Data / Form D filings / Nov 17
Form D filings, November 17, 2023: 88 companies raised $415.7 million
88 operating companies filed a Form D on November 17, 2023, reporting $415.7 million sold. Largest: Madison Retail Box Conversion REIT, Inc. ($62.1 million), ALC 083 L.P. ($56 million), Amwins Holding Company, LLC ($30.8 million). The median filing is $2.1 million, and 141 pooled investment funds also filed that day.
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- 88Form D filings
- $415.7 millionreported sold
- $2.1 millionmedian amount sold
- CAmost filings (22)
Most filings by state: CA 22, TX 7, MA 6, NY 5, NC 5. By industry: Other 22, Other Technology 17, Commercial 11, Other Real Estate 8.
Every company that filed, largest first
| Company | Industry | City | State | Amount sold | Offering | Investors | Filed | Filing |
|---|---|---|---|---|---|---|---|---|
| Madison Retail Box Conversion REIT, Inc. (amended) | REITS and Finance | Charlotte | NC | $62,104,355 | $75,000,000 | 285 | Nov 17 | sec.gov |
| ALC 083 L.P. | Other | Irvine | CA | $56,000,000 | $56,000,000 | 70 | Nov 17 | sec.gov |
| Amwins Holding Company, LLC | Insurance | Charlotte | NC | $30,764,250 | $30,764,250 | 183 | Nov 17 | sec.gov |
| Notarize, Inc. (amended) | Other Technology | Boston | MA | $27,900,000 | $27,900,000 | 10 | Nov 17 | sec.gov |
| EMBER TECHNOLOGIES, INC. | Other Technology | Westlake Village | CA | $19,611,889 | $21,000,000 | 99 | Nov 17 | sec.gov |
| AristaMD, Inc. | Other Health Care | San Diego | CA | $17,052,789 | $20,181,375 | 27 | Nov 17 | sec.gov |
| Collier Avenue Associates LP | Residential | Ukiah | CA | $15,241,673 | $15,241,673 | 1 | Nov 17 | sec.gov |
| ALC 082 L.P. | Other | Irvine | CA | $12,800,000 | $12,800,000 | 16 | Nov 17 | sec.gov |
| Epica International, Inc. | Other Health Care | Landrum, | SC | $12,664,973 | $13,999,993 | 200 | Nov 17 | sec.gov |
| RunBuggy OMI, Inc. | Business Services | Phoenix | AZ | $12,000,000 | $12,000,000 | 19 | Nov 17 | sec.gov |
| Transformer TX Holdings, LLC | Hospitals and Physicians | Dallas | TX | $11,272,500 | $11,272,500 | 97 | Nov 17 | sec.gov |
| Virdee, Inc. | Other Technology | Austin | TX | $10,324,998 | $12,350,000 | 16 | Nov 17 | sec.gov |
| Hang Media Inc. | Other Technology | Mt. Kisco | NY | $9,207,541 | $9,207,541 | 0 | Nov 17 | sec.gov |
| Bezi, Inc. | Other Technology | Oakland | CA | $9,084,310 | $9,084,310 | 7 | Nov 17 | sec.gov |
| Mercury Fan, Inc. | Other | Boston | MA | $8,617,000 | Indefinite | 14 | Nov 17 | sec.gov |
| Denholtz CO GP Fund I LLC | Commercial | Red Bank | NJ | $7,635,000 | $15,270,000 | 53 | Nov 17 | sec.gov |
| Anoki Inc. | Other Technology | San Carlos | CA | $7,022,499 | $8,522,500 | 22 | Nov 17 | sec.gov |
| Apollo Agriculture, Inc. (amended) | Other | Oakland | CA | $6,949,988 | $9,149,990 | 6 | Nov 17 | sec.gov |
| Apollo Agriculture, Inc. | Other | Oakland | CA | $6,899,992 | $9,149,990 | 4 | Nov 17 | sec.gov |
| n3xt inc | Other Technology | Charlotte | NC | $6,500,000 | $6,500,000 | 23 | Nov 17 | sec.gov |
| Trillium H2 Power, LLC | Other Energy | Columbus | TX | $6,340,000 | Indefinite | 32 | Nov 17 | sec.gov |
| Astra Space, Inc. | Other | Alameda | CA | $6,324,545 | $6,324,545 | 2 | Nov 17 | sec.gov |
| Swarm Holdings, Inc. | Other Technology | San Francisco | CA | $5,905,403 | $6,000,000 | 41 | Nov 17 | sec.gov |
| Diamond Estates Investors I LLC | Other Real Estate | Bloomfield Hills | MI | $4,650,000 | $4,650,000 | 6 | Nov 17 | sec.gov |
| Diamond Estates Investors II LLC | Other Real Estate | Bloomfield Hills | MI | $4,650,000 | $4,650,000 | 7 | Nov 17 | sec.gov |
| Diamond Estates Investors III LLC | Other Real Estate | Bloomfield Hills | MI | $4,650,000 | $4,650,000 | 31 | Nov 17 | sec.gov |
| 300 Sixth Avenue RM Investors LLC | Residential | New York | NY | $3,660,000 | $7,000,000 | 64 | Nov 17 | sec.gov |
| Certis Oncology Solutions, Inc. | Biotechnology | San Diego | CA | $3,653,090 | $10,000,000 | 24 | Nov 17 | sec.gov |
| Miyoko's, PBC | Other | Petaluma | CA | $3,393,534 | $12,000,000 | 8 | Nov 17 | sec.gov |
| Panbela Therapeutics, Inc. | Pharmaceuticals | Waconia | MN | $3,322,800 | Indefinite | 3 | Nov 17 | sec.gov |
| PCIH Series 12 a series of Piedmont Capital Investment Holdings, LLC | Investing | Raleigh | NC | $2,500,000 | $2,500,000 | 10 | Nov 17 | sec.gov |
| Fenworks, Inc. (amended) | Other Technology | Grand Forks | ND | $2,109,808 | $2,600,000 | 34 | Nov 17 | sec.gov |
| Duh Corp | Other Technology | Beaverton | OR | $2,075,000 | $2,075,000 | 8 | Nov 17 | sec.gov |
| Atman Labs, Inc. | Other Technology | Monroe Township | NJ | $1,941,500 | $1,941,500 | 12 | Nov 17 | sec.gov |
| Kaid Health Inc | Other Health Care | Boston | MA | $1,678,971 | $2,500,000 | 12 | Nov 17 | sec.gov |
| JWCM Republic Alamo Heights, DST (amended) | Other Real Estate | New York | NY | $1,100,000 | $32,185,245 | 2 | Nov 17 | sec.gov |
| 40grid, Inc. | Other Technology | Yarmouth Port | MA | $1,000,000 | $2,000,000 | 5 | Nov 17 | sec.gov |
| MEDPhlow, LLC | Pharmaceuticals | Richmond | VA | $1,000,000 | $1,500,000 | 2 | Nov 17 | sec.gov |
| Komas Group II, LLC | Investing | Chicago | IL | $866,000 | $2,000,000 | 8 | Nov 17 | sec.gov |
| Stripe Milton LLC | Other | New York | NY | $800,000 | $800,000 | 4 | Nov 17 | sec.gov |
| Rosby Capital, LLC (amended) | Commercial | Sacramento | CA | $597,000 | $765,000 | 47 | Nov 17 | sec.gov |
| Proven Investors, LLC | Business Services | Provo | UT | $576,464 | $576,464 | 13 | Nov 17 | sec.gov |
| HARVEST INVEST-067, LLC | Investing | Fort Worth | TX | $485,000 | $540,000 | 37 | Nov 17 | sec.gov |
| JCFI 9250 Keough Acquisition, LLC | Commercial | Houston | TX | $408,215 | $417,627 | 11 | Nov 17 | sec.gov |
| Willowind Holdings, LLC | Commercial | Kansas City | MO | $350,000 | $4,000,000 | 8 | Nov 17 | sec.gov |
| e11tec, Inc. | Other | Newport Beach | CA | $350,000 | $950,000 | 1 | Nov 17 | sec.gov |
| Tankless365, Inc. | Other Technology | Scottsdale | AZ | $275,000 | $500,000 | 2 | Nov 17 | sec.gov |
| Cottonsie Inc | Manufacturing | Wilmington | DE | $250,000 | $1,250,000 | 2 | Nov 17 | sec.gov |
| Linqto Liquidshares LLC | Other Banking and Financial Services | San Jose | CA | $233,152 | Indefinite | 8 | Nov 17 | sec.gov |
| GRADUATE HOTELS FUND IV REIT LLC | REITS and Finance | Nashville | TN | $125,000 | $125,000 | 125 | Nov 17 | sec.gov |
| GRADUATE HOTELS FUND IV REIT 2 LLC | REITS and Finance | Nashville | TN | $125,000 | $125,000 | 125 | Nov 17 | sec.gov |
| Chakana Copper Corp. | Other | Vancouver | $119,438 | $298,594 | 6 | Nov 17 | sec.gov | |
| Nuka Enterprises, LLC | Other | Henderson | CO | $100,000 | $5,000,000 | 1 | Nov 17 | sec.gov |
| SKYX Platforms Corp. | Other Technology | Pompano Beach | FL | $100,000 | $100,000 | 1 | Nov 17 | sec.gov |
| Linqto Liquidshares LLC | Other Banking and Financial Services | San Jose | CA | $75,972 | Indefinite | 26 | Nov 17 | sec.gov |
| CareTech Human Inc. | Other Technology | Ithaca | NY | $65,000 | $750,000 | 4 | Nov 17 | sec.gov |
| Parscape, Inc. | Other Technology | Wheaton | IL | $45,500 | Indefinite | 7 | Nov 17 | sec.gov |
| NuLegacy Gold Corp | Other | Vancouver | $30,772 | $30,772 | 1 | Nov 17 | sec.gov | |
| Manning Ventures Inc. | Other Energy | Vancouver | $30,067 | $70,156 | 2 | Nov 17 | sec.gov | |
| Voyage Comics & Publishing LLC | Other | Wisconsin Rapids | WI | $30,000 | Indefinite | 1 | Nov 17 | sec.gov |
| Filter Folder, LLC | Computers | Dover | DE | $27,265 | $250,000 | 2 | Nov 17 | sec.gov |
| Habelo Beauty, LLC | Other | Sherborn | MA | $25,000 | $600,000 | 1 | Nov 17 | sec.gov |
| StackHawk, Inc. | Other | Denver | CO | $22,586 | $22,586 | 1 | Nov 17 | sec.gov |
| Minaurum Gold Inc. | Other | Vancouver | $17,964 | $32,661 | 1 | Nov 17 | sec.gov | |
| TB Equity Holdings a series of a Delaware LLC | Other | Boston | MA | $0 | Indefinite | 1 | Nov 17 | sec.gov |
| Sonus Equity LLC | Other | Laconia | NH | $0 | $300,000 | 0 | Nov 17 | sec.gov |
| ALC 095 L.P. (amended) | Other | Irvine | CA | $0 | $8,000,000 | 0 | Nov 17 | sec.gov |
| Bidwell Capital Oil Fund IV, LP | Oil and Gas | Chico | CA | $0 | $3,000,000 | 0 | Nov 17 | sec.gov |
| ALC 095 L.P. | Other | Irvine | CA | $0 | $7,200,000 | 0 | Nov 17 | sec.gov |
| Makaan-Grocap-NBTX-Fund LLC | Commercial | Cary | NC | $0 | $1,232,000 | 0 | Nov 17 | sec.gov |
| Avista Fund Madison Overland Park LLC | Commercial | Encino | CA | $0 | $500,000 | 0 | Nov 17 | sec.gov |
| BCP-Aspen-Madison Overland Fund 1 LLC | Commercial | Kansas City | MO | $0 | $500,000 | 0 | Nov 17 | sec.gov |
| Exp Eq-LX-Ozark Ranch Fund 1 LLC | Other Real Estate | Woodstock | GA | $0 | $625,000 | 0 | Nov 17 | sec.gov |
| Zapotal Club, LLC | Other Real Estate | Scottsdale | AZ | $0 | Indefinite | 0 | Nov 17 | sec.gov |
| Keystone Energy Fund 2023 LP | Oil and Gas | Pittsburgh | PA | $0 | $150,000,000 | 0 | Nov 17 | sec.gov |
| Korah Funds I, LLC | Commercial | Kansas City | MO | $0 | $10,000,000 | 0 | Nov 17 | sec.gov |
| CH Tennyson LLC | Commercial | Denver | CO | $0 | $1,150,000 | 0 | Nov 17 | sec.gov |
| LCP Bayou Redeux 2A LP | Other | Sheridan | WY | $0 | $3,000,000 | 0 | Nov 17 | sec.gov |
| Atop Fund LLC | Commercial | Dallas | TX | $0 | $5,000,000 | 0 | Nov 17 | sec.gov |
| Stumptown Capital Fund LLC | Other Real Estate | Lake Oswego | OR | $0 | $10,000,000 | 0 | Nov 17 | sec.gov |
| GENIE Therapeutics, Inc. (amended) | Biotechnology | Wilmington | DE | $0 | Indefinite | 0 | Nov 17 | sec.gov |
| Shopoff Fund VIII, LP (amended) | Other Real Estate | Irvine | CA | $0 | $50,000,000 | 0 | Nov 17 | sec.gov |
| DigitalSelf, Inc. | Other Technology | Nashville | TN | $0 | $300,000,000 | 0 | Nov 17 | sec.gov |
| CLINICOM HEALTHCARE INC | Other Health Care | Dothan | AL | $0 | $5,000,000 | 0 | Nov 17 | sec.gov |
| Nuclein, LLC | Biotechnology | Austin | TX | $0 | $10,000,000 | 0 | Nov 17 | sec.gov |
| HIRU Corp | Other | West Palm Beach | FL | $0 | Indefinite | 0 | Nov 17 | sec.gov |
| SALT LAKE CITY DISTILLERY, LLC | Manufacturing | South Salt Lake | UT | $0 | $6,672,500 | 102 | Nov 17 | sec.gov |
| QualityTech, LP | Commercial | Overland Park | KS | $0 | Indefinite | 0 | Nov 17 | sec.gov |
November 20, 2023 · November 16, 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.