October 2026 Form D activity: more initial notices, fewer amendments
Published Nov 1, 2026 · Updated Nov 1, 2026 · Form D Explorer
October's stored Form D filing count was 5,780, compared with 5,667 in September: 113 more submissions (2.0%). Separating original notices from amendments reveals two different movements inside that total.
What changed in the stored submission mix
| Measure | September 2026 | October 2026 | Arithmetic difference |
|---|---|---|---|
| All filings | 5,667 | 5,780 | +2.0% |
| Initial notices | 3,508 | 3,677 | +4.8% |
| Amendments | 2,159 | 2,103 | -2.6% |
| Distinct issuer CIKs | 5,417 | 5,520 | +1.9% |
| Amendment share of filings | 38.1% | 36.4% | -1.7 percentage points |
The net increase combines 169 additional initial notices with 56 fewer amendments. Calling the total a count of new financing rounds would discard that distinction. These differences describe the stored observations; they do not establish increased capital formation or cash received.
Repeated submissions also affect the count
October contains 5,780 accessions from 5,520 CIKs, a gap of 260. Exactly 204 CIKs have more than one stored filing that month. The gap is not the number of repeat issuers: an issuer can contribute three or more submissions. Nor can either number identify distinct offerings without reviewing the underlying notices.
For concrete source checks, BigHat Biosciences accession 0001231919-26-001499 is an October 26 initial D, while Tenora Studios accession 0001213900-26-114364 is an October 30 D/A. Their primary XML submission types were checked directly. They illustrate different record types inside the count, not a relationship between the issuers.
How to use the result
Use the live monthly report to separate notice types before comparing periods, then compare categories using the same dates. Preserve accessions when investigating repeated issuers. Distinct CIK counts should be calculated across the desired period rather than added across months.
Scope and reproduction
This note uses a frozen production snapshot captured 2026-11-01T20:05:09.641805+00:00. October means filing dates October 1–31, 2026; September means September 1–30. The database's latest available filing date at capture was October 30. A completed calendar month is not a certification of complete SEC coverage. Counts may differ from the live tools after later imports or corrections.
The unit is a unique stored accession with a nonblank issuer name. Issuers are distinct stored CIKs, not brands, offerings or fund families. A record is an amendment when the submission type is D/A or its extracted amendment flag is true. Missing or negative financial fields are unavailable; zero remains a numeric observation. No offered or sold amounts are summed.
Download the exact aggregate snapshot and definitions. The deterministic calculation is month_snapshot in filings/research_publication.py in the public source repository. See coverage, methodology, and corrections for limitations and feedback.