Data / Form D filings / Jan 5
Form D filings, January 5, 2024: 125 companies raised $1.15 billion
125 operating companies filed a Form D on January 5, 2024, reporting $1.15 billion sold. Largest: Emory Peak Holdings II, LLC ($120.2 million), PINNACLE WEST CAPITAL CORP ($83.2 million), Nalu Medical, Inc. ($65 million). The median filing is $3.4 million, and 144 pooled investment funds also filed that day.
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- 125Form D filings
- $1.15 billionreported sold
- $3.4 millionmedian amount sold
- CAmost filings (18)
Most filings by state: CA 18, TX 12, NY 11, DE 9, FL 8. By industry: Other Technology 21, Other 19, Other Real Estate 12, Other Health Care 12.
Every company that filed, largest first
| Company | Industry | City | State | Amount sold | Offering | Investors | Filed | Filing |
|---|---|---|---|---|---|---|---|---|
| Emory Peak Holdings II, LLC | Oil and Gas | Houston | TX | $120,181,127 | Indefinite | 7 | Jan 5 | sec.gov |
| PINNACLE WEST CAPITAL CORP (amended) | Electric Utilities | Phoenix | AZ | $83,150,000 | Indefinite | 0 | Jan 5 | sec.gov |
| Nalu Medical, Inc. | Other Health Care | Carlsbad | CA | $64,999,958 | $79,999,953 | 16 | Jan 5 | sec.gov |
| Dexis Interactive Holdings, Inc. | Other | New York | NY | $59,425,000 | $59,425,000 | 7 | Jan 5 | sec.gov |
| Quantinuum | Computers | Brooklyn Park | MN | $51,999,995 | $61,999,994 | 6 | Jan 5 | sec.gov |
| MaintainX Inc. | Other Technology | Miami | FL | $50,024,990 | $50,250,000 | 17 | Jan 5 | sec.gov |
| CRE8 CAPITAL FUND I, LLC (amended) | REITS and Finance | Seattle | WA | $48,625,250 | $100,000,000 | 95 | Jan 5 | sec.gov |
| HREX Multifamily I, DST (amended) | Residential | Houston | TX | $45,388,546 | $79,850,837 | 51 | Jan 5 | sec.gov |
| Athena Club Holdings, Inc. | Retailing | New York | NY | $33,461,427 | $35,461,433 | 5 | Jan 5 | sec.gov |
| Jewel Fund, L. P. (amended) | Investing | New York | NY | $31,207,924 | Indefinite | 4 | Jan 5 | sec.gov |
| Palladius Real Estate Fund I, LP (amended) | Commercial | Austin | TX | $30,615,703 | $150,000,000 | 2 | Jan 5 | sec.gov |
| Zeebu Loyalty Rewards Ltd. | Other Banking and Financial Services | Garden City | NY | $25,000,000 | $25,000,000 | 1 | Jan 5 | sec.gov |
| STP Group Holdings LLC | Insurance | New York | NY | $21,013,088 | $21,013,088 | 32 | Jan 5 | sec.gov |
| Get Lago Corp. | Other Technology | Dover | DE | $19,221,427 | $19,221,427 | 62 | Jan 5 | sec.gov |
| IHG Opportunity Fund I, LLC | Other Real Estate | Cheyenne | WY | $17,580,653 | $100,000,000 | 96 | Jan 5 | sec.gov |
| Blue Frontier, Inc. | Manufacturing | Boca Raton | FL | $16,873,854 | $32,000,000 | 5 | Jan 5 | sec.gov |
| CPC TDR Special Opportunities Fund I, LP | Investing | Dallas | TX | $16,666,667 | Indefinite | 27 | Jan 5 | sec.gov |
| Malvi Solar Investments, LLC | Other Real Estate | Miami | FL | $16,393,840 | $16,495,000 | 132 | Jan 5 | sec.gov |
| NMI Topco, LLC (amended) | Other | San Francisco | CA | $15,839,234 | Indefinite | 15 | Jan 5 | sec.gov |
| BrainCheck, Inc. | Other Technology | Austin | TX | $15,367,215 | $18,367,215 | 7 | Jan 5 | sec.gov |
| REVA Reston Metro DST | Commercial | Richmond | VA | $14,324,581 | $23,150,000 | 57 | Jan 5 | sec.gov |
| Payne Road Investments LLC | Other Real Estate | Tulsa | OK | $13,974,650 | $14,000,000 | 145 | Jan 5 | sec.gov |
| CCP Fund III, LLC | Other | Charlotte | NC | $13,235,000 | $13,235,000 | 46 | Jan 5 | sec.gov |
| TA Fintech Inc. (amended) | Other Technology | Dover | DE | $12,172,361 | $15,000,000 | 180 | Jan 5 | sec.gov |
| Post 5000 Sanger Partners, LLC | Investing | Los Angeles | CA | $11,976,810 | $11,976,810 | 141 | Jan 5 | sec.gov |
| RV 8500 Sunset Blvd Group LLC | Commercial | New York | NY | $11,800,000 | $11,800,000 | 24 | Jan 5 | sec.gov |
| Accelerate Dental Holdings, LLC | Hospitals and Physicians | Murray | UT | $11,700,000 | $12,000,000 | 28 | Jan 5 | sec.gov |
| Riverbend Owners LLC | Other Real Estate | Toms River | NJ | $11,650,000 | $12,500,000 | 3 | Jan 5 | sec.gov |
| WCFI IMG CI 2023, LLC | Investing | Tampa | FL | $11,560,000 | $11,560,000 | 11 | Jan 5 | sec.gov |
| Vartega Inc. | Manufacturing | Denver | CO | $11,227,697 | $12,802,696 | 16 | Jan 5 | sec.gov |
| Octave Realty Fund IX, LLC | Commercial | Alpharetta | GA | $11,000,000 | $40,000,000 | 40 | Jan 5 | sec.gov |
| Grasshopper Bancorp, Inc. | Other Banking and Financial Services | New York | NY | $10,563,399 | $16,500,000 | 4 | Jan 5 | sec.gov |
| Teamblind Inc. | Other Technology | Sunnyvale | CA | $9,690,033 | $14,999,999 | 4 | Jan 5 | sec.gov |
| Maverick BioMetals Inc. | Other Energy | San Antonio | TX | $9,643,534 | $14,273,448 | 47 | Jan 5 | sec.gov |
| JSIP Bon Air Investors, LLC | Residential | Boston | MA | $9,605,000 | $9,605,000 | 21 | Jan 5 | sec.gov |
| PopUpBagels Inc. | Other | Westport | CT | $9,499,958 | $9,499,994 | 28 | Jan 5 | sec.gov |
| Lane Road Solar Investments, LP | Other Real Estate | Rome | GA | $9,285,000 | $12,132,400 | 117 | Jan 5 | sec.gov |
| Junction Hill Partners, LLC | Other Real Estate | Birmingham | AL | $9,183,667 | $9,200,000 | 39 | Jan 5 | sec.gov |
| WI Maryland Park LLC | Residential | Kansas City | MO | $9,136,550 | $9,660,000 | 41 | Jan 5 | sec.gov |
| RH Fund 27, LLC | Other Real Estate | Las Vegas | NV | $8,400,000 | $8,400,000 | 40 | Jan 5 | sec.gov |
| Super League Enterprise, Inc. (amended) | Other Technology | Santa Monica | CA | $8,355,000 | $30,766,000 | 120 | Jan 5 | sec.gov |
| DPM Belle Oaks Marketplace Fund 3 LLC (amended) | Commercial | Woodland Hills | CA | $8,007,526 | $25,000,000 | 32 | Jan 5 | sec.gov |
| Elicio Therapeutics, Inc. | Biotechnology | Boston | MA | $7,047,530 | $7,047,530 | 1 | Jan 5 | sec.gov |
| CueZen Inc. | Other Technology | Seattle | WA | $7,003,999 | $11,003,999 | 8 | Jan 5 | sec.gov |
| Orange Comet Inc. | Other Technology | Los Angeles | CA | $6,475,000 | $18,000,000 | 2 | Jan 5 | sec.gov |
| Accord Software, Inc. | Other Technology | San Francisco | CA | $6,036,789 | $6,227,472 | 18 | Jan 5 | sec.gov |
| RC10 LLC | Residential | Dallas | TX | $5,965,000 | $20,000,000 | 45 | Jan 5 | sec.gov |
| MONARCH HEDGE FUND LP (amended) | Other Banking and Financial Services | Morganville | NJ | $5,956,468 | Indefinite | 33 | Jan 5 | sec.gov |
| King Solar Investments LLC | Other Real Estate | Las Vegas | NV | $5,500,000 | $5,500,000 | 29 | Jan 5 | sec.gov |
| Jackson Rose Venture II, LLC | Other | Seaside Park | NJ | $4,992,000 | $100,000,000 | 37 | Jan 5 | sec.gov |
| GMI-Portland Preferred, LP (amended) | Other Real Estate | Westlake | TX | $4,870,182 | $4,870,182 | 35 | Jan 5 | sec.gov |
| JSIP Braintree Street Investors II, LLC | Residential | Boston | MA | $4,850,000 | $4,850,000 | 48 | Jan 5 | sec.gov |
| Niobium Microsystems, Inc. | Other Technology | Dayton | OH | $4,499,999 | $5,499,998 | 3 | Jan 5 | sec.gov |
| Radical Inc. | Other | Seattle | WA | $4,465,000 | $6,714,999 | 9 | Jan 5 | sec.gov |
| Curiteva, Inc. | Other Health Care | Tanner | AL | $4,000,000 | $10,000,000 | 4 | Jan 5 | sec.gov |
| S4 Sports & Entertainment, Inc. | Other | Old Greenwich | CT | $3,750,000 | $4,750,000 | 2 | Jan 5 | sec.gov |
| BioWound Solutions, LLC | Other Health Care | Las Vegas | NV | $3,575,000 | $4,500,000 | 2 | Jan 5 | sec.gov |
| Helios Max Partners, LLC | Investing | Denver | CO | $3,500,000 | $3,500,000 | 10 | Jan 5 | sec.gov |
| Riverbend Class A-2 LLC | Other Real Estate | Toms River | NJ | $3,303,639 | $3,500,000 | 33 | Jan 5 | sec.gov |
| Global Atomic Corp | Other | Toronto | $2,783,603 | $9,571,958 | 2 | Jan 5 | sec.gov | |
| Alby Inc. | Other Technology | Dover | DE | $2,725,000 | $3,675,000 | 7 | Jan 5 | sec.gov |
| 4209 Euclid Investment, LLC | Other | Akron | OH | $2,700,000 | $2,700,000 | 45 | Jan 5 | sec.gov |
| Pelican Brewing Co | Restaurants | Pacific City | OR | $2,603,492 | $3,800,000 | 11 | Jan 5 | sec.gov |
| EMPLOYMENT SCREENING PLUS LLC | Computers | Greenwood Village | CO | $2,239,046 | $2,630,000 | 12 | Jan 5 | sec.gov |
| Lower Tribeca Corp. | Other | Nassau | $2,178,638 | Indefinite | 4 | Jan 5 | sec.gov | |
| Storage Units Ground Lease Ft. Myers, LLC | Commercial | Maitland | FL | $2,000,000 | $2,000,000 | 0 | Jan 5 | sec.gov |
| VentureMed Group, Inc. | Other Health Care | Plymouth | MN | $2,000,000 | $4,000,000 | 3 | Jan 5 | sec.gov |
| Panbela Therapeutics, Inc. | Pharmaceuticals | Waconia | MN | $2,000,000 | Indefinite | 2 | Jan 5 | sec.gov |
| Draivn Corp. | Other Technology | New York | NY | $1,904,799 | $3,255,965 | 10 | Jan 5 | sec.gov |
| SANUWAVE Health, Inc. | Biotechnology | Eden Prairie | MN | $1,861,250 | $1,861,250 | 15 | Jan 5 | sec.gov |
| Novel Microdevices, Inc. | Other Health Care | Baltimore | MD | $1,850,000 | $6,000,000 | 3 | Jan 5 | sec.gov |
| Alpha Cognition Inc. | Biotechnology | Vancouver | $1,762,097 | $4,245,053 | 30 | Jan 5 | sec.gov | |
| JelliSee Ophthalmics Inc. | Biotechnology | Mclean | VA | $1,675,000 | $10,000,000 | 15 | Jan 5 | sec.gov |
| Spartan Race Inc. | Other | Boston | MA | $1,650,000 | $7,500,000 | 3 | Jan 5 | sec.gov |
| Earth RepAIR Global, Inc. | Environmental Services | Madison | WI | $1,525,000 | $2,000,000 | 3 | Jan 5 | sec.gov |
| Helios Solar Partners VIII, LLC (amended) | Investing | Denver | CO | $1,345,729 | $1,345,729 | 6 | Jan 5 | sec.gov |
| Adee Hill LLC | Commercial | White Plains | NY | $1,200,000 | $1,200,000 | 1 | Jan 5 | sec.gov |
| Poplar Resources Corp | Oil and Gas | Fort Worth | TX | $1,100,000 | $1,500,000 | 10 | Jan 5 | sec.gov |
| Choice Financial Group Holdings, LLC | Insurance | Bethesda | MD | $1,085,555 | $1,085,555 | 1 | Jan 5 | sec.gov |
| Oregon Hill LLC | Commercial | White Plains | NY | $1,000,000 | $1,000,000 | 1 | Jan 5 | sec.gov |
| MYNZO CARBON INC. (amended) | Other Technology | Claymont | DE | $950,115 | $1,500,000 | 13 | Jan 5 | sec.gov |
| DRONEUP, LLC | Other Technology | Virginia Beach | VA | $950,000 | $20,000,000 | 3 | Jan 5 | sec.gov |
| Premium Nickel Resources Ltd. | Other | Toronto | $818,243 | $818,243 | 3 | Jan 5 | sec.gov | |
| DOC.COM INC. | Other Technology | New York | NY | $709,177 | $5,000,000 | 28 | Jan 5 | sec.gov |
| CLZF Enterprises LLC | Construction | Aberdeen | NC | $690,000 | $690,000 | 8 | Jan 5 | sec.gov |
| RCE Technologies, Inc. (amended) | Biotechnology | Carlsbad | CA | $500,000 | $2,000,000 | 6 | Jan 5 | sec.gov |
| Network VC Syndicate Fund LLC Series Pinscreen | Investing | Wilmington | DE | $463,700 | $463,700 | 21 | Jan 5 | sec.gov |
| Curbside Electric Co | Other | Santa Monica | CA | $460,000 | $750,000 | 1 | Jan 5 | sec.gov |
| Hyperion Companies, Inc. | Other Energy | Orange | CA | $450,094 | $1,050,143 | 4 | Jan 5 | sec.gov |
| YAB SoLa Partners, LLC | Other Real Estate | Chicago | IL | $450,000 | $4,300,000 | 3 | Jan 5 | sec.gov |
| Neighborli, Inc. | Other Technology | Fargo | ND | $407,000 | $3,001,750 | 3 | Jan 5 | sec.gov |
| NFANT Labs, Inc. (amended) | Other Health Care | Port Richey | FL | $403,000 | $500,000 | 6 | Jan 5 | sec.gov |
| Estate.Studio, LLC | Computers | Lake Worth | FL | $385,000 | $500,000 | 3 | Jan 5 | sec.gov |
| Arthroba, Inc. (amended) | Other Health Care | Smyrna | GA | $300,000 | $500,000 | 4 | Jan 5 | sec.gov |
| Network VC Syndicate Fund LLC Series Accern | Investing | Wilmington | DE | $262,850 | $262,850 | 13 | Jan 5 | sec.gov |
| RESTORATION BUILDERS COMMERCIAL, INC. | Construction | Phoenix | AZ | $262,500 | Indefinite | 2 | Jan 5 | sec.gov |
| Wobble Genomics Ltd | Biotechnology | Edinburgh | $254,296 | $254,296 | 1 | Jan 5 | sec.gov | |
| NewSight Reality, Inc. | Other Technology | Ponte Verde | FL | $245,000 | $2,000,000 | 9 | Jan 5 | sec.gov |
| 126 Fairfield Street EMC, LLC | Residential | Boston | MA | $218,000 | $1,000,000 | 0 | Jan 5 | sec.gov |
| Network VC Syndicate Fund LLC Series A7 | Investing | Wilmington | DE | $160,000 | $160,000 | 5 | Jan 5 | sec.gov |
| Borealis Mining Co Ltd | Other | Toronto | $127,279 | $222,738 | 1 | Jan 5 | sec.gov | |
| MHF VIII REIT Co-Investment I LLC | REITS and Finance | Warwick | RI | $125,000 | $125,000 | 125 | Jan 5 | sec.gov |
| COGNIXION II A SERIES OF SCA SPV LLC | Other | Santa Barbara | CA | $123,000 | $123,000 | 6 | Jan 5 | sec.gov |
| Mix Imaging, LLC | Other Health Care | Cottage Grove | WI | $100,000 | $100,000 | 8 | Jan 5 | sec.gov |
| RPGMatch Inc. | Other Technology | San Diego | CA | $100,000 | $190,000 | 3 | Jan 5 | sec.gov |
| Royale Energy, Inc. | Oil and Gas | El Cajon | CA | $100,000 | $5,714,000 | 1 | Jan 5 | sec.gov |
| Network VC Syndicate Fund LLC Series Adway | Investing | Wilmington | DE | $80,000 | $80,000 | 4 | Jan 5 | sec.gov |
| Texas Oil Partners Flat Creek Production, L.P. | Oil and Gas | Dallas | TX | $75,000 | $600,000 | 2 | Jan 5 | sec.gov |
| Maxwell Labs Inc. | Other Technology | Little Canada | MN | $67,000 | $1,500,000 | 1 | Jan 5 | sec.gov |
| Network VC Syndicate Fund LLC Series A8 | Investing | Wilmington | DE | $66,500 | $66,500 | 6 | Jan 5 | sec.gov |
| USEDC 2023 Auxiliary Fund LP (amended) | Oil and Gas | Arlington | TX | $46,000 | $150,000,000 | 0 | Jan 5 | sec.gov |
| KLONDIKE GOLD CORP /FI | Other | Vancouver | $29,880 | $97,110 | 1 | Jan 5 | sec.gov | |
| Riverstick Resources Corp. | Other | Vancouver | $14,600 | $14,600 | 3 | Jan 5 | sec.gov | |
| Boston Common International Sustainable Climate Fund, LLC | Investing | Boston | MA | $10,000 | $80,000,000 | 1 | Jan 5 | sec.gov |
| SILVER VIPER MINERALS CORP. | Other | Vancouver | $7,543 | $22,629 | 1 | Jan 5 | sec.gov | |
| Mixx Technologies, Inc. | Other Technology | San Jose | CA | $45 | $45 | 4 | Jan 5 | sec.gov |
| Sofi KMF II Joint Venture | Oil and Gas | Prosper | TX | $0 | $504,000 | 0 | Jan 5 | sec.gov |
| Barsa Surgical Inc. (amended) | Other Health Care | Raleigh | NC | $0 | $10,000,000 | 2 | Jan 5 | sec.gov |
| Barsa Surgical Inc. | Other Health Care | Raleigh | NC | $0 | $10,000,000 | 2 | Jan 5 | sec.gov |
| Bonsai Companies, LLC | Other Technology | Boulder | CO | $0 | $3,000,000 | 0 | Jan 5 | sec.gov |
| Shopoff Palm Springs Industrial Fund, LLC (amended) | Other Real Estate | Irvine | CA | $0 | $16,200,000 | 0 | Jan 5 | sec.gov |
| 2302 East Fort Lowell Holdings, LLC | Commercial | Newport Beach | CA | $0 | $3,440,000 | 0 | Jan 5 | sec.gov |
| Physicians' Medical Center, LLC (amended) | Other Health Care | New Albany | IN | $0 | $726,867 | 0 | Jan 5 | sec.gov |
| B R A S S PARTNERSHIP IN COMMENDAM | Other Health Care | Baton Rouge | LA | $0 | $459,000 | 0 | Jan 5 | sec.gov |
| NORTH WATERFORD APARTMENTS (amended) | Other | Walnut Creek | CA | $0 | $47,919,858 | 0 | Jan 5 | sec.gov |
January 8, 2024 · January 4, 2024 · 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.