P97 Holdings, Inc.
Built from the SEC filing index the day the filing landed. The figures below are the issuer's own from Form D; AltStreet's analysis, sponsor link and data flags follow when the entity is enriched.
Raised
$41M
Investors
19
Min Invest
None stated
Is this your company or fund? Claim this page free, or verify it and carry the Verified Issuer mark.
What this filing shows
·Every sentence is a value as filed on SEC Form D
P97 Holdings, Inc. is a Delaware corporation that filed a Form D with the SEC on April 5, 2023 in the Other Technology industry group. The offering claims Rule 506(b) and covers equity. P97 Holdings, Inc. reported $40,661,289 sold from 19 investors of a $40,661,289 total offering as of the Form D filed April 5, 2023. The offering relies on Rule 506(b), which permits sales to accredited investors and to no more than 35 non-accredited investors who meet a sophistication standard, and prohibits general solicitation. The filing reports no non-accredited investors. The filing lists the minimum investment as $0, meaning no minimum was stated. The Form D names Pharus Securities, LLC (CRD 148002), associated with None as the recipient of sales compensation soliciting in CA, CO, CT, DC, FL, GA, ID, IL, LA, MA, MD, MI, MN, MT, NJ, NV, NY, PA, TX, UT, VA, WA, WI. The issuer's address of record is 2050 W Sam Houston Pkwy S, #900, Houston, TX 77042.
EDGAR Filing Data
Form D — Primary Source
View on SEC.govFilings on Record
Every filing AltStreet's ledger holds for this CIK, newest first. Each opens the SEC archive folder.
In the Terminal
Filing events
0
none on file
Critical / warning
0 / 0
0 watch · 0 info
Statements extracted
0
none on file
NAV prints
0
none on file
Offering chains
1
closed
Investor
- 1 offering timeline: velocity, share raised, first-sale lag, stalled flags
Pro
- This issuer against its cohort: rank by velocity and share raised among offerings filed the same quarter
- The same events, statements and NAV moves across every issuer, screenable, with unlimited watches and CSV
Counts and dates above are the free record. The values, the series and the comparisons are the seat. Loading your view…
Related Persons (Form D)
Executive officers, directors, and promoters listed on the SEC Form D filing. Source: SEC.gov.
Donald Frieden
Executive Officer, Director · Houston, TX
Chief Executive Officer, President, & Member of the Board
Steve Moses
Executive Officer · Houston, TX
Head of HR, Security & Compliance
Sharon Brown
Executive Officer · Houston, TX
VP Finance & Corporate Secretary
Bryan Olivier
Executive Officer · Houston, TX
Chief Operating Officer
Kevin Halloran
Executive Officer · Houston, TX
General Counsel
Saurabh Choudhary
Executive Officer · Houston, TX
Head of Engineering
David Nichamoff
Executive Officer · Houston, TX
Head of Product
Ignatius Leonards
Director · Houston, TX
Member of the Board
Kevin Smartt
Director · Houston, TX
Member of the Board
Charles Vaslet
Director · Houston, TX
Member of the Board
Michael Passilla
Director · Houston, TX
Member of the Board
Eric Dowdell
Director · Houston, TX
Member of the Board
Karson Chang
Director · Houston, TX
Member of the Board
Daniel Ballen
Director · Houston, TX
Member of the Board
Paul Cwalina
Executive Officer · Houston, TX
Senior Vice President, Sales
Placement Agents and Sales Compensation (Form D)
Who the issuer reported paying to sell the securities (Form D Item 12), with the FINRA registration number the filer gave. Source: SEC.gov.
Pharus Securities, LLCCRD 148002 on BrokerCheck
Associated broker-dealer: None · New York, NY · Soliciting in CA, CO, CT, DC, FL, GA, ID, IL, LA, MA, MD, MI, MN, MT, NJ, NV, NY, PA, TX, UT, VA, WA, WI
Questions About P97 Holdings, Inc.
Each answer is built from the values on the SEC filing and the AltStreet ledger, not from the issuer's marketing.
What is P97 Holdings, Inc.?
P97 Holdings, Inc. is a Delaware corporation that filed a Form D with the SEC on April 5, 2023 in the Other Technology industry group. The filing claims Rule 506(b) for an offering of equity.
Is P97 Holdings, Inc. legit?
AltStreet does not rate legitimacy; it reports the public record. P97 Holdings, Inc. filed a Form D with the SEC on April 5, 2023 claiming Rule 506(b). A Form D is a notice of an exempt offering, not a review or approval of it. The newest notice reports $40,661,289 sold to 19 investors. AltStreet's enforcement record (SEC, FINRA and state actions) shows no action naming the issuer as of today. Before investing, confirm the filing on EDGAR, check the seller's registration on FINRA BrokerCheck, and read the offering documents, which a Form D does not include.
Is P97 Holdings, Inc. registered with or approved by the SEC?
No. A Form D is a notice that an issuer is selling securities under an exemption from registration, and the SEC does not review, approve, or pass on the merits of the offering. The filing shows that P97 Holdings, Inc. claimed Rule 506(b) and disclosed the items the form requires, such as the amount sold, the minimum investment, related persons, and anyone paid to sell the securities. It does not verify the issuer's claims or its business.
How much has P97 Holdings, Inc. raised?
P97 Holdings, Inc. reported $40,661,289 sold from 19 investors of a $40,661,289 total offering as of the Form D filed April 5, 2023.
Who can invest in P97 Holdings, Inc.?
The offering relies on Rule 506(b), which permits sales to accredited investors and to no more than 35 non-accredited investors who meet a sophistication standard, and prohibits general solicitation. The filing reports no non-accredited investors. The filing lists the minimum investment as $0, meaning no minimum was stated.
What is the minimum investment in P97 Holdings, Inc.?
The Form D lists the minimum investment as $0, which means the issuer did not state a minimum on the form. The offering documents, not the Form D, set the actual subscription terms.
Who is selling P97 Holdings, Inc. and how are they paid?
The Form D names Pharus Securities, LLC (CRD 148002), associated with None as the recipient of sales compensation soliciting in CA, CO, CT, DC, FL, GA, ID, IL, LA, MA, MD, MI, MN, MT, NJ, NV, NY, PA, TX, UT, VA, WA, WI.
Who is behind P97 Holdings, Inc.?
The Form D lists 15 related persons: Donald Frieden, executive officer, director (Chief Executive Officer, President, & Member of the Board); Steve Moses, executive officer (Head of HR, Security & Compliance); Sharon Brown, executive officer (VP Finance & Corporate Secretary); Bryan Olivier, executive officer (Chief Operating Officer); Kevin Halloran, executive officer (General Counsel); Saurabh Choudhary, executive officer (Head of Engineering); David Nichamoff, executive officer (Head of Product); Ignatius Leonards, director (Member of the Board), and 7 more. Form D Item 3 requires executive officers, directors, and promoters of the issuer to be listed.
Where is P97 Holdings, Inc. located?
The issuer's address on its SEC filings is 2050 W Sam Houston Pkwy S, #900, Houston, TX 77042. Its phone number of record is 713 588 4205. It is organized under the laws of Delaware.
How long is the P97 Holdings, Inc. offering open?
The issuer indicated that the offering is not intended to last more than one year. An issuer must amend its Form D annually while a continuing offering stays open, and no amendment is on record yet.
What is P97 Holdings, Inc.'s revenue?
The issuer declined to disclose its revenue range on the Form D, which the form permits.
Is this your company or fund?
Free claim: add your contact details, website, team and a description to this page. The filed facts stay as filed.
Verified Issuer, $480 a year: AltStreet checks the identity of your company and the authority of the person claiming it against your filings, confirms your contact details on a stated date and again at each renewal, and marks the page so people researching you find a current, attributed profile beside the public filing record. It is not a review of any offering.
Data Methodology
Capital raise figures, investor counts, and filing dates are sourced directly from SEC EDGAR Form D primary documents via the SEC EDGAR submissions API and full-text search index. EDGAR entity profiles and deal-level data are reviewed by AltStreet analysts with backgrounds in corporate finance and securities law — cross-referenced against offering circulars, audited financial statements, and primary regulatory filings before publication. Platform-provided information, where present, is clearly labeled and does not affect EDGAR data or AltStreet editorial coverage. Platforms may request factual corrections for demonstrable inaccuracies by contacting [email protected]. This page does not constitute investment advice.