Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
A-VZK-16-Fund, a series of Survival Economics Companies Investments, LLC See All Filings	D	2017-06-21 15:17:59 UTC
Amount To Be Raised $85,500 Associated Brokers / Dealers N/A CIK Number 0001705568 Filed Document 0001705568-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-06-21 15:17:59 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business UTAH Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
A-AMN-36-Fund, a series of AngelList-GP-Funds, LLC See All Filings	D	2017-06-21 15:16:05 UTC
Amount To Be Raised $151,208 Associated Brokers / Dealers N/A CIK Number 0001707997 Filed Document 0001707997-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-06-21 15:16:05 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business UTAH Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
GMO MULTI-STRATEGY FUND (ONSHORE), A SERIES OF GMO MASTER PORTFOLIOS (ONSHORE), L.P. See All Filings	D/A	2017-06-21 15:15:30 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001274514 Filed Document 0001274514-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-06-21 15:15:30 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
A-JLQ-15-Fund, a series of AX-StoRes-Funds, LLC See All Filings	D	2017-06-21 15:14:24 UTC
Amount To Be Raised $210,128 Associated Brokers / Dealers N/A CIK Number 0001706825 Filed Document 0001706825-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-06-21 15:14:24 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business UTAH Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
GMO MULTI-STRATEGY FUND (ONSHORE), LLC See All Filings	D/A	2017-06-21 15:12:45 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001358769 Filed Document 0001358769-17-000002 Exclusions or Exemptions 506b Accepted Date 2017-06-21 15:12:45 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
A-XEM-12-Fund, a series of AngelList-CS-Funds, LLC See All Filings	D	2017-06-21 15:12:31 UTC
Amount To Be Raised $89,600 Associated Brokers / Dealers N/A CIK Number 0001706821 Filed Document 0001706821-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-06-21 15:12:31 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business UTAH Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
A-SVE-16-Fund, a series of AngelList-BaRs-Funds, LLC See All Filings	D	2017-06-21 15:10:07 UTC
Amount To Be Raised $195,068 Associated Brokers / Dealers N/A CIK Number 0001704575 Filed Document 0001704575-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-06-21 15:10:07 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business UTAH Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
GMO EMERGING COUNTRY DEBT, L.P. See All Filings	D/A	2017-06-21 15:10:05 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001011257 Filed Document 0001011257-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-06-21 15:10:05 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
GMO TAX-MANAGED GLOBAL BALANCED PORTFOLIO, A SERIES OF GMO MASTER PORTFOLIOS (ONSHORE), L.P. See All Filings	D/A	2017-06-21 15:08:13 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001221536 Filed Document 0001221536-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-06-21 15:08:13 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
Tamarack Aerospace Group, Inc. See All Filings	D	2017-06-21 15:08:12 UTC
Amount To Be Raised $10,000,000 Associated Brokers / Dealers N/A CIK Number 0001507045 Filed Document 0001507045-17-000002 Exclusions or Exemptions 506b Accepted Date 2017-06-21 15:08:12 UTC Type of Offering D Industry Other Technology Principal Place of Business IDAHO Revenue or Assets Decline to Disclose Type of Security Equity
GMO FIXED INCOME HEDGE FUND (ONSHORE), A SERIES OF GMO MASTER PORTFOLIOS (ONSHORE), L.P. See All Filings	D/A	2017-06-21 15:02:57 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001461011 Filed Document 0001461011-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-06-21 15:02:57 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
ACP Special Opportunity Fund LLC See All Filings	D/A	2017-06-21 15:00:34 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers American Capital Partners LLC CIK Number 0001704603 Filed Document 0001144204-17-033415 Exclusions or Exemptions 506b Accepted Date 2017-06-21 15:00:34 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 Pooled Investment Fund
Franklyn MPLS, LLC See All Filings	D	2017-06-21 14:59:47 UTC
Amount To Be Raised $3,145,505 Associated Brokers / Dealers N/A CIK Number 0001709786 Filed Document 0001709786-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-06-21 14:59:47 UTC Type of Offering D Industry Residential Principal Place of Business MINNESOTA Revenue or Assets Decline to Disclose Type of Security Equity
MalarVx, Inc. See All Filings	D/A	2017-06-21 14:53:48 UTC
Amount To Be Raised $1,500,000 Associated Brokers / Dealers James W Davie CIK Number 0001559688 Filed Document 0001559688-17-000002 Exclusions or Exemptions 506b Accepted Date 2017-06-21 14:53:48 UTC Type of Offering D/A Industry Biotechnology Principal Place of Business WASHINGTON Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Grand Rapids - Market Avenue Place, LLC See All Filings	D	2017-06-21 14:36:30 UTC
Amount To Be Raised $8,700,000 Associated Brokers / Dealers N/A CIK Number 0001648109 Filed Document 0001648109-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-06-21 14:36:30 UTC Type of Offering D Industry Commercial Principal Place of Business MICHIGAN Revenue or Assets Decline to Disclose Type of Security Equity
ACS Acquisitions, Inc. See All Filings	D	2017-06-21 14:34:57 UTC
Amount To Be Raised $23,833,343 Associated Brokers / Dealers N/A CIK Number 0001708719 Filed Document 0001708719-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-06-21 14:34:57 UTC Type of Offering D Industry Other Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Strategic Energy Income Fund V LP See All Filings	D/A	2017-06-21 14:34:04 UTC
Amount To Be Raised $50,000,000 Associated Brokers / Dealers N/A CIK Number 0001699602 Filed Document 0001699602-17-000003 Exclusions or Exemptions 506b Accepted Date 2017-06-21 14:34:04 UTC Type of Offering D/A Industry Oil and Gas Principal Place of Business NEW YORK Revenue or Assets $No Revenues Type of Security Equity
Pumpkin Carriage, L.P. See All Filings	D	2017-06-21 14:30:55 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001709838 Filed Document 0001709838-17-000002 Exclusions or Exemptions 506b Accepted Date 2017-06-21 14:30:55 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business CAYMAN ISLANDS Revenue or Assets Decline to Disclose Type of Security Equity
Choice Pet Venture LLC See All Filings	D	2017-06-21 14:29:36 UTC
Amount To Be Raised $3,500,000 Associated Brokers / Dealers N/A CIK Number 0001601365 Filed Document 0001601365-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-06-21 14:29:36 UTC Type of Offering D Industry Other Principal Place of Business CONNECTICUT Revenue or Assets $No Revenues Type of Security Equity
Entegra Capital LLC See All Filings	D	2017-06-21 14:28:23 UTC
Amount To Be Raised $7,000,000 Associated Brokers / Dealers N/A CIK Number 0001679321 Filed Document 0001679321-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-06-21 14:28:23 UTC Type of Offering D Industry Other Banking and Financial Services Principal Place of Business KANSAS Revenue or Assets Decline to Disclose Type of Security Equity
Sunset Digital Communications, Inc. See All Filings	D/A	2017-06-21 14:28:15 UTC
Amount To Be Raised $1,200,000 Associated Brokers / Dealers N/A CIK Number 0001673730 Filed Document 0001673730-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-06-21 14:28:15 UTC Type of Offering D/A Industry Telecommunications Principal Place of Business VIRGINIA Revenue or Assets Decline to Disclose Type of Security Debt
Onspira Therapeutics, Inc. See All Filings	D	2017-06-21 14:26:35 UTC
Amount To Be Raised $1,000,000 Associated Brokers / Dealers N/A CIK Number 0001709961 Filed Document 0001709961-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-06-21 14:26:35 UTC Type of Offering D Industry Pharmaceuticals Principal Place of Business PENNSYLVANIA Revenue or Assets Decline to Disclose Type of Security Debt
Farmers Co-operative Mill & Elevator Association See All Filings	D	2017-06-21 14:24:53 UTC
Amount To Be Raised $1,000,000 Associated Brokers / Dealers N/A CIK Number 0001708814 Filed Document 0001708814-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-06-21 14:24:53 UTC Type of Offering D Industry Agriculture Principal Place of Business OKLAHOMA Revenue or Assets $$5,000,001 - $25,000,000 Type of Security Equity
Hilltop 17 Fund, LLC See All Filings	D	2017-06-21 14:15:48 UTC
Amount To Be Raised $5,000,000 Associated Brokers / Dealers N/A CIK Number 0001709784 Filed Document 0001709820-17-000002 Exclusions or Exemptions 506b Accepted Date 2017-06-21 14:15:48 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business TEXAS Revenue or Assets $No Revenues Type of Security Pooled Investment Fund
LRF The Hunted LLC See All Filings	D	2017-06-21 14:14:29 UTC
Amount To Be Raised $143,200 Associated Brokers / Dealers N/A CIK Number 0001709860 Filed Document 0001709960-17-000002 Exclusions or Exemptions 506b Accepted Date 2017-06-21 14:14:29 UTC Type of Offering D Industry Business Services Principal Place of Business CALIFORNIA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Grazeninamerica, LLC See All Filings	D	2017-06-21 14:10:31 UTC
Amount To Be Raised $79,800 Associated Brokers / Dealers N/A CIK Number 0001709960 Filed Document 0001709960-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-06-21 14:10:31 UTC Type of Offering D Industry Business Services Principal Place of Business CALIFORNIA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
ASF Cruise Co-Invest B L.P. See All Filings	D	2017-06-21 13:50:53 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001708575 Filed Document 0001708575-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-06-21 13:50:53 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business JERSEY Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Loadsmart, Inc. See All Filings	D	2017-06-21 13:45:24 UTC
Amount To Be Raised $10,100,000 Associated Brokers / Dealers N/A CIK Number 0001628607 Filed Document 0001628607-17-000003 Exclusions or Exemptions 506b Accepted Date 2017-06-21 13:45:24 UTC Type of Offering D Industry Other Technology Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Debt
Millionaires Fund #11, LLC See All Filings	D	2017-06-21 13:34:16 UTC
Amount To Be Raised $5,000,000 Associated Brokers / Dealers N/A CIK Number 0001709820 Filed Document 0001709820-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-06-21 13:34:16 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business TEXAS Revenue or Assets $No Revenues Type of Security Pooled Investment Fund
Landmark SPE, LLC See All Filings	D	2017-06-21 13:21:55 UTC
Amount To Be Raised $15,000,000 Associated Brokers / Dealers N/A CIK Number 0001709952 Filed Document 0001709952-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-06-21 13:21:55 UTC Type of Offering D Industry Other Real Estate Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Western Highland Fund II LLC See All Filings	D	2017-06-21 13:14:07 UTC
Amount To Be Raised $100,000,000 Associated Brokers / Dealers N/A CIK Number 0001522784 Filed Document 0001522784-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-06-21 13:14:07 UTC Type of Offering D Industry Investing Principal Place of Business NEVADA Revenue or Assets $$5,000,001 - $25,000,000 Type of Security Equity
ADAPTIVE INSIGHTS INC See All Filings	D	2017-06-21 13:05:18 UTC
Amount To Be Raised $1,117,910 Associated Brokers / Dealers N/A CIK Number 0001278150 Filed Document 0001278150-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-06-21 13:05:18 UTC Type of Offering D Industry Other Technology Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Option To Acquire
Westporte SPE, LLC See All Filings	D	2017-06-21 13:04:35 UTC
Amount To Be Raised $3,500,000 Associated Brokers / Dealers N/A CIK Number 0001709951 Filed Document 0001709951-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-06-21 13:04:35 UTC Type of Offering D Industry Other Real Estate Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Falcon Therapeutics, Inc. See All Filings	D	2017-06-21 13:04:27 UTC
Amount To Be Raised $700,000 Associated Brokers / Dealers N/A CIK Number 0001709056 Filed Document 0001709056-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-06-21 13:04:27 UTC Type of Offering D Industry Biotechnology Principal Place of Business NORTH CAROLINA Revenue or Assets Decline to Disclose Type of Security Equity
DemoChimp, Inc. See All Filings	D	2017-06-21 13:01:48 UTC
Amount To Be Raised $1,000,000 Associated Brokers / Dealers N/A CIK Number 0001661414 Filed Document 0001661414-17-000002 Exclusions or Exemptions 506b Accepted Date 2017-06-21 13:01:48 UTC Type of Offering D Industry Other Technology Principal Place of Business UTAH Revenue or Assets Decline to Disclose Type of Security Debt
Front Range Biosciences, Inc. See All Filings	D	2017-06-21 13:00:04 UTC
Amount To Be Raised $3,000,000 Associated Brokers / Dealers N/A CIK Number 0001689059 Filed Document 0001689059-17-000003 Exclusions or Exemptions 506b Accepted Date 2017-06-21 13:00:04 UTC Type of Offering D Industry Other Principal Place of Business COLORADO Revenue or Assets Decline to Disclose Type of Security Security To Be Acquired
OMNISPACE LLC See All Filings	D	2017-06-21 12:51:53 UTC
Amount To Be Raised $30,000,000 Associated Brokers / Dealers N/A CIK Number 0001667992 Filed Document 0001140361-17-025650 Exclusions or Exemptions 506b Accepted Date 2017-06-21 12:51:53 UTC Type of Offering D Industry Telecommunications Principal Place of Business VIRGINIA Revenue or Assets Decline to Disclose Type of Security Equity
Juniper Canyon Operating, LLC See All Filings	D	2017-06-21 12:43:01 UTC
Amount To Be Raised $1,500,000 Associated Brokers / Dealers N/A CIK Number 0001709964 Filed Document 0001709964-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-06-21 12:43:01 UTC Type of Offering D Industry Commercial Principal Place of Business MONTANA Revenue or Assets Decline to Disclose Type of Security Equity
TCM CRE Credit Fund LP See All Filings	D	2017-06-21 12:40:23 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001709878 Filed Document 0001709878-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-06-21 12:40:23 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
ENERGOLD DRILLING CORP. See All Filings	D	2017-06-21 12:24:07 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001680713 Filed Document 0001144204-17-033394 Exclusions or Exemptions 506b Accepted Date 2017-06-21 12:24:07 UTC Type of Offering D Industry Other Energy Principal Place of Business BRITISH COLUMBIA, CANADA Revenue or Assets $$25,000,001 - $100,000,000 Type of Security Debt
ROCKHAVEN RESOURCES LTD See All Filings	D	2017-06-21 12:21:52 UTC
Amount To Be Raised $1,553,569 Associated Brokers / Dealers N/A CIK Number 0001422532 Filed Document 0001183740-17-000103 Exclusions or Exemptions 506b Accepted Date 2017-06-21 12:21:52 UTC Type of Offering D Industry Other Principal Place of Business BRITISH COLUMBIA, CANADA Revenue or Assets Decline to Disclose Type of Security Equity
Higley Mesa SPE, LLC See All Filings	D	2017-06-21 12:17:49 UTC
Amount To Be Raised $366,000 Associated Brokers / Dealers N/A CIK Number 0001709950 Filed Document 0001709950-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-06-21 12:17:49 UTC Type of Offering D Industry Other Real Estate Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Florida Funders TAO Connect Fund II, LLC See All Filings	D	2017-06-21 12:13:34 UTC
Amount To Be Raised $106,000 Associated Brokers / Dealers N/A CIK Number 0001709156 Filed Document 0001709156-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-06-21 12:13:34 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business FLORIDA Revenue or Assets $Not Applicable Type of Security Pooled Investment Fund
Mewbourne Energy Partners 17-A, L.P. See All Filings	D/A	2017-06-21 12:07:28 UTC
Amount To Be Raised $120,000,000 Associated Brokers / Dealers Arete Wealth Management, LLC, Berthel, Fisher & Company Financial Services, Inc., Calton & Associates, Inc., Concorde Investment Services, LLC, 1st Global Capital Corp., Independent Financial Group, LLC, The Strategic Financial Alliance, Inc., DFPG Investments, Inc., Parkland Securities, LLC, Sigma Financial Corporation, Triad Advisors, Inc., Commonwealth Financial Network, Lincoln Investment, Securities America, Inc., D. H Hill Securities, LLLP, Ameritas Investment Corp., Cambridge Investment Research, Inc., FSC Securities Corporation, Kalos Capital, Inc., Royal Alliance Associates, Inc., Sagepoint Financial, Inc., and Woodbury Financial Services, Inc. CIK Number 0001704284 Filed Document 0001704284-17-000002 Exclusions or Exemptions 506b Accepted Date 2017-06-21 12:07:28 UTC Type of Offering D/A Industry Oil and Gas Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
Flywheel New Ventures 2017 LLC See All Filings	D	2017-06-21 12:00:56 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers None CIK Number 0001709591 Filed Document 0001709591-17-000002 Exclusions or Exemptions 506b Accepted Date 2017-06-21 12:00:56 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business UNITED STATES Revenue or Assets $$1 - $5,000,000 Type of Security Pooled Investment Fund
PI Olathe Industrial Portfolio, LLC See All Filings	D	2017-06-21 11:56:36 UTC
Amount To Be Raised $3,870,000 Associated Brokers / Dealers N/A CIK Number 0001699704 Filed Document 0001699704-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-06-21 11:56:36 UTC Type of Offering D Industry Other Real Estate Principal Place of Business KANSAS Revenue or Assets $$1,000,001 - $5,000,000 Type of Security Equity
Strategic Value Opportunities Feeder Fund, Ltd. See All Filings	D/A	2017-06-21 11:49:53 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001590309 Filed Document 0001590309-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-06-21 11:49:53 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CAYMAN ISLANDS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
OKLAHOMA UROLOGIC THERAPIES, LP See All Filings	D	2017-06-21 11:43:03 UTC
Amount To Be Raised $26,754 Associated Brokers / Dealers N/A CIK Number 0001677707 Filed Document 0001677707-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-06-21 11:43:03 UTC Type of Offering D Industry Other Health Care Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
Physician's Equity, LLC See All Filings	D	2017-06-21 11:37:28 UTC
Amount To Be Raised $20,000,000 Associated Brokers / Dealers N/A CIK Number 0001709822 Filed Document 0001709822-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-06-21 11:37:28 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business TEXAS Revenue or Assets $No Revenues Type of Security Pooled Investment Fund
NB PINE ROCK FUND LP See All Filings	D/A	2017-06-21 11:24:23 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Neuberger Berman BD LLC, Barclays Capital Inc., Purshe Kaplan Sterling Investments, and Stifel, Nicholaus & Company CIK Number 0001456066 Filed Document 0000899140-17-000452 Exclusions or Exemptions 506b Accepted Date 2017-06-21 11:24:23 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