | 4 | Nov 7 | sec.gov |
| ViuHealth, Inc. | Other Technology | New York | NY | $5,766,915 | $6,466,916 | 9 | Nov 7 | sec.gov |
| Argilla, Inc. | Other Technology | Carpesa, Valencia | $5,354,995 | $5,500,000 | 10 | Nov 7 | sec.gov | |
| K7 Multifamily Fund III LP | Residential | Austin | TX | $5,135,000 | $30,000,000 | 14 | Nov 7 | sec.gov |
| Method Security, Inc. | Other Technology | Mound | MN | $4,500,000 | $5,499,999 | 1 | Nov 7 | sec.gov |
| Sterling Office & Industrial Trust | REITS and Finance | Fargo | ND | $4,374,132 | $22,000,000 | 30 | Nov 7 | sec.gov |
| Synaptec Health Inc. | Other Health Care | Los Angeles | CA | $4,209,997 | $5,209,996 | 6 | Nov 7 | sec.gov |
| Raise Robotics, Inc. | Other | San Francisco | CA | $4,112,539 | $4,587,540 | 18 | Nov 7 | sec.gov |
| Begin Mack LP | Other | Dallas | TX | $3,850,000 | $3,850,000 | 17 | Nov 7 | sec.gov |
| Minnetonka Marsh, LLC | Residential | Blue Bell | PA | $3,737,500 | $13,850,000 | 55 | Nov 7 | sec.gov |
| GLC Kendale LLC | Residential | Columbia | MD | $3,550,000 | $5,500,000 | 17 | Nov 7 | sec.gov |
| 250 UNITY FUNDING L.P. | Other Real Estate | New York | NY | $3,250,000 | $3,250,000 | 29 | Nov 7 | sec.gov |
| Smile Technology Group, Inc. | Other Technology | Seal Beach | CA | $2,942,999 | $14,900,000 | 6 | Nov 7 | sec.gov |
| Kobiton, Inc. | Other Technology | Atlanta | GA | $2,858,391 | $5,999,999 | 3 | Nov 7 | sec.gov |
| Healionics CORP | Other | Seattle | WA | $2,684,000 | $3,000,000 | 34 | Nov 7 | sec.gov |
| MANDALAY RETAIL OPPORTUNITY FUND II, LP | Commercial | Pasadena | CA | $2,602,000 | $100,000,000 | 15 | Nov 7 | sec.gov |
| Studson, Inc. (amended) | Manufacturing | Tigard | OR | $2,478,903 | $2,478,903 | 11 | Nov 7 | sec.gov |
| FCAP Muddy Creek LLC | Other Real Estate | Avon | CO | $2,200,000 | $2,750,000 | 23 | Nov 7 | sec.gov |
| K7 Multifamily Fund II LP | Residential | Austin | TX | $2,157,000 | $30,000,000 | 14 | Nov 7 | sec.gov |
| Galtec Holdings Inc. | Other | Dover | DE | $2,000,000 | $2,000,000 | 2 | Nov 7 | sec.gov |
| Audience Town, Inc. | Other Technology | Newark | NJ | $2,000,000 | $2,000,000 | 1 | Nov 7 | sec.gov |
| LIPELLA PHARMACEUTICALS INC. | Pharmaceuticals | Pittsburgh | PA | $2,000,000 | $2,000,000 | 1 | Nov 7 | sec.gov |
| MATIUM INC. | Other Technology | Baltimore | MD | $1,780,000 | $1,780,000 | 17 | Nov 7 | sec.gov |
| Variant 4 Warehouse, LLC | Other Real Estate | West Fargo | ND | $1,513,500 | $1,513,500 | 6 | Nov 7 | sec.gov |
| LaFollette Sustainable Housing, LLC | Other Real Estate | Lafollette | TN | $1,500,000 | $1,500,000 | 18 | Nov 7 | sec.gov |
| Senscio Systems, Inc. | Other Technology | Harvard | MA | $1,500,000 | $3,000,000 | 3 | Nov 7 | sec.gov |
| 7 MERIBETH FUNDING L.P. | Other Real Estate | New York | NY | $1,350,000 | $1,350,000 | 19 | Nov 7 | sec.gov |
| Cocke Sustainable Housing, LLC | Other Real Estate | Newport | TN | $1,300,000 | $1,300,000 | 18 | Nov 7 | sec.gov |
| WWC LXVI US, LP (amended) | Residential | Phoenix | AZ | $1,160,561 | $1,705,000 | 67 | Nov 7 | sec.gov |
| Aghanim Inc. (amended) | Other Technology | Westlake Village | CA | $1,025,000 | $3,000,000 | 3 | Nov 7 | sec.gov |
| KEYSTONE TWO APARTMENTS, LLC (amended) | Residential | Seattle | WA | $1,000,000 | $8,500,000 | 1 | Nov 7 | sec.gov |
| Purinomia Biotech, Inc. | Biotechnology | Woburn | MA | $1,000,000 | $1,000,000 | 1 | Nov 7 | sec.gov |
| Hopara, Inc. | Other Technology | Boston | MA | $842,247 | $1,015,000 | 8 | Nov 7 | sec.gov |
| Belt Power Co-Investor Holdings, LLC (amended) | Other | Denver | CO | $750,000 | $750,000 | 2 | Nov 7 | sec.gov |
| WWC LXVIII US, LP (amended) | Residential | Phoenix | AZ | $747,358 | $1,600,000 | 115 | Nov 7 | sec.gov |
| MedVector Corp | Biotechnology | El Segundo | CA | $700,000 | $1,290,000 | 7 | Nov 7 | sec.gov |
| Bite Inc. | Other Technology | New York | NY | $624,999 | $8,648,353 | 3 | Nov 7 | sec.gov |
| LITHOS ENERGY LTD. | Other | Vancouver | $550,000 | $550,000 | 4 | Nov 7 | sec.gov | |
| MESH HEALTH SOLUTIONS, LLC | Other Technology | Newark | DE | $500,000 | $500,000 | 7 | Nov 7 | sec.gov |
| Gaingels Holdings Core 2023 LLC | Other | Burlington | VT | $340,000 | $340,000 | 7 | Nov 7 | sec.gov |
| Fall Forward Fund I, L.P. | Other | Dresher | PA | $300,000 | $10,000,000 | 1 | Nov 7 | sec.gov |
| Buildhub Inc. | Other | Calabasas | CA | $250,000 | Indefinite | 2 | Nov 7 | sec.gov |
| Red House Tools, LLC | Other | Milliken | CO | $240,000 | $1,015,000 | 4 | Nov 7 | sec.gov |
| USEDC 2023 Auxiliary Fund LP (amended) | Oil and Gas | Arlington | TX | $240,000 | $150,000,000 | 0 | Nov 7 | sec.gov |
| Phylos Bioscience, Inc. | Other | Portland | OR | $150,000 | Indefinite | 1 | Nov 7 | sec.gov |
| SILVER BULL RESOURCES, INC. | Other | Vancouver | $127,592 | $127,592 | 4 | Nov 7 | sec.gov | |
| Zyppah, Inc. (amended) | Other Health Care | Carson City | NV | $125,000 | Indefinite | 13 | Nov 7 | sec.gov |
| Gaingels Vise LLC | Other | Burlington | VT | $111,111 | $111,111 | 14 | Nov 7 | sec.gov |
| DSGNPerks Inc (amended) | Manufacturing | Brooklyn | NY | $80,000 | $499,000 | 4 | Nov 7 | sec.gov |
| GREEN MATTERS TECHNOLOGIES INC. | Manufacturing | Langley | $70,000 | $70,000 | 2 | Nov 7 | sec.gov | |
| Koibito Franchise, LLC | Restaurants | Phoenix | AZ | $55,000 | $1,500,000 | 1 | Nov 7 | sec.gov |
| TALLY IT INC. | Other Technology | Wilmington | DE | $50,000 | $50,000 | 0 | Nov 7 | sec.gov |
| HereNow Help, Inc. | Other Technology | Honeoye | NY | $30,025 | $2,001,700 | 1 | Nov 7 | sec.gov |
| Pigeon Cove Ferments, Ltd | Manufacturing | Gloucester | MA | $25,000 | $350,000 | 1 | Nov 7 | sec.gov |
| BC's Brewing Company, LLC | Manufacturing | Mason | OH | $25,000 | $300,000 | 1 | Nov 7 | sec.gov |
| CNG 2023 DICKSON-RINGLING, LLC | Energy Conservation | Oklahoma City | OK | $10,000 | $620,000 | 1 | Nov 7 | sec.gov |
| VECTORMAX Corp | Other Technology | Lindenhurst | NY | $5,000 | $30,000,000 | 1 | Nov 7 | sec.gov |
| EB5 Capital - Jobs Fund 36, LLC | Residential | Bethesda | MD | $0 | $25,600,000 | 0 | Nov 7 | sec.gov |
| Burgeon Fund LLC | Commercial | Sheridan | WY | $0 | $25,000,000 | 0 | Nov 7 | sec.gov |
| LandX 6, LLC | Other Real Estate | Harrisonville | MO | $0 | $1,000,000 | 0 | Nov 7 | sec.gov |
| Senior Focus Equity, Inc | Other Health Care | Birmingham | AL | $0 | $1,000,000 | 0 | Nov 7 | sec.gov |
| ALC 097 L.P. | Other | Irvine | CA | $0 | $4,000,000 | 0 | Nov 7 | sec.gov |
| Surgery Center at South Ogden, LLC | Other Health Care | South Ogden | UT | $0 | $68,000 | 0 | Nov 7 | sec.gov |
| In Fine Co Broadway Fund Ltd Liability Co | Other | Brooklyn | NY | $0 | $10,000,000 | 0 | Nov 7 | sec.gov |
| Yuva Biosciences, Inc. | Other | Birmingham | AL | $0 | $4,500,000 | 0 | Nov 7 | sec.gov |
| REAL INCOME PROPERTIES OKLAHOMA I LLC | Residential | Plano | TX | $0 | $3,000,000 | 0 | Nov 7 | sec.gov |
| U.S. Energy Private Capital II LP | Oil and Gas | Arlington | TX | $0 | $50,000,000 | 0 | Nov 7 | sec.gov |
November 8, 2023 · November 6, 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.