Data / Form D filings / Nov 15
Form D filings, November 15, 2023: 104 companies raised $578.8 million
104 operating companies filed a Form D on November 15, 2023, reporting $578.8 million sold. Largest: Cognito Therapeutics Ltd. ($108.8 million), Litera Holdco LP ($61.8 million), AmplifyBio, LLC ($49.8 million). The median filing is $2 million, and 123 pooled investment funds also filed that day.
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- 104Form D filings
- $578.8 millionreported sold
- $2 millionmedian amount sold
- CAmost filings (14)
Most filings by state: CA 14, TX 12, MA 9, UT 7, FL 6. By industry: Other 26, Other Technology 23, Investing 10, Other Real Estate 8.
Every company that filed, largest first
| Company | Industry | City | State | Amount sold | Offering | Investors | Filed | Filing |
|---|---|---|---|---|---|---|---|---|
| Cognito Therapeutics Ltd. (amended) | Other Health Care | Cambridge | MA | $108,765,300 | $126,175,917 | 13 | Nov 15 | sec.gov |
| Litera Holdco LP (amended) | Other | Wilmington | DE | $61,764,186 | Indefinite | 2 | Nov 15 | sec.gov |
| AmplifyBio, LLC | Biotechnology | West Jefferson | OH | $49,750,000 | $100,000,000 | 4 | Nov 15 | sec.gov |
| Enterprise Housing Partners XLII Cathay Subfund Limited Partnership | Other Real Estate | Columbia | MD | $28,400,000 | $28,400,000 | 2 | Nov 15 | sec.gov |
| Pinteon Therapeutics, Inc. (amended) | Biotechnology | Newton Centre | MA | $28,085,713 | $70,085,725 | 2 | Nov 15 | sec.gov |
| Basking Biosciences, Inc. | Biotechnology | Research Triangle Park | NC | $27,500,017 | $55,000,000 | 11 | Nov 15 | sec.gov |
| NexPoint Small Bay I DST (amended) | Other Real Estate | Dallas | TX | $16,638,469 | $59,505,817 | 50 | Nov 15 | sec.gov |
| EOS Aircraft Inc. | Manufacturing | Bend | OR | $16,250,047 | $26,000,078 | 4 | Nov 15 | sec.gov |
| TCD 257 SNJ Industrial Investment LP | Commercial | Boston | MA | $15,275,000 | $27,300,000 | 36 | Nov 15 | sec.gov |
| Kyron Learning, PBC | Other | Vienna | VA | $14,604,971 | $15,000,000 | 10 | Nov 15 | sec.gov |
| RADICL Defense, Inc. | Other Technology | Boulder | CO | $12,249,977 | $12,249,977 | 44 | Nov 15 | sec.gov |
| HHC Worldwide, Inc. | Restaurants | Las Vegas | NV | $12,000,000 | $12,000,000 | 2 | Nov 15 | sec.gov |
| Serimmune Inc. (amended) | Biotechnology | Goleta | CA | $11,512,176 | $16,500,000 | 2 | Nov 15 | sec.gov |
| Dryden Lenders LLC | Commercial | Pittsford | NY | $10,000,000 | $10,000,000 | 14 | Nov 15 | sec.gov |
| NexPoint Life Sciences II DST (amended) | Other Real Estate | Dallas | TX | $9,731,859 | $40,489,695 | 32 | Nov 15 | sec.gov |
| CircuitHub, Inc. | Other | South Deerfield | MA | $9,697,702 | $9,697,702 | 8 | Nov 15 | sec.gov |
| Getz Road Holdings, LLC | Other Real Estate | Carmel | IN | $9,050,000 | $9,050,000 | 78 | Nov 15 | sec.gov |
| LP ASQ Investors LLC | Commercial | Boston | MA | $8,695,000 | $8,695,000 | 141 | Nov 15 | sec.gov |
| Fooda, Inc. | Business Services | Chicago | IL | $7,754,657 | $10,000,003 | 12 | Nov 15 | sec.gov |
| RxFunction, Inc. (amended) | Manufacturing | Eden Prairie | MN | $7,500,007 | $8,087,507 | 48 | Nov 15 | sec.gov |
| JenZ Inc. | Other Technology | Santa Monica | CA | $6,872,253 | $7,611,346 | 24 | Nov 15 | sec.gov |
| r4 Technologies, Inc. | Other Technology | Ridgefield | CT | $5,250,000 | Indefinite | 3 | Nov 15 | sec.gov |
| JSIP Pleasant View Investors, LLC | Residential | Boston | MA | $5,100,000 | $5,100,000 | 4 | Nov 15 | sec.gov |
| Obviously AI, Inc. | Other Technology | San Francisco | CA | $5,054,994 | $5,054,994 | 10 | Nov 15 | sec.gov |
| HealthArc Worldwide Inc. | Other Technology | Hackensack | NJ | $5,000,000 | $5,000,000 | 7 | Nov 15 | sec.gov |
| Zuplo, Inc. | Other Technology | Redmond | WA | $4,689,995 | $4,689,995 | 5 | Nov 15 | sec.gov |
| WEBUILD GLOBAL LLC | Construction | Las Vegas | NV | $4,645,000 | $5,070,000 | 9 | Nov 15 | sec.gov |
| Benevolent Investor Group BIKE III, LLC (amended) | Investing | Pacific Palisades | CA | $4,520,000 | $4,520,000 | 47 | Nov 15 | sec.gov |
| RxFunction, Inc. (amended) | Manufacturing | Eden Prairie | MN | $4,014,614 | $4,290,592 | 41 | Nov 15 | sec.gov |
| edify.ai, Inc | Other Technology | Sandy | UT | $3,999,981 | $4,999,976 | 5 | Nov 15 | sec.gov |
| Drone Express, Inc. (amended) | Other Technology | Dayton | OH | $3,886,033 | $4,201,500 | 14 | Nov 15 | sec.gov |
| MAYFAIR GOLD CORP. | Other | Vancouver | $3,490,000 | $3,490,000 | 3 | Nov 15 | sec.gov | |
| Knab, Inc. (amended) | Other Technology | Pacifica | CA | $3,118,476 | $3,118,476 | 18 | Nov 15 | sec.gov |
| BIG DAY 2, LLC (amended) | Investing | Pacific Palisades | CA | $3,110,000 | $3,110,000 | 39 | Nov 15 | sec.gov |
| dealcloser inc. (amended) | Other Technology | Edmonton | $3,101,612 | Indefinite | 36 | Nov 15 | sec.gov | |
| dealcloser inc. | Other Technology | Edmonton | $3,101,612 | Indefinite | 36 | Nov 15 | sec.gov | |
| MySimplePetLab Inc. | Other | Centennial | CO | $3,000,010 | $3,000,010 | 3 | Nov 15 | sec.gov |
| JSIP Pleasant View Investors II, LLC | Residential | Boston | MA | $3,000,000 | $3,000,000 | 1 | Nov 15 | sec.gov |
| Tocaro Blue, LLC (amended) | Other Technology | Pensacola | FL | $3,000,000 | $3,000,000 | 25 | Nov 15 | sec.gov |
| Red Creek & Associates LLC | Other | New York | NY | $2,896,000 | $2,896,000 | 4 | Nov 15 | sec.gov |
| SIGNUM GROWTH FUND - S LLC | Other | Dover | DE | $2,561,047 | $2,561,047 | 24 | Nov 15 | sec.gov |
| Midloch Fund III Manager, LLC | Other Real Estate | Eden Prairie | MN | $2,325,000 | $5,000,000 | 17 | Nov 15 | sec.gov |
| Taelor, Inc. (amended) | Other | Hayward | CA | $2,325,000 | $3,000,000 | 40 | Nov 15 | sec.gov |
| TPEG ATL-CLT 2 Investors LLC | Other Real Estate | Southlake | TX | $2,086,625 | $15,000,000 | 67 | Nov 15 | sec.gov |
| POLK PARTNERS FIBER, LLC (amended) | Other Technology | Des Moines | IA | $2,085,000 | $2,300,000 | 16 | Nov 15 | sec.gov |
| Odele LLC | Other | Mound | MN | $1,999,732 | $1,999,732 | 1 | Nov 15 | sec.gov |
| Cloud Dentistry, Inc. (amended) | Other Health Care | Wellesley | MA | $1,930,385 | $4,499,999 | 20 | Nov 15 | sec.gov |
| Series II, a series of B & O Ventures LLC | Investing | Vineyard | UT | $1,575,750 | $5,000,000 | 32 | Nov 15 | sec.gov |
| TCD 257 SNJ Industrial Investment II LP | Commercial | Boston | MA | $1,500,000 | $1,500,000 | 1 | Nov 15 | sec.gov |
| ollin ventures series 1 LLC | Investing | Vineyard | UT | $1,198,713 | $2,000,000 | 24 | Nov 15 | sec.gov |
| Greybrook Atlanta Value-Add I US Limited Partnership | Other | Toronto | $1,118,800 | $1,118,800 | 13 | Nov 15 | sec.gov | |
| Biowise Capital II, LLC (amended) | Biotechnology | Dallas | TX | $1,100,000 | $10,000,000 | 14 | Nov 15 | sec.gov |
| Aufbau Holdings Ltd | Biotechnology | Dublin 2 | $1,087,980 | $8,000,000 | 29 | Nov 15 | sec.gov | |
| NOVODX Corp | Other Health Care | Tequesta | FL | $1,000,000 | $1,000,000 | 10 | Nov 15 | sec.gov |
| Carbon Reform Inc. | Other | Philadelphia | PA | $1,000,000 | $1,000,000 | 5 | Nov 15 | sec.gov |
| MCM - CPH, LLC | Restaurants | Charlotte | NC | $770,000 | $1,050,000 | 19 | Nov 15 | sec.gov |
| Brockhurst & Buchanan, LLC | Investing | Dover | DE | $750,000 | Indefinite | 1 | Nov 15 | sec.gov |
| VSBLTY GROUPE TECHNOLOGIES CORP. | Other Technology | Vancouver | $632,900 | $632,900 | 3 | Nov 15 | sec.gov | |
| 3D-15, LLC | Other | Litchfield | MN | $585,000 | $10,000,000 | 3 | Nov 15 | sec.gov |
| SMK ATM Fund 4 LLC (amended) | Commercial | Bend | OR | $572,000 | $10,000,000 | 8 | Nov 15 | sec.gov |
| Kariba Labs Inc. | Other Technology | San Francisco | CA | $500,000 | $500,000 | 1 | Nov 15 | sec.gov |
| 1809 on Cox LLC | Investing | Lehi | UT | $500,000 | $500,000 | 14 | Nov 15 | sec.gov |
| 1809 Real Estate Investment, LLC | Investing | Lehi | UT | $500,000 | $500,000 | 10 | Nov 15 | sec.gov |
| GCFII INVESTORS A SERIES OF GOOD CAPITAL PARTNERS 2023 MASTER LLC | Other | Austin | TX | $427,500 | $427,500 | 9 | Nov 15 | sec.gov |
| Broodjes & Bier Restaurant Group LLC | Retailing | Washington | DC | $300,000 | $1,500,000 | 3 | Nov 15 | sec.gov |
| Arthroba, Inc. (amended) | Other Health Care | Smyrna | GA | $275,000 | $500,000 | 3 | Nov 15 | sec.gov |
| Rwhalen LLC | Other | Branford | CT | $250,042 | $250,042 | 1 | Nov 15 | sec.gov |
| Altamira Gold Corp. | Other | Vancouver | $246,780 | $641,628 | 3 | Nov 15 | sec.gov | |
| Viva Equity Fund | Other Technology | Edinburg | TX | $212,000 | $212,000 | 4 | Nov 15 | sec.gov |
| Monovo PR LLC | Investing | Lehi | UT | $199,900 | $1,000,000 | 20 | Nov 15 | sec.gov |
| Ollin Investments LLC | Investing | Lehi | UT | $135,500 | $150,000 | 10 | Nov 15 | sec.gov |
| Safehold GL Venture REIT I LLC | REITS and Finance | New York | NY | $125,000 | $125,000 | 125 | Nov 15 | sec.gov |
| Invesco Commercial Real Estate Finance Trust, Inc. | REITS and Finance | Dallas | TX | $119,928 | $128,128 | 117 | Nov 15 | sec.gov |
| GARM Holdings Inc | Other | Dover | DE | $100,000 | Indefinite | 1 | Nov 15 | sec.gov |
| Viva Equity Fund | Other Technology | Edinburg | TX | $100,000 | $100,000 | 1 | Nov 15 | sec.gov |
| White Wolf Private Fund Partners LLC | Other | Miami | FL | $96,000 | Indefinite | 6 | Nov 15 | sec.gov |
| Catch GPT, Inc. | Other Technology | Mountain View, California | CA | $95,850 | $95,850 | 8 | Nov 15 | sec.gov |
| White Wolf Private Credit Partners LLC | Other | Miami | FL | $67,000 | Indefinite | 7 | Nov 15 | sec.gov |
| Viva Equity Fund | Other Technology | Edinburg | TX | $60,000 | $60,000 | 8 | Nov 15 | sec.gov |
| Sunnie, Inc. | Other | Encino | CA | $60,000 | $800,000 | 2 | Nov 15 | sec.gov |
| Greybrook Atlanta Value-Add I US Limited Partnership | Other | Toronto | $36,515 | $36,515 | 1 | Nov 15 | sec.gov | |
| Greybrook Atlanta Value-Add I US Limited Partnership | Other | Toronto | $30,000 | $30,000 | 1 | Nov 15 | sec.gov | |
| Greybrook Atlanta Value-Add Limited Partnership | Other | Toronto | $18,258 | $18,258 | 1 | Nov 15 | sec.gov | |
| Greybrook Atlanta Value-Add Trust | Other | Toronto | $18,258 | $18,258 | 1 | Nov 15 | sec.gov | |
| Premier Clinical Research, Inc. | Other Health Care | Springboro | OH | $10,000 | $5,200,000 | 1 | Nov 15 | sec.gov |
| Viva Equity Fund | Other Technology | Edinburg | TX | $10,000 | $10,000 | 1 | Nov 15 | sec.gov |
| Sweetlove Farm Pastured Foods LLC | Agriculture | Oskaloosa | KS | $10,000 | $490,000 | 1 | Nov 15 | sec.gov |
| Aeris Evolution, Inc. | Other | Seattle | WA | $10,000 | $1,000,000 | 1 | Nov 15 | sec.gov |
| Stonegate Title Agency LLC | Insurance | Canton | OH | $2,560 | $60,000 | 2 | Nov 15 | sec.gov |
| Catch GPT, Inc. | Other Technology | Mountain View | CA | $19 | $19 | 9 | Nov 15 | sec.gov |
| CMB INGRASTRUCTURE INVESTMENT GROUP 88, LP | Commercial | Dallas | TX | $0 | $24,000,000 | 0 | Nov 15 | sec.gov |
| BLV Fund 1 LLC | Other | Jackson | WY | $0 | $25,000,000 | 0 | Nov 15 | sec.gov |
| WTOCOIN LTD. | Investing | New York | NY | $0 | Indefinite | 0 | Nov 15 | sec.gov |
| PROJECT RENDON LLC | Residential | Aventura | FL | $0 | $14,950,000 | 0 | Nov 15 | sec.gov |
| Overmoon 721 Fund, LP | Residential | San Rafael | CA | $0 | $100,000,000 | 0 | Nov 15 | sec.gov |
| Monarch MSS GA 2024 ICF 1, LLC | Other Real Estate | Atlanta | GA | $0 | Indefinite | 0 | Nov 15 | sec.gov |
| SEP LBV Holdings, LLC | Commercial | Skokie | IL | $0 | $5,350,000 | 0 | Nov 15 | sec.gov |
| Paradyme Storage II LLC | Construction | Nashville | TN | $0 | $3,000,000 | 0 | Nov 15 | sec.gov |
| W&F Trading Enterprises, LLC | Residential | Clearwater | FL | $0 | Indefinite | 0 | Nov 15 | sec.gov |
| ROOSTER EQUITY, LLC | Other Real Estate | Austin | TX | $0 | $10,000,000 | 0 | Nov 15 | sec.gov |
| Mad Capital Perennial Fund II, LLC | Other Banking and Financial Services | Boulder | CO | $0 | $25,000,000 | 0 | Nov 15 | sec.gov |
| Truvion Holdings | Other | Irvine | CA | $0 | $5,000,000 | 0 | Nov 15 | sec.gov |
| iPosi, Inc. (amended) | Other Technology | Denver | CO | $0 | $87,500 | 1 | Nov 15 | sec.gov |
| Catch GPT, Inc. | Other Technology | Mountain View | CA | $0 | $250,000 | 13 | Nov 15 | sec.gov |
November 16, 2023 · November 14, 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.