Data / Form D filings / Nov 9
Form D filings, November 9, 2023: 89 companies raised $996.6 million
89 operating companies filed a Form D on November 9, 2023, reporting $996.6 million sold. Largest: Diversified Residential Portfolio III DST ($197.1 million), Bowery Farming Inc. ($85.4 million), Rand Management Holdco, LLC ($61.4 million). The median filing is $3.3 million, and 126 pooled investment funds also filed that day.
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- 89Form D filings
- $996.6 millionreported sold
- $3.3 millionmedian amount sold
- CAmost filings (12)
Most filings by state: CA 12, FL 9, NY 9, TX 8, MA 5. By industry: Other Technology 23, Other 16, Other Real Estate 10, Commercial 8.
Every company that filed, largest first
| Company | Industry | City | State | Amount sold | Offering | Investors | Filed | Filing |
|---|---|---|---|---|---|---|---|---|
| Diversified Residential Portfolio III DST (amended) | Other Real Estate | Oak Brook | IL | $197,141,878 | $209,327,056 | 357 | Nov 9 | sec.gov |
| Bowery Farming Inc. | Other Technology | New York | NY | $85,406,508 | $220,496,798 | 38 | Nov 9 | sec.gov |
| Rand Management Holdco, LLC | Other | Purchase | NY | $61,439,588 | Indefinite | 79 | Nov 9 | sec.gov |
| Mediar Therapeutics, Inc. (amended) | Biotechnology | Boston | MA | $60,602,620 | $85,034,867 | 17 | Nov 9 | sec.gov |
| Woodvale Opportunity Fund 1 Ltd Partners, LLC | Commercial | Atlanta | GA | $60,140,000 | $100,000,000 | 77 | Nov 9 | sec.gov |
| Litera Holdco LP | Other | Wilmington | DE | $58,979,356 | Indefinite | 1 | Nov 9 | sec.gov |
| Algonquin Senior Living DST (amended) | Other Real Estate | Oak Brook | IL | $45,587,179 | $46,208,179 | 113 | Nov 9 | sec.gov |
| LSC-Towson MD, DST (amended) | Residential | Radnor | PA | $39,500,000 | $39,500,000 | 123 | Nov 9 | sec.gov |
| CAST AI Group, Inc. | Other Technology | Miami | FL | $35,049,894 | $35,049,894 | 7 | Nov 9 | sec.gov |
| LSC BHM, LP | Residential | New York | NY | $29,577,720 | $33,801,000 | 280 | Nov 9 | sec.gov |
| Iron Bridge Mortgage Fund, LLC (amended) | REITS and Finance | Portland | OR | $28,478,377 | Indefinite | 44 | Nov 9 | sec.gov |
| AM Batteries, Inc. | Other Technology | Chelmsford | MA | $26,942,952 | $29,942,949 | 15 | Nov 9 | sec.gov |
| Princeton Nuenergy Inc. | Other Technology | Bordentown | NJ | $23,997,611 | Indefinite | 34 | Nov 9 | sec.gov |
| Nugreen Holdings LLC | Other | San Antonio | TX | $20,957,000 | $25,000,000 | 19 | Nov 9 | sec.gov |
| 275 Funding, LLC (amended) | Other Banking and Financial Services | Haverford | PA | $16,078,398 | $30,000,000 | 215 | Nov 9 | sec.gov |
| Eavor Technologies Inc. (amended) | Other Technology | Calgary | $15,980,818 | $27,739,895 | 1 | Nov 9 | sec.gov | |
| Xage Security, Inc. | Other | Palo Alto | CA | $15,439,991 | $25,000,000 | 13 | Nov 9 | sec.gov |
| ERP 1031 Industrial Portfolio DST (amended) | Other Real Estate | Midland | TX | $13,772,134 | $44,241,222 | 49 | Nov 9 | sec.gov |
| Funnel Leasing, Inc. | Other | Odessa | FL | $11,999,997 | $27,500,000 | 6 | Nov 9 | sec.gov |
| CX Residences at Congressional Village, DST (amended) | Other Real Estate | Tampa | FL | $11,879,159 | $81,157,487 | 45 | Nov 9 | sec.gov |
| Javara Inc. | Other Health Care | Winston-Salem | NC | $9,430,000 | $9,430,000 | 5 | Nov 9 | sec.gov |
| First Stop Holdings, LLC | Other Health Care | Chicago | IL | $9,106,440 | $9,106,440 | 42 | Nov 9 | sec.gov |
| PACIFIC LIFE INSURANCE CO | Insurance | Newport Beach | CA | $8,685,934 | $8,685,934 | 1 | Nov 9 | sec.gov |
| PSOF LO Mesa Side Car, LLC (amended) | Other Real Estate | Atlanta | GA | $7,949,000 | $13,485,000 | 18 | Nov 9 | sec.gov |
| Vimcal Inc. | Other Technology | San Diego | CA | $6,850,663 | $6,850,663 | 49 | Nov 9 | sec.gov |
| OpsLab, Inc. | Other Technology | Austin | TX | $6,274,997 | $6,275,000 | 11 | Nov 9 | sec.gov |
| Wecover Platforms, Inc. | Other Technology | Cambridge | MA | $6,024,998 | $6,125,000 | 6 | Nov 9 | sec.gov |
| Engaged MD, Inc. | Other Health Care | Washington | DC | $5,499,996 | $5,500,000 | 2 | Nov 9 | sec.gov |
| Okami Medical, Inc. | Other Technology | Aliso Viejo | CA | $5,000,000 | $6,131,309 | 5 | Nov 9 | sec.gov |
| Richardson Promenade Retail, LLC | Commercial | Grapevine | TX | $4,860,000 | $8,100,000 | 26 | Nov 9 | sec.gov |
| GameDriver, Inc. | Other | Martinez | CA | $4,805,201 | $5,805,197 | 14 | Nov 9 | sec.gov |
| APCW 2023 Parent I LLC | Commercial | New York | NY | $4,705,000 | $6,010,000 | 33 | Nov 9 | sec.gov |
| Ascellus Health, Inc. | Other Health Care | St. Petersburg | FL | $4,600,000 | $7,600,000 | 3 | Nov 9 | sec.gov |
| LaserMotive, Inc. (amended) | Other | Kent | WA | $4,030,000 | $5,000,000 | 58 | Nov 9 | sec.gov |
| LSC Beckley Highland, LP | Residential | New York | NY | $3,939,800 | $10,000,000 | 29 | Nov 9 | sec.gov |
| MCM Woodland LP | Residential | Mill Valley | CA | $3,619,750 | $6,683,250 | 20 | Nov 9 | sec.gov |
| MOMENTUM LAKE HOUSTON LLC | Residential | Humble | TX | $3,400,000 | $17,000,000 | 35 | Nov 9 | sec.gov |
| Fort Myers BTR DST (amended) | Other Real Estate | Oak Brook | IL | $3,313,705 | $54,462,042 | 12 | Nov 9 | sec.gov |
| PIC Alliance Fund, LLC (amended) | Other Real Estate | Irmo | SC | $3,279,000 | $50,000,000 | 31 | Nov 9 | sec.gov |
| r.World, PBC (amended) | Other | Minneapolis | MN | $3,265,000 | $5,000,000 | 30 | Nov 9 | sec.gov |
| Voltron Therapeutics, Inc. (amended) | Biotechnology | New York | NY | $3,210,680 | Indefinite | 63 | Nov 9 | sec.gov |
| Busy Beauty, Inc. | Other Health Care | Manchester | MA | $2,807,762 | $4,057,762 | 1 | Nov 9 | sec.gov |
| Hucu.ai, LLC | Other Technology | Chicago | IL | $2,511,101 | $3,511,101 | 7 | Nov 9 | sec.gov |
| POLAR CAPITAL FUNDS PUBLIC LTD CO (amended) | Other Banking and Financial Services | Dublin | $2,441,007 | Indefinite | 5 | Nov 9 | sec.gov | |
| Global Bamboo Technologies Inc. (amended) | Manufacturing | Windsor | CA | $2,130,000 | $2,130,000 | 2 | Nov 9 | sec.gov |
| GameDriver, Inc. (amended) | Other | Martinez | CA | $2,005,200 | $3,005,199 | 2 | Nov 9 | sec.gov |
| SALUS FINANCIAL TECHNOLOGY, INC. | Other Technology | Charlotte | NC | $1,450,000 | $2,000,000 | 9 | Nov 9 | sec.gov |
| Outbound Technologies, Inc. | Other Technology | Wilmington | DE | $1,430,000 | $1,430,000 | 11 | Nov 9 | sec.gov |
| 6550 Interstate, LLC (amended) | Commercial | Hernando | MS | $1,400,000 | $1,400,000 | 12 | Nov 9 | sec.gov |
| Hypothetic Inc | Other | Bermuda Dunes | CA | $1,075,000 | $3,500,000 | 3 | Nov 9 | sec.gov |
| LifeLine Torch Sail LLC | Other | Beverly Hills | CA | $1,032,575 | $1,032,575 | 8 | Nov 9 | sec.gov |
| CRE Capital P004, LLC | Commercial | Atlanta | GA | $865,000 | $865,000 | 21 | Nov 9 | sec.gov |
| United States Property Inc. | Other Real Estate | Newport Beach | CA | $760,000 | $50,000,000 | 15 | Nov 9 | sec.gov |
| Physical Web Defense 7, Inc. | Other Technology | Bozeman | MT | $600,001 | $5,000,016 | 1 | Nov 9 | sec.gov |
| Tenayo Foods LLC | Other | Boulder | CO | $600,000 | $1,000,000 | 8 | Nov 9 | sec.gov |
| Deinde Medical Corp. | Other Health Care | Miramar | FL | $515,000 | $1,000,000 | 8 | Nov 9 | sec.gov |
| CModel Data, Inc. (amended) | Other Technology | Birmingham | AL | $500,000 | $1,200,000 | 1 | Nov 9 | sec.gov |
| Reperio Health, Inc. | Other Technology | Portland | OR | $500,000 | $2,000,000 | 1 | Nov 9 | sec.gov |
| PF 504, LLC | Residential | Knoxville | TN | $400,500 | Indefinite | 8 | Nov 9 | sec.gov |
| 6550 Interstate, LLC | Commercial | Hernando | MS | $400,000 | $1,428,000 | 4 | Nov 9 | sec.gov |
| Modelwise Technologies Inc. | Other Technology | San Francisco | CA | $361,388 | $361,388 | 5 | Nov 9 | sec.gov |
| Noma AI Inc. | Other Health Care | Pittsburgh | PA | $350,000 | $1,000,000 | 1 | Nov 9 | sec.gov |
| 3D Agility LLC | Other Technology | Elizabethtown | PA | $300,000 | $3,000,000 | 1 | Nov 9 | sec.gov |
| Sky Holdco Corp (amended) | Other | New York | NY | $280,000 | $2,605,000 | 2 | Nov 9 | sec.gov |
| NDIrwin Holdings, LLC | Business Services | Harrisonburg | VA | $200,000 | Indefinite | 3 | Nov 9 | sec.gov |
| Flightpath Software Inc. | Other Technology | Hamilton | $165,000 | $600,000 | 3 | Nov 9 | sec.gov | |
| Soundboard Inc. | Other Technology | Boston | MA | $120,000 | $900,000 | 3 | Nov 9 | sec.gov |
| Nevada Sunrise Metals Corp. | Other | Vancouver | $115,800 | $289,500 | 10 | Nov 9 | sec.gov | |
| Gigantic Playground, LLC | Other Technology | Austin | TX | $100,000 | $100,000 | 1 | Nov 9 | sec.gov |
| COI Energy Services, Inc. | Electric Utilities | Tampa | FL | $100,000 | $5,000,000 | 1 | Nov 9 | sec.gov |
| Mezlight, LLC | Manufacturing | Madison | WI | $100,000 | $1,100,000 | 2 | Nov 9 | sec.gov |
| Sapari, Inc. | Manufacturing | Draper | UT | $90,000 | $3,500,000 | 4 | Nov 9 | sec.gov |
| Goodsprout Co LLC | Pharmaceuticals | Fort Worth | TX | $50,000 | Indefinite | 1 | Nov 9 | sec.gov |
| Icarus Capital Corp. | Other | Richmond | $49,961 | $49,961 | 7 | Nov 9 | sec.gov | |
| Dextego Inc. (amended) | Other Technology | New York City | NY | $25,000 | $300,000 | 1 | Nov 9 | sec.gov |
| PIC Alliance Fund, LLC | Other Real Estate | Irmo | SC | $0 | $50,000,000 | 0 | Nov 9 | sec.gov |
| Savii Co. | Other Technology | Elkhorn | NE | $0 | $500,000 | 0 | Nov 9 | sec.gov |
| Pinnacle Convertible Loan, LLC | Commercial | St. Petersburg | FL | $0 | $6,900,000 | 15 | Nov 9 | sec.gov |
| FLIPS-PROJECT INC | Other | Cape Coral | FL | $0 | $14,000,000,000 | 0 | Nov 9 | sec.gov |
| Apollo Mineral Investment Fund, LP | Oil and Gas | Oklahoma City | OK | $0 | $5,000,000 | 0 | Nov 9 | sec.gov |
| LandX Freedom Fund, LLC | Other Real Estate | Dover | DE | $0 | $20,000,000 | 0 | Nov 9 | sec.gov |
| Penguin CM Group, Inc. | Other Banking and Financial Services | West Palm Beach | FL | $0 | $50,000,000 | 0 | Nov 9 | sec.gov |
| Commons Hold Co LLC | Residential | Minneapolis | MN | $0 | $6,000,000 | 0 | Nov 9 | sec.gov |
| Seguridad, Inc. | Other Health Care | Hoover | AL | $0 | $500,000 | 0 | Nov 9 | sec.gov |
| GLC Vin Rogers, LLC | Commercial | Granger | IN | $0 | $14,056,000 | 0 | Nov 9 | sec.gov |
| PETROVYBE PARTNERS, LP | Oil and Gas | Plano | TX | $0 | $250,000,000 | 0 | Nov 9 | sec.gov |
| Whitlock Opportunity Income Fund Investment Partners LLC | REITS and Finance | Minneapolis | MN | $0 | $50,000,000 | 0 | Nov 9 | sec.gov |
| Blue Owl Capital Technology Holdings II LLC (amended) | Investing | New York | NY | $0 | Indefinite | 119 | Nov 9 | sec.gov |
| GreenMan Vision, Inc. | Other Technology | Fargo | ND | $0 | $1,500,000 | 0 | Nov 9 | sec.gov |
November 13, 2023 · November 8, 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.