Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
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
Hillview Special Opportunities Fund, 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 0001175850 Filed Document 0001175850-13-000002 Exclusions or Exemptions 506c Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business PENNSYLVANIA Revenue or Assets $$5,000,001 - $25,000,000 Type of Security Pooled Investment Fund
HILLVIEW GLOBAL ALPHA FUND OFFSHORE LTD See All Filings	D/A	2013-10-08 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001348299 Filed Document 0001348299-13-000001 Exclusions or Exemptions 506c Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CAYMAN ISLANDS Revenue or Assets $$5,000,001 - $25,000,000 Type of Security Pooled Investment Fund
HARVEST NATURAL RESOURCES, INC. See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised $1,928,000 Associated Brokers / Dealers N/A CIK Number 0000845289 Filed Document 0001209191-13-047708 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 $No Revenues Type of Security Equity
Bourbon & Boots, Inc. See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised $350,000 Associated Brokers / Dealers N/A CIK Number 0001568699 Filed Document 0001568699-13-000003 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business ARKANSAS Revenue or Assets Decline to Disclose Type of Security Equity
Kineta Three, LLC See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001588696 Filed Document 0001588696-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Biotechnology Principal Place of Business WASHINGTON Revenue or Assets Decline to Disclose Type of Security Equity
AIF VIII Private Investors Offshore, 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 0001588613 Filed Document 0001012975-13-000466 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 CAYMAN ISLANDS Revenue or Assets $Not Applicable Type of Security Pooled Investment Fund
Hillview Special Opportunities Fund, LP See All Filings	D/A	2013-10-08 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Hillview Capital Advisors, LLC CIK Number 0001175850 Filed Document 0001175850-13-000001 Exclusions or Exemptions 506c Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business PENNSYLVANIA Revenue or Assets $$5,000,001 - $25,000,000 Type of Security Pooled Investment Fund
OH Lakewood Investor, LLC See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised $10,072,243 Associated Brokers / Dealers N/A CIK Number 0001572936 Filed Document 0001572936-13-000001 Exclusions or Exemptions 506c Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Residential Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Equity
Offline Media, Inc. See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised $60,000 Associated Brokers / Dealers N/A CIK Number 0001588427 Filed Document 0001588427-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business NORTH CAROLINA Revenue or Assets Decline to Disclose Type of Security Equity
Stonelake Opportunity Partners III, L.P. See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised $200,000,000 Associated Brokers / Dealers N/A CIK Number 0001565861 Filed Document 0001565861-13-000002 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 Pooled Investment Fund
P2 Capital Fund, L.P. See All Filings	D/A	2013-10-08 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Not Applicable CIK Number 0001391204 Filed Document 0001181431-13-053453 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
Marcato, L.P. See All Filings	D/A	2013-10-08 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001502801 Filed Document 0000919574-13-005768 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
Marcato International 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 0001502802 Filed Document 0000919574-13-005770 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
HIRTLE CALLAGHAN ABSOLUTE RETURN OFFSHORE FUND II 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 0001351835 Filed Document 0001351835-13-000005 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 PENNSYLVANIA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Capitala Finance Corp. See All Filings	D	2013-10-08 00:00:00 UTC
Amount To Be Raised $179,486,400 Associated Brokers / Dealers N/A CIK Number 0001571329 Filed Document 0001209191-13-047848 Exclusions or Exemptions 506b Accepted Date 2013-10-08 00:00:00 UTC Type of Offering D Industry Investing Principal Place of Business NORTH CAROLINA Revenue or Assets Decline to Disclose Type of Security Equity