Data / Form D filings / Nov 13
Form D filings, November 13, 2023: 119 companies raised $3.15 billion
119 operating companies filed a Form D on November 13, 2023, reporting $3.15 billion sold. Largest: JUUL Labs, Inc. ($1.27 billion), Databricks, Inc. ($684.6 million), Crosswind Mortgage REIT, L.P. ($189.8 million). The median filing is $2 million, and 127 pooled investment funds also filed that day.
SpecStream is the live web data engine for teams and agents. It reads every Form D on SEC EDGAR the day it is filed, and this page is that reading. Ask for your own cut (a state, an industry, a size) and new filings arrive in your sheet, CRM, Slack or agent as they land.
- 119Form D filings
- $3.15 billionreported sold
- $2 millionmedian amount sold
- CAmost filings (31)
Most filings by state: CA 31, MA 6, NJ 5, MN 5, TN 5. By industry: Other Technology 23, Other 20, Other Real Estate 16, Other Health Care 10.
Every company that filed, largest first
| Company | Industry | City | State | Amount sold | Offering | Investors | Filed | Filing |
|---|---|---|---|---|---|---|---|---|
| JUUL Labs, Inc. | Other | Washington, D.C. | DC | $1,269,999,997 | $1,600,000,000 | 4 | Nov 13 | sec.gov |
| Databricks, Inc. (amended) | Other Technology | San Francisco | CA | $684,559,082 | $999,999,987 | 91 | Nov 13 | sec.gov |
| Crosswind Mortgage REIT, L.P. (amended) | REITS and Finance | Los Angeles | CA | $189,754,134 | Indefinite | 148 | Nov 13 | sec.gov |
| PATHFINDER PARTNERS INCOME FUND, L.P. (amended) | Residential | San Diego | CA | $175,683,132 | $175,683,132 | 691 | Nov 13 | sec.gov |
| OrsoBio, Inc. | Biotechnology | Palo Alto | CA | $84,629,383 | $84,629,383 | 6 | Nov 13 | sec.gov |
| JLLX Louisville Logistics Center, DST (amended) | Other Real Estate | Chicago | IL | $75,277,921 | $88,172,058 | 68 | Nov 13 | sec.gov |
| NantBio, Inc. | Biotechnology | El Segundo | CA | $75,073,925 | $75,073,925 | 6 | Nov 13 | sec.gov |
| Ghost Autonomy Inc. (amended) | Other Technology | Mountain View | CA | $55,000,000 | $55,000,000 | 31 | Nov 13 | sec.gov |
| JLLX Ardenwood II, DST (amended) | Other Real Estate | Chicago | IL | $52,535,631 | $56,724,512 | 85 | Nov 13 | sec.gov |
| Xpansiv Ltd (amended) | Other | San Francisco | CA | $36,265,845 | $36,265,845 | 29 | Nov 13 | sec.gov |
| KYNDI, INC. (amended) | Other Technology | San Mateo | CA | $34,650,772 | $37,060,092 | 11 | Nov 13 | sec.gov |
| JLLX Ardenwood I, DST (amended) | Other Real Estate | Chicago | IL | $30,380,892 | $32,754,881 | 85 | Nov 13 | sec.gov |
| Global Opportunity Pennsylvania Fund II, L.P. | Other | Philadelphia | PA | $27,575,000 | $100,000,000 | 32 | Nov 13 | sec.gov |
| KB Chicago Logistics, DST | Other Real Estate | Las Vegas | NV | $24,547,317 | $24,765,000 | 12 | Nov 13 | sec.gov |
| Melt Pharmaceuticals, Inc. (amended) | Pharmaceuticals | Brentwood | TN | $19,551,717 | $30,000,000 | 264 | Nov 13 | sec.gov |
| RC Largo Apartments LLC (amended) | Commercial | Plymouth | MN | $18,002,920 | $18,002,920 | 121 | Nov 13 | sec.gov |
| Greenhorse MN, LLC | Other Real Estate | Minneapolis | MN | $17,105,000 | $17,500,000 | 28 | Nov 13 | sec.gov |
| Surround Care, LLC | Other Health Care | St. Louis | MO | $15,016,065 | $15,016,065 | 24 | Nov 13 | sec.gov |
| ARZEDA Corp. | Other | Seattle | WA | $14,935,945 | $20,000,000 | 15 | Nov 13 | sec.gov |
| Artful Asheville, LLC (amended) | Commercial | Asheville | NC | $14,680,000 | $20,000,000 | 41 | Nov 13 | sec.gov |
| PDC South Austin Commerce Center, Ltd | Commercial | Houston | TX | $14,105,000 | $14,500,000 | 52 | Nov 13 | sec.gov |
| PSOF LO FMR Side Car, LLC | Other Real Estate | Atlanta | GA | $14,100,540 | $16,500,000 | 65 | Nov 13 | sec.gov |
| Hockey Parent Holdings, L.P. | Other | Chicago | IL | $13,024,000 | $13,024,000 | 9 | Nov 13 | sec.gov |
| Adentro, Inc. | Other | San Francisco | CA | $12,715,021 | $14,618,586 | 7 | Nov 13 | sec.gov |
| Roers Farmers Branch Apartments LLC (amended) | Commercial | Plymouth | MN | $11,344,093 | $11,344,093 | 77 | Nov 13 | sec.gov |
| Project Samri Inc. | Biotechnology | Boston | MA | $10,500,001 | $10,500,001 | 18 | Nov 13 | sec.gov |
| Acoustic Wave Cell Therapy, Inc. | Other Health Care | Van Nuys | CA | $10,426,093 | $15,000,000 | 17 | Nov 13 | sec.gov |
| TILLMAN LODGING LLC | Commercial | Sanford | FL | $9,200,000 | $9,200,000 | 38 | Nov 13 | sec.gov |
| Ventricle Health, Inc. | Other Health Care | Greensboro | $7,999,995 | $8,000,000 | 16 | Nov 13 | sec.gov | |
| 2420 Berryhill, LLC | Other Real Estate | Charlotte | NC | $7,842,000 | $16,000,000 | 33 | Nov 13 | sec.gov |
| JSIP Courthouse Green Investors, LLC | Residential | Boston | MA | $7,750,000 | $9,180,000 | 24 | Nov 13 | sec.gov |
| SLAM BioTherapeutics, Inc. | Biotechnology | Thousand Oaks | CA | $7,705,000 | $20,000,000 | 38 | Nov 13 | sec.gov |
| Sag Harbor CBC LLC | Other Real Estate | Boulder | CO | $6,905,000 | $6,905,000 | 10 | Nov 13 | sec.gov |
| Avertix Medical, Inc. | Other Health Care | Eatontown | NJ | $6,788,763 | $9,400,000 | 39 | Nov 13 | sec.gov |
| Valid8 Financial, Inc. | Other Technology | Seattle | WA | $6,000,000 | $6,000,000 | 7 | Nov 13 | sec.gov |
| Argentina Lithium & Energy Corp. (amended) | Other Energy | Vancouver | $5,807,687 | $16,613,798 | 6 | Nov 13 | sec.gov | |
| Switchboard Health, Inc. | Other Technology | Alexandria | VA | $5,479,993 | $6,529,999 | 13 | Nov 13 | sec.gov |
| Iris&Romeo, Inc. | Other | San Francisco | CA | $5,087,182 | $5,087,182 | 16 | Nov 13 | sec.gov |
| GYRE THERAPEUTICS, INC. | Pharmaceuticals | San Diego | CA | $5,000,000 | $5,000,000 | 1 | Nov 13 | sec.gov |
| Benevolent Investor Group BIKE III, LLC | Investing | Pacific Palisades | CA | $4,520,000 | $4,520,000 | 47 | Nov 13 | sec.gov |
| Photon Effect, LLC | Other Health Care | Ardmore | PA | $4,300,000 | Indefinite | 2 | Nov 13 | sec.gov |
| LENDSMART, INC. | Other Technology | Hoboken | NJ | $3,770,454 | $3,770,454 | 20 | Nov 13 | sec.gov |
| Cancer IQ Inc. | Other Technology | Chicago | IL | $3,350,000 | $6,000,000 | 9 | Nov 13 | sec.gov |
| Climatecrete Inc. | Other Technology | San Jose | CA | $3,300,000 | $3,300,000 | 2 | Nov 13 | sec.gov |
| BIG DAY 2, LLC | Investing | Pacific Palisades | CA | $3,110,000 | $3,110,000 | 39 | Nov 13 | sec.gov |
| Trove Health Tech, Inc. | Other Health Care | Needham | MA | $3,082,140 | $3,982,140 | 19 | Nov 13 | sec.gov |
| Iris&Romeo, Inc. (amended) | Other | San Francisco | CA | $2,999,998 | $2,999,998 | 3 | Nov 13 | sec.gov |
| CTOS Software, Inc. | Other Technology | Indianapolis | IN | $2,930,890 | $3,000,000 | 17 | Nov 13 | sec.gov |
| iCross Fund 3 LLC | Other Real Estate | Queens | NY | $2,644,500 | $7,820,000 | 45 | Nov 13 | sec.gov |
| Bancreek Capital Advisors, LLC | Other | Santa Monica | CA | $2,200,000 | $2,200,000 | 2 | Nov 13 | sec.gov |
| RKI APPS INC. (amended) | Other Technology | Philadelphia | PA | $2,112,800 | $3,000,000 | 3 | Nov 13 | sec.gov |
| Merit Medicine, Inc. | Other Technology | Austin | TX | $2,000,000 | $2,500,000 | 1 | Nov 13 | sec.gov |
| JSIP Courthouse Green Investors II, LLC | Residential | Boston | MA | $2,000,000 | $2,000,000 | 1 | Nov 13 | sec.gov |
| EKAMOR Resource Corp | Other | Cookeville | TN | $1,999,999 | $4,000,000 | 2 | Nov 13 | sec.gov |
| Racing & Performance Holdings, LLC | Manufacturing | Cold Spring Harbor | NY | $1,750,000 | $1,750,000 | 83 | Nov 13 | sec.gov |
| Gi Property 78 LLC | Other Real Estate | Beverly Hills | CA | $1,691,060 | $1,691,060 | 0 | Nov 13 | sec.gov |
| 5353 Belt Line, LLC | Commercial | Dallas | TX | $1,612,500 | Indefinite | 23 | Nov 13 | sec.gov |
| BEKHealth Corp | Other Technology | Branford | CT | $1,609,060 | $3,000,000 | 5 | Nov 13 | sec.gov |
| ApolloMD Partners, Inc. | Hospitals and Physicians | Atlanta | GA | $1,543,411 | $4,999,999 | 28 | Nov 13 | sec.gov |
| First Launch Dallas, LLC | Other | Louisville | KY | $1,235,000 | $10,000,000 | 11 | Nov 13 | sec.gov |
| Las Verse LLC (amended) | Commercial | San Francisco | CA | $1,100,000 | Indefinite | 1 | Nov 13 | sec.gov |
| Zeta Surgical Inc. | Other Technology | Boston | MA | $1,081,301 | $2,000,000 | 14 | Nov 13 | sec.gov |
| CS Renewables, Inc. | Other Energy | Fort Lee | NJ | $1,000,000 | $1,000,000 | 2 | Nov 13 | sec.gov |
| INVEST BEYOND MULTIFAMILY LLC (amended) | Commercial | Loveland | OH | $1,000,000 | $1,000,000 | 6 | Nov 13 | sec.gov |
| 1202 Greenville Hwy, LLC | Residential | Washington | DC | $990,000 | $6,700,000 | 11 | Nov 13 | sec.gov |
| Aro Technology, Inc. (amended) | Other Technology | Knoxville | TN | $835,000 | $1,300,000 | 9 | Nov 13 | sec.gov |
| Alpine Frederick, LLC | Other Real Estate | Phoenix | AZ | $800,000 | $800,000 | 7 | Nov 13 | sec.gov |
| OptzzChain, Inc. | Other Technology | Los Angeles | CA | $767,386 | $1,000,000 | 14 | Nov 13 | sec.gov |
| Pickle & Hops LLC | Other | Riverwood | KY | $672,693 | $700,000 | 13 | Nov 13 | sec.gov |
| TS-NANO, INC. | Other Technology | Albuquerque | NM | $610,943 | $1,000,000 | 16 | Nov 13 | sec.gov |
| Nemo Digital Holdings Corp. | Other Banking and Financial Services | Sheridan | WY | $603,000 | $689,600 | 2 | Nov 13 | sec.gov |
| Lantern Laboratory, Inc. | Other Health Care | Cortlandt Manor | NY | $500,000 | $2,500,000 | 9 | Nov 13 | sec.gov |
| PRIVATE JET ONE WAYS, INC. (amended) | Airlines and Airports | Henderson | NV | $500,000 | $1,000,000 | 9 | Nov 13 | sec.gov |
| B2C2 Securities, LLC (amended) | Other Banking and Financial Services | Jersey City | NJ | $450,000 | Indefinite | 4 | Nov 13 | sec.gov |
| Parrot.MD Inc. | Other Technology | Woodbury | MN | $450,000 | $1,500,000 | 1 | Nov 13 | sec.gov |
| In-Person Donations, Inc. | Other Technology | Denver | CO | $400,000 | Indefinite | 16 | Nov 13 | sec.gov |
| Del Lago Capital, LLC | Other | Risaralda | $315,000 | $315,000 | 0 | Nov 13 | sec.gov | |
| New Game Plus, Inc. | Other Technology | Seattle | WA | $310,000 | $310,000 | 10 | Nov 13 | sec.gov |
| Linqto Liquidshares LLC | Other Banking and Financial Services | San Jose | CA | $303,954 | Indefinite | 27 | Nov 13 | sec.gov |
| Pursuit Hospitality - Jefferson City, LLC | Commercial | Springfield | MO | $300,000 | $300,000 | 3 | Nov 13 | sec.gov |
| MR3 Health, Inc. (amended) | Other Health Care | San Antonio | TX | $300,000 | $6,000,000 | 3 | Nov 13 | sec.gov |
| Chattanooga Realty, LLC | Residential | Chattanooga | TN | $253,000 | $253,000 | 1 | Nov 13 | sec.gov |
| Sirris Inc. | Manufacturing | Bedford | NH | $250,000 | $2,500,000 | 2 | Nov 13 | sec.gov |
| CropFiQ, Inc. | Agriculture | Hernando | MS | $250,000 | $250,000 | 2 | Nov 13 | sec.gov |
| Tea Dating Advice Inc. (amended) | Other | San Francisco | CA | $220,000 | Indefinite | 2 | Nov 13 | sec.gov |
| Tea Dating Advice Inc. | Other Technology | San Francisco | CA | $220,000 | Indefinite | 2 | Nov 13 | sec.gov |
| KMX Technologies, Inc. | Other | Sharon | CT | $205,511 | $500,000 | 8 | Nov 13 | sec.gov |
| NECTAR 12 PERCENT UNLEVERED INCOME REOC, LLC | Other Banking and Financial Services | Atlanta | GA | $200,000 | $100,000,000 | 1 | Nov 13 | sec.gov |
| RIVERSIDE ICE CREAM LLC | Restaurants | Ridgefield | CT | $185,000 | $360,000 | 4 | Nov 13 | sec.gov |
| Dividenz 13, LP | Other Real Estate | Aventura | FL | $150,000 | $4,177,000 | 6 | Nov 13 | sec.gov |
| Gaingels Enterprise I LLC | Other | Burlington | VT | $142,500 | $142,500 | 15 | Nov 13 | sec.gov |
| Gaingels Nanotronics 2023 LLC | Other | Burlington | VT | $142,500 | $142,500 | 16 | Nov 13 | sec.gov |
| Yes Inc | Other Technology | Sheridan | WY | $135,000 | $500,000 | 3 | Nov 13 | sec.gov |
| BVC Impact Fund 2023, LLC | Investing | Boise | ID | $131,000 | $150,000 | 9 | Nov 13 | sec.gov |
| Linqto Liquidshares LLC | Other Banking and Financial Services | San Jose | CA | $121,181 | Indefinite | 35 | Nov 13 | sec.gov |
| LITHIUM SOUTH DEVELOPMENT Corp (amended) | Other | Vancouver | $105,366 | $7,935,036 | 3 | Nov 13 | sec.gov | |
| Shipal International, Inc. | Business Services | Wilmington | DE | $100,000 | $1,000,000 | 1 | Nov 13 | sec.gov |
| Harmonic Resonance Technologies, Inc. | Other Technology | Ashland | OR | $100,000 | $2,000,000 | 1 | Nov 13 | sec.gov |
| Linqto Liquidshares LLC | Other Banking and Financial Services | San Jose | CA | $96,578 | Indefinite | 35 | Nov 13 | sec.gov |
| Gaingels Nanotronics 2023 LLC (amended) | Other | Burlington | VT | $68,000 | $68,000 | 17 | Nov 13 | sec.gov |
| Homeroom Fund 2023 LLC (amended) | Investing | Princeton | NJ | $40,000 | Indefinite | 3 | Nov 13 | sec.gov |
| Linqto Liquidshares LLC | Other Banking and Financial Services | San Jose | CA | $35,025 | Indefinite | 11 | Nov 13 | sec.gov |
| Linqto Liquidshares LLC | Other Banking and Financial Services | San Jose | CA | $30,020 | Indefinite | 10 | Nov 13 | sec.gov |
| USEDC 2023 Drilling Fund LP (amended) | Oil and Gas | Arlington | TX | $25,000 | $300,000,000 | 0 | Nov 13 | sec.gov |
| Dream Management, Inc. | Business Services | Los Angeles | CA | $20,000 | $20,000 | 2 | Nov 13 | sec.gov |
| Linqto Liquidshares LLC | Other Banking and Financial Services | San Jose | CA | $15,008 | Indefinite | 6 | Nov 13 | sec.gov |
| KORTUC INC. | Pharmaceuticals | Menlo Park | CA | $2,783 | $2,783 | 1 | Nov 13 | sec.gov |
| Maria Equity Partners LLC | Other | St. Paul | MN | $0 | $1,400,000 | 0 | Nov 13 | sec.gov |
| Crowne at Hickory Grove, Limited Partnership | Other Real Estate | Birmingham | AL | $0 | $23,295,543 | 0 | Nov 13 | sec.gov |
| Protocol Pool Operations Bravo LLC | Other Banking and Financial Services | Miami Beach | FL | $0 | $50,000,000 | 0 | Nov 13 | sec.gov |
| FOCUS TECHNOLOGY HOLDINGS, LLC | Other Technology | Boston | MA | $0 | $1,000,000 | 0 | Nov 13 | sec.gov |
| CX Texas Industrial II Depositor, LLC | Other Real Estate | Tampa | FL | $0 | $3,000,000 | 0 | Nov 13 | sec.gov |
| Main Street Investment Fund LLC | Other Real Estate | Boise | ID | $0 | $10,000,000 | 0 | Nov 13 | sec.gov |
| CCRC Arcadian LLC | Investing | Greenwood Village | CO | $0 | $4,000,000 | 0 | Nov 13 | sec.gov |
| F2 Equity LLC | Commercial | Greensboro | NC | $0 | $5,000,000 | 0 | Nov 13 | sec.gov |
| Mandrake Capital Real Estate Fund II, LP | Other Real Estate | New York | NY | $0 | Indefinite | 0 | Nov 13 | sec.gov |
| CropFiQ, Inc. | Agriculture | Hernando | MS | $0 | $2,675,000 | 0 | Nov 13 | sec.gov |
| SweetBio, Inc. | Other Health Care | Memphis | TN | $0 | $6,000,000 | 0 | Nov 13 | sec.gov |
| Cranial Devices Inc. | Other Health Care | Hummelstown | PA | $0 | $4,000,000 | 0 | Nov 13 | sec.gov |
November 14, 2023 · November 9, 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.