Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
MacKay Shields High Yield Active Core Fund LP See All Filings	D/A	2013-10-08 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Kirk Kashevaroff, Therese Hernandez, and Jeffrey Anderson CIK Number 0001502130 Filed Document 0001181431-13-053253 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity
Goldeneye Ventures LLC See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised $400,000 Associated Brokers / Dealers N/A CIK Number 0001588660 Filed Document 0001588660-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business CALIFORNIA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
2013-1 Blumhouse Fund Series, a series of PubVest Fund Complex, LP See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised $150,000 Associated Brokers / Dealers N/A CIK Number 0001580214 Filed Document 0001580214-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
FAIRWAY BREEZE, LLC See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised $6,483,586 Associated Brokers / Dealers NONE CIK Number 0001588423 Filed Document 0001588423-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Residential Principal Place of Business OHIO Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Iris Mobile Corp See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised $485,295 Associated Brokers / Dealers N/A CIK Number 0001586261 Filed Document 0001586261-13-000001 Exclusions or Exemptions 504 and 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Telecommunications Principal Place of Business ILLINOIS Revenue or Assets Decline to Disclose Type of Security Equity
enimai, Inc. See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised $2,500,000 Associated Brokers / Dealers N/A CIK Number 0001588690 Filed Document 0001588690-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Bridgeline Digital, Inc. See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised $2,000,000 Associated Brokers / Dealers Taglich Brothers Inc CIK Number 0001378590 Filed Document 0001567353-13-000002 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Debt
ENGAGED CAPITAL I LP See All Filings	D/A	2013-10-08 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001559851 Filed Document 0001144204-13-054649 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Engaged Capital I Offshore Ltd See All Filings	D/A	2013-10-08 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001559940 Filed Document 0001144204-13-054651 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Cypress Capital Master, LP See All Filings	D/A	2013-10-08 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001545269 Filed Document 0001545269-13-000002 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
INTEGRA HEALTH MANAGEMENT INC See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Not applicable CIK Number 0001445484 Filed Document 0001445484-13-000004 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Other Health Care Principal Place of Business MARYLAND Revenue or Assets $$1,000,001 - $5,000,000 Type of Security Equity
ANAPTYSBIO INC See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised $6,250,000 Associated Brokers / Dealers N/A CIK Number 0001370053 Filed Document 0001370053-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Pharmaceuticals Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Debt
Dysonics Corp See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised $1,000,000 Associated Brokers / Dealers N/A CIK Number 0001547477 Filed Document 0001586906-13-000002 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
TriMed Equipment, L.P. See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised $4,950,000 Associated Brokers / Dealers N/A CIK Number 0001588492 Filed Document 0001588492-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Commercial Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
LF George Holdings, Inc. See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised $165,000 Associated Brokers / Dealers N/A CIK Number 0001580676 Filed Document 0001580676-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Other Real Estate Principal Place of Business CALIFORNIA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
CALHOUN VISION INC See All Filings	D/A	2013-10-08 00:00:00 UTC
Amount To Be Raised $20,000,000 Associated Brokers / Dealers Brockett Tamny & Co. Incorporated CIK Number 0001111485 Filed Document 0001140361-13-038165 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D/A Industry Other Technology Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Zarbee's, Inc See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised $2,200,000 Associated Brokers / Dealers N/A CIK Number 0001524690 Filed Document 0001524690-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Other Health Care Principal Place of Business UTAH Revenue or Assets Decline to Disclose Type of Security Debt
PLATINUM ENERGY SOLUTIONS, INC. See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised $89,300,000 Associated Brokers / Dealers N/A CIK Number 0001503636 Filed Document 0001503636-13-000013 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Oil and Gas Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Debt
FVP International Feeder Fund L.P. See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001588404 Filed Document 0001588404-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Investing Principal Place of Business CAYMAN ISLANDS Revenue or Assets Decline to Disclose Type of Security Equity
MCCARTHY INVESTMENT COMPANY, LLC See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001586327 Filed Document 0001586327-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business MISSOURI Revenue or Assets Decline to Disclose Type of Security Other
Tolera Therapeutics Inc See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001451072 Filed Document 0001451072-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Pharmaceuticals Principal Place of Business MICHIGAN Revenue or Assets Decline to Disclose Type of Security Debt
WOODLANDS FINANCIAL SERVICES INC See All Filings	D/A	2013-10-08 00:00:00 UTC
Amount To Be Raised $9,567,000 Associated Brokers / Dealers CHRIS MOSS, ROBERT TELFORD, MORRIS MONROE, LAURA HENDRICKS, JIM HARRIS, and DAVID VAUGHAN CIK Number 0000915832 Filed Document 0000915832-13-000004 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D/A Industry Other Principal Place of Business TEXAS Revenue or Assets $$5,000,001 - $25,000,000 Type of Security Debt
MacKay Shields Core Plus / Opportunities Fund LP See All Filings	D/A	2013-10-08 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Jeffrey Anderson CIK Number 0001502131 Filed Document 0001181431-13-053254 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity
TRIMAST REAL ESTATE FUND, L.P. See All Filings	D/A	2013-10-08 00:00:00 UTC
Amount To Be Raised $25,000,000 Associated Brokers / Dealers N/A CIK Number 0001559889 Filed Document 0001559889-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D/A Industry Residential Principal Place of Business FLORIDA Revenue or Assets Decline to Disclose Type of Security Equity
ENGAGED CAPITAL II LP See All Filings	D/A	2013-10-08 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001559850 Filed Document 0001144204-13-054650 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
WhoPlusYou Inc. See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised $356,148 Associated Brokers / Dealers N/A CIK Number 0001547360 Filed Document 0001547360-13-000002 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business ONTARIO, CANADA Revenue or Assets Decline to Disclose Type of Security Debt
ASPEN GROUP, INC. See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised $2,240,000 Associated Brokers / Dealers Laidlaw & Company (UK) Ltd. CIK Number 0001487198 Filed Document 0001553350-13-000757 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business COLORADO Revenue or Assets $$5,000,001 - $25,000,000 Type of Security Debt
Stellus Capital Energy (XCXP) Fund, LP See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001588232 Filed Document 0001588232-13-000003 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
Burl Capital Offshore Fund Ltd See All Filings	D/A	2013-10-08 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Race Rock Capital LLC CIK Number 0001385960 Filed Document 0001385960-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Iris Mobile Corp See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised $30,000,006 Associated Brokers / Dealers N/A CIK Number 0001586261 Filed Document 0001586261-13-000002 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Telecommunications Principal Place of Business ILLINOIS Revenue or Assets Decline to Disclose Type of Security Equity
Mamma Mia Las Vegas Limited Partnership See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised $5,500,000 Associated Brokers / Dealers N/A CIK Number 0001588713 Filed Document 0001588713-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business NEW YORK Revenue or Assets $$5,000,001 - $25,000,000 Type of Security Other
Cryoport, Inc. See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised $4,127,202 Associated Brokers / Dealers Emergent Financial Group, Inc. CIK Number 0001124524 Filed Document 0001144204-13-054814 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Biotechnology Principal Place of Business CALIFORNIA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Franklin Financial Network Inc. See All Filings	D/A	2013-10-08 00:00:00 UTC
Amount To Be Raised $15,000,011 Associated Brokers / Dealers Raymond James & Associates, Inc. CIK Number 0001407067 Filed Document 0001407067-13-000002 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D/A Industry Commercial Banking Principal Place of Business TENNESSEE Revenue or Assets Decline to Disclose Type of Security Equity
ZERONINES TECHNOLOGY INC See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised $3,000,000 Associated Brokers / Dealers N/A CIK Number 0001163941 Filed Document 0001163941-13-000003 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business COLORADO Revenue or Assets Decline to Disclose Type of Security Equity
BizBrag, Inc. See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised $600,000 Associated Brokers / Dealers N/A CIK Number 0001511912 Filed Document 0001511912-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business MARYLAND Revenue or Assets Decline to Disclose Type of Security Debt
City Notes, Inc. See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised $800,000 Associated Brokers / Dealers N/A CIK Number 0001564834 Filed Document 0001564834-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Debt
Civic Science Inc. See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised $1,200,000 Associated Brokers / Dealers N/A CIK Number 0001514755 Filed Document 0001514755-13-000002 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business PENNSYLVANIA Revenue or Assets Decline to Disclose Type of Security Equity
Beach Point Dynamic Income Fund LP See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001588148 Filed Document 0001588148-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
ST CLOUD OUTPATIENT SURGERY LTD See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised $1,495,937 Associated Brokers / Dealers NA CIK Number 0001173371 Filed Document 0001173371-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Other Health Care Principal Place of Business MINNESOTA Revenue or Assets Decline to Disclose Type of Security Equity
Personalis, Inc. See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised $22,077,923 Associated Brokers / Dealers N/A CIK Number 0001527753 Filed Document 0001527753-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Biotechnology Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Stranded Solutions LLC See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised $750,000 Associated Brokers / Dealers N/A CIK Number 0001588578 Filed Document 0001588578-13-000001 Exclusions or Exemptions 506c Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Oil and Gas Principal Place of Business MICHIGAN Revenue or Assets Decline to Disclose Type of Security Equity
Rinovum Women's Health, Inc. See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised $5,000,000 Associated Brokers / Dealers N/A CIK Number 0001504276 Filed Document 0001504276-13-000003 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Other Health Care Principal Place of Business PENNSYLVANIA Revenue or Assets Decline to Disclose Type of Security Equity
Diego Pellicer Worldwide Inc. See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised $10,000,000 Associated Brokers / Dealers N/A CIK Number 0001588358 Filed Document 0001588358-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Commercial Principal Place of Business OREGON Revenue or Assets Decline to Disclose Type of Security Equity
SKB-CW Investors, LLC See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised $2,290,000 Associated Brokers / Dealers SKB Securities, LLC and Robert R. Walker, Jr. CIK Number 0001586202 Filed Document 0001586202-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Commercial Principal Place of Business OREGON Revenue or Assets $Not Applicable Type of Security Equity
Stellus XCXP/BLC, LP See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001588231 Filed Document 0001588232-13-000002 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
Imimtek, Inc. See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised $5,155,795 Associated Brokers / Dealers N/A CIK Number 0001543943 Filed Document 0001543943-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
MacKay Shields Defensive Bond Arbitrage Fund Ltd. See All Filings	D/A	2013-10-08 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Not applicable CIK Number 0001502133 Filed Document 0001181431-13-053250 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business BERMUDA Revenue or Assets Decline to Disclose Type of Security Equity
AIF VIII Private Investors, LLC See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001588533 Filed Document 0001012975-13-000465 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets $Not Applicable Type of Security Pooled Investment Fund
Nolen Hotel Investment LLC See All Filings	D/A	2013-10-08 00:00:00 UTC
Amount To Be Raised $4,160,000 Associated Brokers / Dealers N/A CIK Number 0001576820 Filed Document 0001576820-13-000002 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D/A Industry Lodging and Conventions Principal Place of Business WISCONSIN Revenue or Assets Decline to Disclose Type of Security Equity
Food Collective, Inc. See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001493065 Filed Document 0001493065-13-000002 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Debt