Soleus Capital LP

08/07/2026 | Press release | Distributed by Public on 08/07/2026 14:49

Amendment to Notice of Sales of Unregistered Securities (Form D/A)

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM D

Notice of Exempt Offering of Securities

OMB APPROVAL
OMB Number: 3235-0076
Estimated average burden
hours per response: 4.00

1. Issuer's Identity

CIK (Filer ID Number) Previous Names
X None
Entity Type
0001752361
Corporation
X Limited Partnership
Limited Liability Company
General Partnership
Business Trust
Other (Specify)

Name of Issuer
Soleus Capital, L.P.
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
X Over Five Years Ago
Within Last Five Years (Specify Year)
Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
Soleus Capital, L.P.
Street Address 1 Street Address 2
C/O SOLEUS CAPITAL, LLC 100 FIELD POINT ROAD, SUITE 200
City State/Province/Country ZIP/PostalCode Phone Number of Issuer
GREENWICH CONNECTICUT 06830 475-208-3178

3. Related Persons

Last Name First Name Middle Name
Soleus Capital, LLC N/A
Street Address 1 Street Address 2
100 Field Point Road Suite 200
City State/Province/Country ZIP/PostalCode
Greenwich CONNECTICUT 06830
Relationship: X Executive Officer Director X Promoter

Clarification of Response (if Necessary):

The General Partner of the Issuer.
Last Name First Name Middle Name
Soleus Capital Management, L.P. N/A
Street Address 1 Street Address 2
100 FIELD POINT ROAD Suite 200
City State/Province/Country ZIP/PostalCode
Greenwich CONNECTICUT 06830
Relationship: Executive Officer Director X Promoter

Clarification of Response (if Necessary):

The Investor Manager of the Issuer.
Last Name First Name Middle Name
Levy Guy
Street Address 1 Street Address 2
100 FIELD POINT ROAD Suite 200
City State/Province/Country ZIP/PostalCode
Greenwich CONNECTICUT 06830
Relationship: X Executive Officer Director X Promoter

Clarification of Response (if Necessary):

Mr. Levy is the Chief Executive Officer and Chief Investment Officer of both the General Partner and the Investment Manager of the Issuer.
Last Name First Name Middle Name
Musumeci Steven J.
Street Address 1 Street Address 2
100 FIELD POINT ROAD Suite 200
City State/Province/Country ZIP/PostalCode
Greenwich CONNECTICUT 06830
Relationship: X Executive Officer Director X Promoter

Clarification of Response (if Necessary):

Mr. Musumeci is the Chief Operating Officer of both the General Partner and the Investment Manager Company of the Issuer.

4. Industry Group

Agriculture
Banking & Financial Services
Commercial Banking
Insurance
Investing
Investment Banking
X Pooled Investment Fund
X Hedge Fund
Private Equity Fund
Venture Capital Fund
Other Investment Fund
Is the issuer registered as
an investment company under
the Investment Company
Act of 1940?
Yes X No
Other Banking & Financial Services
Business Services
Energy
Coal Mining
Electric Utilities
Energy Conservation
Environmental Services
Oil & Gas
Other Energy
Health Care
Biotechnology
Health Insurance
Hospitals & Physicians
Pharmaceuticals
Other Health Care
Manufacturing
Real Estate
Commercial
Construction
REITS & Finance
Residential
Other Real Estate
Retailing
Restaurants
Technology
Computers
Telecommunications
Other Technology
Travel
Airlines & Airports
Lodging & Conventions
Tourism & Travel Services
Other Travel
Other

5. Issuer Size

Revenue Range OR Aggregate Net Asset Value Range
No Revenues No Aggregate Net Asset Value
$1 - $1,000,000 $1 - $5,000,000
$1,000,001 - $5,000,000 $5,000,001 - $25,000,000
$5,000,001 - $25,000,000 $25,000,001 - $50,000,000
$25,000,001 - $100,000,000 $50,000,001 - $100,000,000
Over $100,000,000 Over $100,000,000
Decline to Disclose X Decline to Disclose
Not Applicable Not Applicable

6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)

Rule 504(b)(1) (not (i), (ii) or (iii))
Rule 504 (b)(1)(i)
Rule 504 (b)(1)(ii)
Rule 504 (b)(1)(iii)
X Rule 506(b)
Rule 506(c)
Securities Act Section 4(a)(5)
X Investment Company Act Section 3(c)
Section 3(c)(1) Section 3(c)(9)
Section 3(c)(2) Section 3(c)(10)
Section 3(c)(3) Section 3(c)(11)
Section 3(c)(4) Section 3(c)(12)
Section 3(c)(5) Section 3(c)(13)
Section 3(c)(6) Section 3(c)(14)
X Section 3(c)(7)

7. Type of Filing

New Notice Date of First Sale 2018-09-17 First Sale Yet to Occur
X Amendment

8. Duration of Offering

Does the Issuer intend this offering to last more than one year?
X Yes No

9. Type(s) of Securities Offered (select all that apply)

Equity X Pooled Investment Fund Interests
Debt Tenant-in-Common Securities
Option, Warrant or Other Right to Acquire Another Security Mineral Property Securities
Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security X Other (describe)
Limited Partnership Interests. The minimum initial investment of $5,000,000 and the minimum additional investment of $1,000,000 are subject to the sole discretion of the General Partner to accept lesser amounts.

10. Business Combination Transaction

Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer?
Yes X No

Clarification of Response (if Necessary):

11. Minimum Investment

Minimum investment accepted from any outside investor $0 USD

12. Sales Compensation

Recipient
Recipient CRD Number X None
None None
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
Jeffreries LLC 2347
Street Address 1 Street Address 2
520 Madison Avenue
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10022
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
X All States
Foreign/non-US
Recipient
Recipient CRD Number X None
None None
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
Wells Fargo Advisors Financial Network, LLC 11025
Street Address 1 Street Address 2
One North Jefferson Avenue Mail Code H0004-05B
City State/Province/Country ZIP/Postal Code
St. Louis MISSOURI 63103
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
X All States
Foreign/non-US
Recipient
Recipient CRD Number X None
None None
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
Well Fargo Clearing Services, LLC 19616
Street Address 1 Street Address 2
One North Jefferson Avenue Mail Code H0004-063
City State/Province/Country ZIP/Postal Code
St. Louis MISSOURI 3103
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
X All States
Foreign/non-US
Recipient
Recipient CRD Number X None
None None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
Hollister Associates None
Street Address 1 Street Address 2
257 River Oak Drive
City State/Province/Country ZIP/Postal Code
Mt. Pleasant SOUTH CAROLINA 29464
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
FLORIDA
HAWAII
MICHIGAN
MONTANA
NEW JERSEY
NEW YORK
OKLAHOMA
OREGON
SOUTH CAROLINA
TENNESSEE
TEXAS
WYOMING
Recipient
Recipient CRD Number X None
None None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
Award Capital Adviosry Ltd. None
Street Address 1 Street Address 2
15 Welbeck Street
City State/Province/Country ZIP/Postal Code
London UNITED KINGDOM W1G 9XF
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
X Foreign/non-US
Recipient
Recipient CRD Number None
Morgan Stanley Smith Barney LLC 149777
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
2000 Westchester Avenue
City State/Province/Country ZIP/Postal Code
Purchase NEW YORK 10577-2530
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
X All States
Foreign/non-US

13. Offering and Sales Amounts

Total Offering Amount USD
or X Indefinite
Total Amount Sold $666,742,185 USD
Total Remaining to be Sold USD
or X Indefinite

Clarification of Response (if Necessary):

The total amount sold and the number of investors do not take withdrawals into consideration.

14. Investors

Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering.
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering:
515

15. Sales Commissions & Finder's Fees Expenses

Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.

Sales Commissions $1,257,856 USD
Estimate
Finders' Fees $0 USD
Estimate

Clarification of Response (if Necessary):

The persons names in Item 12 are engaged as placement agents for the Issuer's securities.

16. Use of Proceeds

Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.

$0 USD
X Estimate

Clarification of Response (if Necessary):

Certain persons names in Item 3 or affiliates thereof may receive payments deemed to be made from the proceeds of the offering, including management fees. The amounts of such fees cannot be estimated at this time.

Signature and Submission

Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.

Terms of Submission

In submitting this notice, each issuer named above is:
  • Notifying the SEC and/or each State in which this notice is filed of the offering of securities described and undertaking to furnish them, upon written request, in the accordance with applicable law, the information furnished to offerees.*
  • Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator or other legally designated officer of the State in which the issuer maintains its principal place of business and any State in which this notice is filed, as its agents for service of process, and agreeing that these persons may accept service on its behalf, of any notice, process or pleading, and further agreeing that such service may be made by registered or certified mail, in any Federal or state action, administrative proceeding, or arbitration brought against the issuer in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in connection with the offering of securities that is the subject of this notice, and (b) is founded, directly or indirectly, upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii) the laws of the State in which the issuer maintains its principal place of business or any State in which this notice is filed.
  • Certifying that, if the issuer is claiming a Regulation D exemption for the offering, the issuer is not disqualified from relying on Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) or Rule 506(d).

Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.

For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.

Issuer Signature Name of Signer Title Date
Soleus Capital, L.P. /s/ Steven J. Musumeci Steven J. Musumeci Chief Operating Officer of the General Partner 2026-08-07

Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.

* This undertaking does not affect any limits Section 102(a) of the National Securities Markets Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to require information. As a result, if the securities that are the subject of this Form D are "covered securities" for purposes of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot routinely require offering materials under this undertaking or otherwise and can require offering materials only to the extent NSMIA permits them to do so under NSMIA's preservation of their anti-fraud authority.

Soleus Capital LP published this content on August 07, 2026, and is solely responsible for the information contained herein. Distributed via EDGAR on August 07, 2026 at 20:49 UTC. If you believe the information included in the content is inaccurate or outdated and requires editing or removal, please contact us at [email protected]