Data / Form D filings / Nov 22
Form D filings, November 22, 2023: 91 companies raised $1.24 billion
91 operating companies filed a Form D on November 22, 2023, reporting $1.24 billion sold. Largest: Neuralink Corp. ($323.2 million), Diversified Residential Portfolio III DST ($204.8 million), RefleXion Medical, Inc. ($106.7 million). The median filing is $2 million, and 130 pooled investment funds also filed that day.
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- 91Form D filings
- $1.24 billionreported sold
- $2 millionmedian amount sold
- CAmost filings (13)
Most filings by state: CA 13, ME 12, MA 8, TX 6, NY 5. By industry: Other Real Estate 21, Other 19, Other Technology 15, Residential 6.
Every company that filed, largest first
| Company | Industry | City | State | Amount sold | Offering | Investors | Filed | Filing |
|---|---|---|---|---|---|---|---|---|
| Neuralink Corp. (amended) | Biotechnology | Fremont | CA | $323,241,676 | $323,241,676 | 32 | Nov 22 | sec.gov |
| Diversified Residential Portfolio III DST (amended) | Other Real Estate | Oak Brook | IL | $204,807,964 | $209,327,056 | 372 | Nov 22 | sec.gov |
| RefleXion Medical, Inc. | Other Health Care | Hayward | CA | $106,712,002 | $201,410,999 | 43 | Nov 22 | sec.gov |
| Prana Realty Co I (amended) | REITS and Finance | San Francisco | CA | $86,477,048 | Indefinite | 253 | Nov 22 | sec.gov |
| Elucid Bioimaging Inc. | Biotechnology | Boston | MA | $78,950,836 | $78,950,836 | 13 | Nov 22 | sec.gov |
| Algonquin Senior Living DST (amended) | Other Real Estate | Oak Brook | IL | $46,146,134 | $46,208,179 | 114 | Nov 22 | sec.gov |
| Nature's Toolbox, Inc. | Biotechnology | Rio Rancho | NM | $44,394,325 | $48,292,097 | 19 | Nov 22 | sec.gov |
| North Tempe QOZ Business, LLC | Other Real Estate | Indianapolis | IN | $38,784,915 | $40,000,000 | 5 | Nov 22 | sec.gov |
| Air Co Holdings, Inc. | Other | Brooklyn | NY | $30,390,326 | $30,390,326 | 20 | Nov 22 | sec.gov |
| KKR Comet, LLC | Other | Menlo Park | CA | $30,000,000 | $30,000,000 | 14 | Nov 22 | sec.gov |
| Alcyone Therapeutics, Inc. | Other Health Care | Lowell | MA | $17,257,814 | $31,608,219 | 22 | Nov 22 | sec.gov |
| Bailey Creek Energy Opportunity Fund, L.P. | Other Real Estate | Destin | FL | $16,742,300 | $16,890,000 | 149 | Nov 22 | sec.gov |
| SMX Holdings LLC | Other | Narberth | PA | $15,651,375 | Indefinite | 6 | Nov 22 | sec.gov |
| PCB Financlal, Inc | Commercial Banking | Costa Mesa | CA | $15,000,000 | $40,000,000 | 3 | Nov 22 | sec.gov |
| PayJoy Inc. (amended) | Other Technology | San Francisco | CA | $14,789,000 | $35,000,000 | 23 | Nov 22 | sec.gov |
| Sora Revere Owner LLC | Other Real Estate | Newton | MA | $14,689,983 | Indefinite | 25 | Nov 22 | sec.gov |
| Blockworks Inc. | Other | New York | NY | $12,000,006 | $12,000,006 | 1 | Nov 22 | sec.gov |
| RCI 180 Howard Holdings, LLC | Commercial | San Francisco | CA | $11,250,000 | $15,000,000 | 10 | Nov 22 | sec.gov |
| Quail Run Owner LLC | Residential | Phoenix | AZ | $10,522,500 | $10,825,000 | 65 | Nov 22 | sec.gov |
| NEMO EQUIPMENT INC | Retailing | Dover | NH | $10,500,000 | $10,500,000 | 5 | Nov 22 | sec.gov |
| SMX INVESTCO LLC | Other | Narberth | PA | $9,185,000 | Indefinite | 11 | Nov 22 | sec.gov |
| CDI Holdings I Corp. (amended) | Other Health Care | Boston | MA | $8,775,000 | Indefinite | 21 | Nov 22 | sec.gov |
| FEMASYS INC | Biotechnology | Suwanee | GA | $6,850,000 | $6,850,000 | 4 | Nov 22 | sec.gov |
| Texas Strategic Growth Fund, L.P. (amended) | Other Real Estate | Dallas | TX | $6,043,900 | $100,000,000 | 36 | Nov 22 | sec.gov |
| Subtl Beauty, Inc. | Retailing | Pittsburgh | PA | $5,387,476 | $5,387,476 | 4 | Nov 22 | sec.gov |
| Atraverse Medical, Inc. (amended) | Other Health Care | Chicago | IL | $5,000,000 | $5,000,000 | 32 | Nov 22 | sec.gov |
| Fort Myers BTR DST (amended) | Other Real Estate | Oak Brook | IL | $4,624,251 | $54,462,042 | 18 | Nov 22 | sec.gov |
| PF Block 5 Fund - Hotel/Residential/Retail (OZ), A Series of PF Capital Fund, LP (amended) | Other Real Estate | Portland | ME | $4,138,744 | Indefinite | 20 | Nov 22 | sec.gov |
| PF Block 6 Fund - Residential/Retail, a Series of PF Capital Fund, LP (amended) | Other Real Estate | Portland | ME | $4,008,976 | Indefinite | 18 | Nov 22 | sec.gov |
| Peerlogic Technologies, Inc. | Other | Scottsdale | AZ | $4,000,002 | $5,650,000 | 6 | Nov 22 | sec.gov |
| Codified, Inc. | Other Technology | Seattle | WA | $3,999,998 | $4,000,000 | 7 | Nov 22 | sec.gov |
| Osiris Exchange, Inc. | Other Technology | New York | NY | $3,324,870 | $6,050,000 | 34 | Nov 22 | sec.gov |
| Vista Del Norte Owner LLC | Residential | Phoenix | AZ | $3,228,500 | $3,500,000 | 30 | Nov 22 | sec.gov |
| Verility, Inc. (amended) | Agriculture | Greenfield | IN | $3,049,998 | $4,000,000 | 2 | Nov 22 | sec.gov |
| Sow Good Inc. | Manufacturing | Irving | TX | $2,770,872 | $2,770,872 | 16 | Nov 22 | sec.gov |
| Callpod, Inc. (amended) | Other Technology | Chicago | IL | $2,671,463 | Indefinite | 5 | Nov 22 | sec.gov |
| Precise Systems Holdings, LLC | Other | Mclean | VA | $2,500,000 | $2,500,000 | 2 | Nov 22 | sec.gov |
| C3 Metals Inc. | Other | Toronto | $2,223,152 | $2,223,152 | 3 | Nov 22 | sec.gov | |
| Picklebet SPV I, LP | Other | Los Angeles | CA | $2,100,000 | $2,100,000 | 4 | Nov 22 | sec.gov |
| Reservoir Neuroscience, Inc. | Biotechnology | Emeryville | CA | $2,099,999 | $4,099,998 | 7 | Nov 22 | sec.gov |
| Ambit RD, Inc. | Other Technology | Morristown | NJ | $2,040,000 | $2,040,000 | 2 | Nov 22 | sec.gov |
| Rockstep Solutions, Inc. | Other Technology | Portland | ME | $2,000,000 | $3,000,000 | 5 | Nov 22 | sec.gov |
| MLK & OTHELLO QOF, LLC (amended) | Other Real Estate | Seattle | WA | $1,525,000 | $2,500,000 | 7 | Nov 22 | sec.gov |
| Capsule Ventures Inc (amended) | Computers | Frisco | TX | $1,492,000 | $1,750,000 | 30 | Nov 22 | sec.gov |
| Agricultural Land Corp | Agriculture | Santiago Rm | $1,301,388 | Indefinite | 38 | Nov 22 | sec.gov | |
| PF Block 4 Fund - Parking/Residential/Retail (OZ), a Series of PF Capital Fund, LP (amended) | Other Real Estate | Portland | ME | $1,285,000 | Indefinite | 11 | Nov 22 | sec.gov |
| Phinite Inc. | Other Technology | Raleigh | NC | $1,285,000 | $3,000,000 | 21 | Nov 22 | sec.gov |
| Lighthouse Portfolio LLC | Residential | Erie | PA | $1,256,071 | $5,500,000 | 7 | Nov 22 | sec.gov |
| Ambit RD, Inc. | Other Technology | Morristown | NJ | $1,250,010 | $1,500,012 | 3 | Nov 22 | sec.gov |
| PF Block 5 Fund - Hotel/Residential/Retail, A Series of PF Capital Fund, LP (amended) | Other Real Estate | Portland | ME | $1,241,256 | Indefinite | 3 | Nov 22 | sec.gov |
| AscentX Medical, Inc. (amended) | Other Health Care | San Diego | CA | $1,093,466 | $2,999,931 | 40 | Nov 22 | sec.gov |
| Aerami Therapeutics Holdings, Inc. | Other Health Care | Durham | NC | $1,016,000 | $20,000,000 | 30 | Nov 22 | sec.gov |
| Ikonik Media, Inc. | Other Technology | Colorado Springs | CO | $1,000,000 | $1,000,000 | 1 | Nov 22 | sec.gov |
| Sabavi Home LLC | Retailing | Hackensack | NJ | $1,000,000 | $1,500,000 | 15 | Nov 22 | sec.gov |
| GULP DATA, INC. | Other Technology | San Juan | PR | $933,445 | $3,059,000 | 7 | Nov 22 | sec.gov |
| TIXOLOGI, INC. | Other | Gloucester | MA | $886,300 | $1,000,000 | 4 | Nov 22 | sec.gov |
| Ambit RD, Inc. | Other Technology | Morristown | NJ | $692,000 | $692,000 | 3 | Nov 22 | sec.gov |
| USA Rare Earth, LLC | Other | Tampa | FL | $659,376 | $659,376 | 5 | Nov 22 | sec.gov |
| HSV WADE SPE LLC | Commercial | Brentwood | TN | $500,000 | $1,180,000 | 1 | Nov 22 | sec.gov |
| PF Block 4 Fund - Parking/Residential/Retail, a Series of PF Capital Fund, LP (amended) | Other Real Estate | Portland | ME | $500,000 | Indefinite | 1 | Nov 22 | sec.gov |
| NexPoint Semiconductor Manufacturing DST | Other Real Estate | Dallas | TX | $466,321 | $136,944,633 | 1 | Nov 22 | sec.gov |
| PF Block 2 Fund - Historic (OZ), a Series of PF Capital Fund, LP (amended) | Other Real Estate | Portland | ME | $454,853 | Indefinite | 8 | Nov 22 | sec.gov |
| CORE ASSETS CORP. | Other | Vancouver | $372,163 | $372,163 | 5 | Nov 22 | sec.gov | |
| Nextech3D.AI Corp. | Other | Toronto | $303,912 | $734,454 | 1 | Nov 22 | sec.gov | |
| KMX Technologies, Inc. | Other | Sharon | CT | $250,000 | $250,000 | 1 | Nov 22 | sec.gov |
| West Rock Equity Skyline LLC | Residential | Gold Canyon | AZ | $209,100 | $518,500 | 6 | Nov 22 | sec.gov |
| Round River Research Corp | Other Technology | Edina | MN | $200,000 | $3,500,000 | 5 | Nov 22 | sec.gov |
| Pet Notify, Inc. | Other Technology | Bellevue | WA | $200,000 | Indefinite | 1 | Nov 22 | sec.gov |
| Pay-i Inc | Other Technology | Redmond | WA | $175,000 | $600,000 | 3 | Nov 22 | sec.gov |
| Front Row Mezzanine Fund, LLC | Other | Birmingham | AL | $150,000 | $15,000,000 | 1 | Nov 22 | sec.gov |
| Doce Mezcal, Inc. | Other | New York | NY | $150,000 | $1,500,000 | 1 | Nov 22 | sec.gov |
| Stockbridge Fund III Catalina II Investment, LLC | REITS and Finance | San Francisco | CA | $125,000 | $125,000 | 125 | Nov 22 | sec.gov |
| LWREP VII REIT, Inc. | REITS and Finance | Boston | MA | $125,000 | $125,000 | 125 | Nov 22 | sec.gov |
| Remray Equity Skyline LLC | Residential | Costa Mesa | CA | $120,000 | $500,000 | 3 | Nov 22 | sec.gov |
| PF Block 3 Fund - Office/Retail/Residential (OZ), a Series of PF Capital Fund, LP (amended) | Other Real Estate | Portland | ME | $110,000 | Indefinite | 2 | Nov 22 | sec.gov |
| PF Block 1 Fund -Office/Retail (OZ), a Series of PF Capital Fund, LP (amended) | Other Real Estate | Portland | ME | $110,000 | Indefinite | 2 | Nov 22 | sec.gov |
| BUYANDSHIP A SERIES OF VUVP FUND LLC | Other | Austin | TX | $102,485 | $102,485 | 10 | Nov 22 | sec.gov |
| Insight Voting, Inc. | Other Technology | Bryan | TX | $100,000 | Indefinite | 1 | Nov 22 | sec.gov |
| PF Block 2 Fund - Historic, a Series of PF Capital Fund, LP (amended) | Other Real Estate | Portland | ME | $100,000 | Indefinite | 1 | Nov 22 | sec.gov |
| PINON HILL CAPITAL LLC (amended) | Other | Denver | CO | $91,000 | $100,000,000 | 3 | Nov 22 | sec.gov |
| Shift Group Holdings, Inc. | Other | Brookline | MA | $50,000 | $2,000,000 | 1 | Nov 22 | sec.gov |
| Lendsafe Capital Partners LP | Other Real Estate | Los Angeles | CA | $0 | $100,000,000 | 0 | Nov 22 | sec.gov |
| Fidelis FC LLC | Investing | Brentwood | TN | $0 | $7,000,000 | 0 | Nov 22 | sec.gov |
| MESA ACCESS FUND LLC | Commercial | Sheridan | WY | $0 | $10,000,000 | 0 | Nov 22 | sec.gov |
| CLIVE CAPITAL FUND 1B LLC | Commercial | New York | NY | $0 | $10,000,000 | 0 | Nov 22 | sec.gov |
| Panex Choctaw Development #3, LP | Oil and Gas | Bowling Green | KY | $0 | $3,700,000 | 0 | Nov 22 | sec.gov |
| Atlant-X Holding Corp | Other Energy | Sheridan | WY | $0 | Indefinite | 0 | Nov 22 | sec.gov |
| 4800 Atlantic Blvd Jax , LLC | Residential | Jacksonville | FL | $0 | $8,000,000 | 0 | Nov 22 | sec.gov |
| PF Block 3 Fund - Office/Retail/Residential, a Series of PF Capital Fund, LP (amended) | Other Real Estate | Portland | ME | $0 | Indefinite | 0 | Nov 22 | sec.gov |
| PF Block 1 Fund -Office/Retail, a Series of PF Capital Fund, LP (amended) | Other Real Estate | Portland | ME | $0 | Indefinite | 0 | Nov 22 | sec.gov |
| FMR LLC | Other Banking and Financial Services | Boston | MA | $0 | Indefinite | 862 | Nov 22 | sec.gov |
November 24, 2023 · November 21, 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.