Data / Form D filings / Nov 4
Form D filings, November 4, 2026: 97 companies raised $14.55 billion
97 operating companies filed a Form D on November 4, 2026, reporting $14.55 billion sold. Largest: NHIT: Core Plus Fixed Income Trust ($4.22 billion), NHIT: Credit Asset Trust ($4.09 billion), AT Umbrella LLC ($1.92 billion). The median filing is $3.9 million, and 220 pooled investment funds also filed that day.
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- 97Form D filings
- $14.55 billionreported sold
- $3.9 millionmedian amount sold
- CAmost filings (15)
Most filings by state: CA 15, TX 13, MA 9, NY 8, DE 4. By industry: Other Technology 20, Commercial 18, Other 11, Other Real Estate 9.
Every company that filed, largest first
| Company | Industry | City | State | Amount sold | Offering | Investors | Filed | Filing |
|---|---|---|---|---|---|---|---|---|
| NHIT: Core Plus Fixed Income Trust (amended) | Investing | Boston | MA | $4,215,683,553 | Indefinite | 81 | Nov 4 | sec.gov |
| NHIT: Credit Asset Trust (amended) | Investing | Boston | MA | $4,091,576,242 | Indefinite | 197 | Nov 4 | sec.gov |
| AT Umbrella LLC | Business Services | San Francisco | CA | $1,922,939,157 | $1,922,939,157 | 1 | Nov 4 | sec.gov |
| Andersen Aggregator LLC | Business Services | San Francisco | CA | $1,922,939,157 | $1,922,939,157 | 438 | Nov 4 | sec.gov |
| NHIT: Intermediate Duration Fixed Income Trust (amended) | Investing | One Financial Center | MA | $997,708,727 | Indefinite | 43 | Nov 4 | sec.gov |
| Luiro Fund, LP (amended) | Other | Houston | TX | $325,000,000 | Indefinite | 1 | Nov 4 | sec.gov |
| Legora, Inc. | Other Technology | Dover | DE | $220,820,026 | $550,000,000 | 44 | Nov 4 | sec.gov |
| JVM Preferred Equity Fund, LLC (amended) | Residential | Oak Brook | IL | $215,265,671 | Indefinite | 443 | Nov 4 | sec.gov |
| EPHOD SECURITIES CO LTD | Investing | Denver | CO | $100,000,000 | Indefinite | 10000 | Nov 4 | sec.gov |
| Delaware Life NY Separate Account M (amended) | Insurance | Hartford | CT | $65,371,382 | Indefinite | 36 | Nov 4 | sec.gov |
| NEXROC Group, Inc. (amended) | Other Banking and Financial Services | Lewes | DE | $50,000,000 | $50,000,000 | 1 | Nov 4 | sec.gov |
| AI3 Bio, Inc. | Biotechnology | Watertown | MA | $48,339,490 | $48,339,490 | 8 | Nov 4 | sec.gov |
| LCP Columbus Portfolio LLC | Commercial | Denver | CO | $40,000,000 | $40,000,000 | 79 | Nov 4 | sec.gov |
| Origin Nona, DST (amended) | Other Real Estate | Chicago | IL | $34,866,574 | $46,256,706 | 69 | Nov 4 | sec.gov |
| Beyond Liquidity LLC | Commercial | Houston | TX | $32,478,000 | Indefinite | 57 | Nov 4 | sec.gov |
| DIMECO INC | Commercial Banking | Honesdale | PA | $25,000,000 | $25,000,000 | 25 | Nov 4 | sec.gov |
| MD MANAGEMENT LLC | Business Services | San Francisco | CA | $19,263,261 | $19,263,261 | 355 | Nov 4 | sec.gov |
| DATA I/O CORP (amended) | Other Technology | Redmond | WA | $13,250,000 | $13,250,000 | 9 | Nov 4 | sec.gov |
| Johnson Square Warehouse District Holdings, LLC | Commercial | Fayetteville | AR | $12,727,869 | $12,727,869 | 13 | Nov 4 | sec.gov |
| SIMSALASIM INC. (amended) | Other Technology | New York | NY | $11,452,176 | Indefinite | 13 | Nov 4 | sec.gov |
| SIMSALASIM INC. | Other Technology | New York | NY | $11,452,176 | Indefinite | 13 | Nov 4 | sec.gov |
| Highgate Legacy Fund Brookside Manager, LLC | Commercial | Chicago | IL | $11,315,484 | $17,315,484 | 5 | Nov 4 | sec.gov |
| Roq.ad Inc. (amended) | Other | Palo Alto | CA | $10,917,190 | $14,804,790 | 19 | Nov 4 | sec.gov |
| Elite 101 LLC | Other Real Estate | Great Neck | NY | $10,889,092 | $25,000,000 | 73 | Nov 4 | sec.gov |
| SIMSALASIM INC. (amended) | Other Technology | New York | NY | $10,446,193 | $10,446,193 | 20 | Nov 4 | sec.gov |
| SIMSALASIM INC. (amended) | Other Technology | New York | NY | $10,446,193 | $10,446,193 | 20 | Nov 4 | sec.gov |
| Beyond Julian LLC | Commercial | Houston | TX | $10,225,000 | Indefinite | 18 | Nov 4 | sec.gov |
| Kilmichael Bancorp, Inc. | Commercial Banking | Kilmichael | MS | $8,000,000 | $8,000,000 | 6 | Nov 4 | sec.gov |
| VP Jacksonville Holdings, LLC | Commercial | Cincinnati | OH | $6,775,000 | $6,775,000 | 14 | Nov 4 | sec.gov |
| Impossible Diamond, Inc. | Other Technology | Starkville | MS | $6,357,276 | $6,357,276 | 24 | Nov 4 | sec.gov |
| MitoAI Inc. | Other Technology | Boston | MA | $5,449,996 | $8,099,997 | 7 | Nov 4 | sec.gov |
| Beyond Loan 3 LLC | Commercial | Houston | TX | $5,080,000 | Indefinite | 13 | Nov 4 | sec.gov |
| Lithios Inc. | Other Technology | Medford | MA | $5,058,838 | $10,000,000 | 16 | Nov 4 | sec.gov |
| Madison Sunrise, LLC | Commercial | Poway | CA | $5,000,000 | $5,000,000 | 0 | Nov 4 | sec.gov |
| EP Jefferson Flats JV, LLC | Commercial | Richmond | VA | $4,913,980 | $6,750,000 | 34 | Nov 4 | sec.gov |
| Baywood Ranch LP (amended) | Investing | Phoenix | AZ | $4,825,000 | Indefinite | 49 | Nov 4 | sec.gov |
| K&M QOF LLC | Other Real Estate | San Diego | CA | $4,766,000 | Indefinite | 15 | Nov 4 | sec.gov |
| K&M 3 LLC | Other Real Estate | San Diego | CA | $4,125,000 | Indefinite | 12 | Nov 4 | sec.gov |
| EVENERGI LABS INC. | Other Technology | Ann Arbor | MI | $4,010,000 | $5,000,000 | 6 | Nov 4 | sec.gov |
| HICKORY CREEK SMART FUND, LLC (amended) | Commercial | Lenoir | TN | $3,950,000 | $10,000,000 | 24 | Nov 4 | sec.gov |
| Beyond Westminster 1 LLC | Commercial | Houston | TX | $3,921,213 | Indefinite | 13 | Nov 4 | sec.gov |
| MJS Investors LLC | Investing | Charlottesville | VA | $3,106,200 | $3,106,200 | 12 | Nov 4 | sec.gov |
| DATA I/O CORP | Other Technology | Redmond | WA | $3,000,000 | $3,000,000 | 1 | Nov 4 | sec.gov |
| Original Watermen, Inc. | Retailing | Carlsbad | CA | $2,941,600 | $4,000,000 | 16 | Nov 4 | sec.gov |
| BEYOND RETAIL EQUITY LLC | Other Real Estate | Houston | TX | $2,850,000 | Indefinite | 13 | Nov 4 | sec.gov |
| Nocionix,Inc. | Other Health Care | Westlake | OH | $2,700,000 | $10,000,000 | 1 | Nov 4 | sec.gov |
| Impossible Diamond, Inc. | Other Technology | Starkville | MS | $2,172,435 | $7,000,000 | 4 | Nov 4 | sec.gov |
| Tremont AI, Inc. | Other Technology | Boston | MA | $2,000,000 | $2,000,000 | 13 | Nov 4 | sec.gov |
| Eat Scoops, Inc. | Other | Lafayette | CO | $1,705,680 | $1,855,680 | 6 | Nov 4 | sec.gov |
| Switchback Namibia Hybrid Fund II, LLC | Other Energy | Wilmington | DE | $1,700,000 | $1,700,000 | 0 | Nov 4 | sec.gov |
| ADM TRONICS UNLIMITED, INC. | Manufacturing | Northvale | NJ | $1,550,000 | $5,400,000 | 4 | Nov 4 | sec.gov |
| Infinity Industrial IV Investors, LLC | Commercial | West Des Moines | IA | $1,459,255 | $3,135,971 | 5 | Nov 4 | sec.gov |
| 31 Jump Street LLC | Other Real Estate | San Diego | CA | $1,278,750 | Indefinite | 16 | Nov 4 | sec.gov |
| Newcoda, Inc. | Other Technology | Miami | FL | $1,265,000 | $1,800,000 | 14 | Nov 4 | sec.gov |
| TP Urban LLC | Other Real Estate | San Diego | CA | $1,175,000 | Indefinite | 10 | Nov 4 | sec.gov |
| BELLADONNA RACING, LLC (amended) | Other | Lexington | KY | $656,250 | $25,000,000 | 6 | Nov 4 | sec.gov |
| House Fly Home Services, Inc. | Other Technology | New Orleans | LA | $600,000 | $750,000 | 2 | Nov 4 | sec.gov |
| U-Back 316 Holding LLC | Residential | Sheridan | WY | $552,970 | $675,000 | 6 | Nov 4 | sec.gov |
| BELONG IMMIGRATION SERVICES, INC | Business Services | Wilmington | DE | $500,000 | Indefinite | 1 | Nov 4 | sec.gov |
| Emperor Metals Inc. (amended) | Other | Edmonton | $498,991 | $935,608 | 3 | Nov 4 | sec.gov | |
| IREX VI Retail DST | Commercial | Dallas | TX | $387,044 | $90,860,215 | 1 | Nov 4 | sec.gov |
| TOPWATER CATTLE Co ACQUISITION POOL 2, LLC | Other | Mont Belvieu | TX | $375,000 | $4,000,000 | 2 | Nov 4 | sec.gov |
| GS Finance Corp. | Investment Banking | New York | NY | $323,000 | $323,000 | 1 | Nov 4 | sec.gov |
| LadyBits, Inc. | Other Health Care | Alexandria | VA | $320,000 | $807,000 | 5 | Nov 4 | sec.gov |
| Arentha, Inc. (amended) | Other Technology | Colorado Springs | CO | $320,000 | $34,000,000 | 6 | Nov 4 | sec.gov |
| Sigma5 Inc. | Other Technology | Santa Cruz | CA | $270,000 | $500,000 | 3 | Nov 4 | sec.gov |
| Datifact Inc. | Other Technology | Orange | CA | $250,000 | $420,000 | 1 | Nov 4 | sec.gov |
| ProtoKinetix, Inc. (amended) | Other | Dalton | OH | $205,500 | $250,000 | 6 | Nov 4 | sec.gov |
| Muon Vision Inc. | Other | Cambridge | MA | $200,000 | $200,000 | 4 | Nov 4 | sec.gov |
| Delaware Life NY Separate Account L (amended) | Insurance | Hartford | CT | $155,371 | Indefinite | 4 | Nov 4 | sec.gov |
| Allina Health Surgery Center - Brooklyn Park, LLC | Other Health Care | Brooklyn Park | MN | $135,000 | $585,000 | 1 | Nov 4 | sec.gov |
| Series 95-1, a series of StartEngine Private LLC | Other | Burbank | CA | $129,900 | $405,000 | 5 | Nov 4 | sec.gov |
| Ausel, Inc. | Biotechnology | Carlsbad | CA | $120,000 | $5,000,000 | 1 | Nov 4 | sec.gov |
| Giraffe Gold Holdings LLC | Retailing | Cleveland | OH | $80,000 | $400,000 | 3 | Nov 4 | sec.gov |
| Happy Time Beverages, Inc. | Manufacturing | Frisco | TX | $50,000 | $3,000,000 | 1 | Nov 4 | sec.gov |
| ANSTRA INC | Retailing | Brooklyn | NY | $35,000 | $250,000 | 3 | Nov 4 | sec.gov |
| ALTERNATIVE RE HOLDINGS LTD (amended) | Insurance | Pembroke | $3,000 | $50,000,000 | 3 | Nov 4 | sec.gov | |
| GS Finance Corp. | Investment Banking | New York | NY | $3,000 | $3,000 | 1 | Nov 4 | sec.gov |
| Mangrove Delaware Insurance Solutions, Inc. (amended) | Insurance | Colchester | VT | $2,000 | $1,000,000 | 2 | Nov 4 | sec.gov |
| Rising Tide Labs, Inc. | Other Technology | Portland | OR | $220 | $220 | 11 | Nov 4 | sec.gov |
| BlueHealer Inc. | Biotechnology | Baltimore | MD | $1 | $1 | 1 | Nov 4 | sec.gov |
| PulsePoint Lake Norman ASC, LLC | Other Health Care | Tampa | FL | $0 | $1,760,000 | 0 | Nov 4 | sec.gov |
| Cedar Mill Courtyard Apartments, LLC | Commercial | Portland | OR | $0 | $5,100,000 | 35 | Nov 4 | sec.gov |
| Post Pro Capital Fund II, LLC | Residential | Chattanooga | TN | $0 | $10,000,000 | 0 | Nov 4 | sec.gov |
| 17925 SW Rosa Rd LLC | Commercial | Portland | OR | $0 | $2,000,000 | 15 | Nov 4 | sec.gov |
| AX Big Industrial Portfolio I DST | Other Real Estate | Salt Lake City | UT | $0 | Indefinite | 0 | Nov 4 | sec.gov |
| Blossom Capital Fund I LLC (amended) | Other Real Estate | Sacramento | CA | $0 | $50,000,000 | 0 | Nov 4 | sec.gov |
| LomaAlta Capital Fund I, LP | Commercial | Brownsville | TX | $0 | $15,000,000 | 0 | Nov 4 | sec.gov |
| Satschel, Inc (amended) | Investing | Dallas | TX | $0 | $15,000,000 | 0 | Nov 4 | sec.gov |
| Premier Affordable Housing Fund, LLC (amended) | Commercial | Sheridan | WY | $0 | $150,000,000 | 0 | Nov 4 | sec.gov |
| FORTIFIED CAPITAL DEVELOPMENT FUND LLC (amended) | Commercial | Connersville | IN | $0 | $50,000,000 | 0 | Nov 4 | sec.gov |
| AI3 Bio, Inc. | Biotechnology | Watertown | MA | $0 | Indefinite | 7 | Nov 4 | sec.gov |
| Psionic, Inc. (amended) | Other Technology | Hampton | VA | $0 | $3,475,661 | 4 | Nov 4 | sec.gov |
| Mainstay Income Opportunity Fund II, LLLP | Other | Auburndale | FL | $0 | $20,000,000 | 0 | Nov 4 | sec.gov |
| Cyphaira Corp. | Other | Seminole | OK | $0 | Indefinite | 0 | Nov 4 | sec.gov |
| TSO 66 Well Remediation Program, LP | Oil and Gas | Fort Worth | TX | $0 | $14,000,000 | 0 | Nov 4 | sec.gov |
| CITIZENS CAPITAL CORP (amended) | Business Services | Dallas | TX | $0 | $25,000,000 | 0 | Nov 4 | sec.gov |
November 3, 2026 · 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.