138 companies filed to raise money last week: the 5 largest, the new executives and the acquisitions

2026-11-10来源 dev.to DataEnglish

Between 2 November and 8 November 2026, 138 companies filed a new Form D notice to say they had sold securities in a private offering (145 notices in all), 10 companies reported an acquisition agreement, 28 companies reported an executive change, and 15 companies announced layoffs. Every number below is a count of filings, and each example links to the filing it came from.

I'm Saul Fleischman. I build MentionFox, and I publish this count every Monday because the filings are the earliest place a company's news shows up, and most people only see it when someone writes about it. The lists are free to browse at https://mentionfox.com/signals/this-week.

How many companies filed to raise money last week?

138 companies filed 145 new Form D notices dated 2 November to 8 November 2026. The week before it was 117 companies. A Form D is the notice a company files with the SEC after it first sells securities in a private offering that is exempt from registration. The date is the filing date, and the amount on it is the total the company reports as sold so far, not what it hopes to raise.

Of the 145 notices, 142 are from operating companies and 3 look like holding vehicles, such as funds, feeders and aggregators, which I keep out of the lists of startups. Among the 122 operating companies that state an amount, the median is $1.2 million. 60 reported under $1 million, 30 reported $1 million to under $5 million, 23 reported $5 million to under $25 million, 9 reported $25 million or more.

By day, the notices were filed Monday 20, Tuesday 25, Wednesday 31, Thursday 32, Friday 37. A Form D is due within fifteen days of the first sale, so a filing date tells you when the paperwork was filed, not when the money arrived.

The state or country on the filing is most often CA (23), TX (16), MA (11), and the industry groups on the filings, in my labels, are most often AI and software (86), Biotech (15), Health care (13).

Who raised the most?

These are the 5 largest amounts reported by operating companies, with the filing for each:

  1. Legora, Inc. (DE), AI and software: $221 million reported sold, filed 4 November. https://www.sec.gov/Archives/edgar/data/2071663/000207166326000002/primary_doc.xml
  2. Serval Inc. (CA), AI and software: $149 million reported sold, filed 3 November. https://www.sec.gov/Archives/edgar/data/2103406/000210340626000004/primary_doc.xml
  3. Multiply Labs, Inc. (CA), AI and software: $52.3 million reported sold, filed 5 November. https://www.sec.gov/Archives/edgar/data/1690573/000092963826004235/primary_doc.xml
  4. AI3 Bio, Inc. (MA), Biotech: $48.3 million reported sold, filed 4 November. https://www.sec.gov/Archives/edgar/data/2019875/000201987526000003/primary_doc.xml
  5. Rgenta Therapeutics, Inc. (MA), AI and software: $41.9 million reported sold, filed 3 November. https://www.sec.gov/Archives/edgar/data/1801266/000123191926001529/primary_doc.xml

Two larger amounts were left out on purpose: Andersen Aggregator LLC ($1.9 billion) and AT Umbrella LLC ($1.9 billion) are holding vehicles named in the same filings, not companies with customers.

Together the 122 operating companies that stated an amount reported $956 million sold. The five above account for $512 million of it, about 54%, so the total is driven by a handful of large rounds while the typical filing is small: the median was $1.2 million. AI and software (my label for the Other Technology group on Form D) was the industry on 86 of the 142 operating-company notices (about 61%).

A caution on size. A Form D amount is a total across investors for that offering, and companies can file again as they sell more, so the same company can appear in more than one week.

Which companies changed executives?

28 companies reported an executive change in an 8-K: 20 named a new officer or director, 7 announced a departure and 1 gave an executive additional duties. The week before it was 40. The roles named most often among the new appointments are Chief Financial Officer (7), Director (6), Chief Accounting Officer (1).

Two examples:

This list is only companies that file with the SEC, so it is mostly public companies. A change at a private startup does not appear here.

Who bought or agreed to be bought?

10 companies filed an 8-K about an acquisition agreement: 6 as the buyer and 4 as the target. The week before it was 5. 3 of them state a price.

Two examples:

Who announced layoffs?

15 companies announced layoffs: 8 in an 8-K filed with the SEC and 7 in a state layoff notice (the WARN notices that states publish). 8 notices give a headcount, and the headcounts add up to 536 employees. The 8-Ks usually say a company is cutting jobs without a number, so a headcount mostly comes from the state notices. The week before it was 42.

Which new venture funds opened?

42 venture funds filed a first offering of $1 million or more, with a combined offering size of $1.4 billion. The week before it was 24. The amount is the size of the offering the fund is raising, not money it has raised.

The two largest:

How did I count, and where could I be wrong?

Method. I read the SEC's new filings every day and keep each one with its date, its type and the link. A week is Monday to Sunday and a filing counts on the date it was filed. Form D notices are counted once per company for the headline and once per notice for the second figure. Executive changes and acquisitions come from 8-K filings, layoffs from 8-Ks and from the state layoff (WARN) notices, and new venture funds from Form D filings by funds. A filing that only restates an earlier one is not counted again. Amounts are copied from the filing.

Where I could be wrong.

  • A Form D amount is what the company says it has sold so far, and it is not checked against anyone's bank account.
  • My rule for a holding vehicle is a list of name patterns, so a few vehicles may count as operating companies and a few operating companies may be left out.
  • The executive and acquisition lists cover companies that file 8-Ks, and the layoff list adds the states whose notices I read. Private companies announce these by press release, and I do not count those.
  • I read a filing's headline facts, not every exhibit, so a number that is only in an exhibit is missing.
  • One week is a small sample. Compare it with the week before rather than reading a trend into it.

The short version

  • 138 companies filed 145 new Form D notices (142 from operating companies), 2 November to 8 November 2026.
  • The largest by an operating company: Legora, Inc., $221 million reported sold.
  • 28 executive changes, 10 acquisition filings, 15 layoff notices, 42 new venture funds.
  • Every example above links to its filing. The full lists, free to browse: https://mentionfox.com/signals/this-week

If you want to reach one of these companies, the week it files is the week to do it. The lists show what is inside each company, such as the people the filing names, before you spend a credit.

原文：https://www.a8q9.cn/en/article/138-companies-filed-to-raise-money-last-week-the-5-largest-the-new-executives-an-f3094a.html

相关文章