Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
Neurala, Inc. See All Filings	D	2016-12-27 16:45:09 UTC
Amount To Be Raised $14,000,009 Associated Brokers / Dealers N/A CIK Number 0001624772 Filed Document 0001624772-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-12-27 16:45:09 UTC Type of Offering D Industry Other Technology Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Equity
PRINCETON HD REIT LLC See All Filings	D	2016-12-27 16:44:00 UTC
Amount To Be Raised $125,000 Associated Brokers / Dealers Charles B. Harrison, Scott Harrison, Phyllis Johnson, Patrick J. Whelchel, and Lori Mayfield CIK Number 0001693267 Filed Document 0001693267-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-12-27 16:44:00 UTC Type of Offering D Industry REITS and Finance Principal Place of Business NEW JERSEY Revenue or Assets Decline to Disclose Type of Security Equity
SI Selections Fund I, L.P. See All Filings	D/A	2016-12-27 16:37:38 UTC
Amount To Be Raised $10,000,000 Associated Brokers / Dealers N/A CIK Number 0001650999 Filed Document 0001650999-16-000004 Exclusions or Exemptions 506b Accepted Date 2016-12-27 16:37:38 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
Lazarus Maple Woodward LLLP See All Filings	D	2016-12-27 16:36:01 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001692938 Filed Document 0001079973-16-001367 Exclusions or Exemptions 506b Accepted Date 2016-12-27 16:36:01 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business COLORADO Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Fabula Capital Partners, LP See All Filings	D/A	2016-12-27 16:35:15 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001590376 Filed Document 0001590376-16-000004 Exclusions or Exemptions 506b Accepted Date 2016-12-27 16:35:15 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
WILLIAMSBURG WINERY LTD See All Filings	D	2016-12-27 16:33:37 UTC
Amount To Be Raised $3,000,000 Associated Brokers / Dealers N/A CIK Number 0000894475 Filed Document 0000894475-16-000002 Exclusions or Exemptions 505 and 506b Accepted Date 2016-12-27 16:33:37 UTC Type of Offering D Industry Agriculture Principal Place of Business VIRGINIA Revenue or Assets $$5,000,001 - $25,000,000 Type of Security Equity
Queen City Boxes, Inc. See All Filings	D	2016-12-27 16:29:48 UTC
Amount To Be Raised $750,000 Associated Brokers / Dealers N/A CIK Number 0001693119 Filed Document 0001693119-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-12-27 16:29:48 UTC Type of Offering D Industry Other Technology Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Debt
KKR Americas Fund XII L.P. See All Filings	D/A	2016-12-27 16:27:18 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Morgan Stanley Smith Barney LLC, J.P. Morgan Securities LLC, Artivest Brokerage LLC, Daewoo Securities Co., Ltd., Picton S.A., Noah Holdings (Hong Kong) Limited, Cygnus Investment Partners LP, HSBC Management (Guernsey) Limited, Foreside Fund Services, LLC, and UBS Financial Services Inc. CIK Number 0001666676 Filed Document 0001666676-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-12-27 16:27:18 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
Clearwater Capital Partners Fund V (57 Stars), L.P. See All Filings	D	2016-12-27 16:25:58 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers n/a and n/a CIK Number 0001693276 Filed Document 0001693276-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-12-27 16:25:58 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity
PROVEST SUNRISE PLAZA ASSOCIATES, LLC See All Filings	D	2016-12-27 16:18:58 UTC
Amount To Be Raised $957,500 Associated Brokers / Dealers NONE CIK Number 0001692149 Filed Document 0001692158-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-12-27 16:18:58 UTC Type of Offering D Industry Commercial Principal Place of Business FLORIDA Revenue or Assets Decline to Disclose Type of Security Other
MetaModix, Inc. See All Filings	D	2016-12-27 16:18:55 UTC
Amount To Be Raised $1,500,000 Associated Brokers / Dealers N/A CIK Number 0001477042 Filed Document 0001477042-16-000004 Exclusions or Exemptions 506b Accepted Date 2016-12-27 16:18:55 UTC Type of Offering D Industry Other Health Care Principal Place of Business MINNESOTA Revenue or Assets Decline to Disclose Type of Security Equity
MINERVA SURGICAL INC See All Filings	D	2016-12-27 16:16:25 UTC
Amount To Be Raised $26,723,235 Associated Brokers / Dealers N/A CIK Number 0001452965 Filed Document 0001452965-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-12-27 16:16:25 UTC Type of Offering D Industry Other Health Care Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Sysorex Global See All Filings	D	2016-12-27 16:15:38 UTC
Amount To Be Raised $2,000,000 Associated Brokers / Dealers Rodman & Renshaw, a unit of H.C. Wainwright & Co., LLC CIK Number 0001529113 Filed Document 0001213900-16-019728 Exclusions or Exemptions 506b Accepted Date 2016-12-27 16:15:38 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
Technicians for Sustainability, Inc. See All Filings	D	2016-12-27 16:14:09 UTC
Amount To Be Raised $500,000 Associated Brokers / Dealers NA CIK Number 0001693109 Filed Document 0001693109-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-12-27 16:14:09 UTC Type of Offering D Industry Other Energy Principal Place of Business ARIZONA Revenue or Assets Decline to Disclose Type of Security Equity
CACHET FINANCIAL SOLUTIONS, INC. See All Filings	D	2016-12-27 16:13:19 UTC
Amount To Be Raised $550,000 Associated Brokers / Dealers Craft Capital Management, LLC CIK Number 0001487906 Filed Document 0001487906-16-000005 Exclusions or Exemptions 506b Accepted Date 2016-12-27 16:13:19 UTC Type of Offering D Industry Other Technology Principal Place of Business MINNESOTA Revenue or Assets Decline to Disclose Type of Security Debt
PROVEST ALTAMA VILLAGE ASSOCIATES, LLP See All Filings	D	2016-12-27 16:12:19 UTC
Amount To Be Raised $4,097,500 Associated Brokers / Dealers NONE CIK Number 0001692158 Filed Document 0001692158-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-12-27 16:12:19 UTC Type of Offering D Industry Commercial Principal Place of Business FLORIDA Revenue or Assets Decline to Disclose Type of Security Other
Isocline Engineering Corp See All Filings	D	2016-12-27 16:05:59 UTC
Amount To Be Raised $3,000,000 Associated Brokers / Dealers N/A CIK Number 0001691217 Filed Document 0001691217-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-12-27 16:05:59 UTC Type of Offering D Industry Other Technology Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Debt
WM Capital Partners 59, LLC See All Filings	D	2016-12-27 16:02:51 UTC
Amount To Be Raised $13,400,000 Associated Brokers / Dealers N/A CIK Number 0001693081 Filed Document 0001693081-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-12-27 16:02:51 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets $$5,000,001 - $25,000,000 Type of Security Equity
Neoglyphic Entertainment, Inc. See All Filings	D	2016-12-27 15:55:56 UTC
Amount To Be Raised $2,000,000 Associated Brokers / Dealers N/A CIK Number 0001651339 Filed Document 0001651339-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-12-27 15:55:56 UTC Type of Offering D Industry Other Technology Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Debt
RCG Longview Multifamily Income Fund, LP See All Filings	D	2016-12-27 15:55:21 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001691719 Filed Document 0001691719-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-12-27 15:55:21 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity
Crio Inc. See All Filings	D	2016-12-27 15:54:17 UTC
Amount To Be Raised $1,800,000 Associated Brokers / Dealers N/A CIK Number 0001664915 Filed Document 0001664915-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-12-27 15:54:17 UTC Type of Offering D Industry Other Health Care Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Equity
Life Science Loans II, LLC See All Filings	D	2016-12-27 15:46:54 UTC
Amount To Be Raised $70,100,000 Associated Brokers / Dealers N/A CIK Number 0001692863 Filed Document 0001692863-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-12-27 15:46:54 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business WASHINGTON Revenue or Assets Decline to Disclose Type of Security Equity
Schvey, Inc. See All Filings	D	2016-12-27 15:45:14 UTC
Amount To Be Raised $20,495,822 Associated Brokers / Dealers N/A CIK Number 0001598116 Filed Document 0001598116-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-12-27 15:45:14 UTC Type of Offering D Industry Other Banking and Financial Services Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity
GLOBALBASED TECHNOLOGIES, INC. See All Filings	D	2016-12-27 15:38:08 UTC
Amount To Be Raised $2,230,000 Associated Brokers / Dealers N/A CIK Number 0001455082 Filed Document 0001140361-16-090791 Exclusions or Exemptions 506b Accepted Date 2016-12-27 15:38:08 UTC Type of Offering D Industry Computers Principal Place of Business PENNSYLVANIA Revenue or Assets Decline to Disclose Type of Security Debt
Smart Server, Inc See All Filings	D	2016-12-27 15:35:31 UTC
Amount To Be Raised $1,350,000 Associated Brokers / Dealers N/A CIK Number 0001596961 Filed Document 0001654954-16-005120 Exclusions or Exemptions 506b Accepted Date 2016-12-27 15:35:31 UTC Type of Offering D Industry Other Principal Place of Business NORTH CAROLINA Revenue or Assets Decline to Disclose Type of Security Equity
Sulfagenix, Inc. See All Filings	D	2016-12-27 15:24:37 UTC
Amount To Be Raised $1,620,000 Associated Brokers / Dealers N/A CIK Number 0001603985 Filed Document 0001603985-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-12-27 15:24:37 UTC Type of Offering D Industry Biotechnology Principal Place of Business OHIO Revenue or Assets Decline to Disclose Type of Security Equity
Pat's Backcountry Beverages Inc. See All Filings	D	2016-12-27 15:22:04 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001484286 Filed Document 0001484286-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-12-27 15:22:04 UTC Type of Offering D Industry Other Technology Principal Place of Business ALASKA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Shuttle Fund, LP See All Filings	D	2016-12-27 15:17:40 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001685313 Filed Document 0001685313-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-12-27 15:17:40 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
STEPSTONE REAL ESTATE PARTNERS III TE, L.P. See All Filings	D/A	2016-12-27 15:12:29 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001650843 Filed Document 0001650843-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-12-27 15:12:29 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
PENN SHORT DURATION HIGH YIELD FUND, L.P. See All Filings	D/A	2016-12-27 15:09:28 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Christianson Investment Partners, Christenson Investment Partners, and VSR Financial Services Incorporated CIK Number 0001517412 Filed Document 0001192482-16-000784 Exclusions or Exemptions 506b Accepted Date 2016-12-27 15:09:28 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business PENNSYLVANIA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Diversified Investments - HL, LLC See All Filings	D	2016-12-27 15:08:57 UTC
Amount To Be Raised $1,750,000 Associated Brokers / Dealers Fairport Capital CIK Number 0001585753 Filed Document 0001585753-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-12-27 15:08:57 UTC Type of Offering D Industry Other Real Estate Principal Place of Business CALIFORNIA Revenue or Assets $$1,000,001 - $5,000,000 Type of Security Debt
Penn Mid Cap Equity Fund, L.P. See All Filings	D/A	2016-12-27 15:06:34 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers SMH Capital Inc., Christenson Investment Partners, and VSR Financial Services Incorporated CIK Number 0001481060 Filed Document 0001192482-16-000783 Exclusions or Exemptions 506b Accepted Date 2016-12-27 15:06:34 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
Penn Institutional Loan Common Master Fund, LP See All Filings	D/A	2016-12-27 15:03:05 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001573620 Filed Document 0001192482-16-000782 Exclusions or Exemptions 506b Accepted Date 2016-12-27 15:03:05 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
Sound Harbor Capital Solutions Fund II L.P. See All Filings	D/A	2016-12-27 15:02:34 UTC
Amount To Be Raised $50,000,000 Associated Brokers / Dealers N/A CIK Number 0001658338 Filed Document 0001658338-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-12-27 15:02:34 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
PENN DIVERSIFIED MICRO CAP EQUITY FUND LP See All Filings	D/A	2016-12-27 15:00:07 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers SMH Capital Inc., VSR Financial Services Incorporated, and VSR Financial Services Incorporated CIK Number 0001461084 Filed Document 0001192482-16-000781 Exclusions or Exemptions 506b Accepted Date 2016-12-27 15:00:07 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
Sea Smoke Fund, LLC See All Filings	D/A	2016-12-27 14:59:42 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001661292 Filed Document 0001659828-16-000027 Exclusions or Exemptions 506b Accepted Date 2016-12-27 14:59:42 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Parametric, Research Affiliates Systematic Global Macro Fund, Ltd. See All Filings	D	2016-12-27 14:59:16 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001692736 Filed Document 0000940394-16-003397 Exclusions or Exemptions 506b Accepted Date 2016-12-27 14:59:16 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business MINNESOTA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
SOPERTON BANCSHARES INC See All Filings	D	2016-12-27 14:58:02 UTC
Amount To Be Raised $1,000,459 Associated Brokers / Dealers N/A CIK Number 0000835594 Filed Document 0000835594-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-12-27 14:58:02 UTC Type of Offering D Industry Commercial Banking Principal Place of Business GEORGIA Revenue or Assets Decline to Disclose Type of Security Equity
Sea Smoke Fund Ltd See All Filings	D/A	2016-12-27 14:57:31 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001661327 Filed Document 0001659828-16-000026 Exclusions or Exemptions 506b Accepted Date 2016-12-27 14:57:31 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
Waterway Grove Holdings, LLC See All Filings	D/A	2016-12-27 14:54:03 UTC
Amount To Be Raised $14,024,724 Associated Brokers / Dealers Center Street Securities, Inc., DFPG Investments, Inc., Dyche Wealth Management, Inc., Kalos Capital, Inc., Lion Street Financial, LLC, Money Concepts Capital Corp, Prakash Investment Advisors, LLC, The Strategic Financial Alliance, Inc., Triloma Securities, LLC, and United Planners Financial Services CIK Number 0001691323 Filed Document 0001691323-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-12-27 14:54:03 UTC Type of Offering D/A Industry Other Real Estate Principal Place of Business GEORGIA Revenue or Assets Decline to Disclose Type of Security Equity
830 Oconee, LLC See All Filings	D	2016-12-27 14:52:23 UTC
Amount To Be Raised $11,414,666 Associated Brokers / Dealers William M. Grady CIK Number 0001693010 Filed Document 0001693010-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-12-27 14:52:23 UTC Type of Offering D Industry Other Real Estate Principal Place of Business GEORGIA Revenue or Assets Decline to Disclose Type of Security Equity
Arrowhead REIT LLC See All Filings	D	2016-12-27 14:52:09 UTC
Amount To Be Raised $125,000 Associated Brokers / Dealers Charles Harrison, Phyllis Johnson, Patrick Whelchel, Scott Harrison, and Lori Mayfield CIK Number 0001693247 Filed Document 0001693247-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-12-27 14:52:09 UTC Type of Offering D Industry REITS and Finance Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
PENN DISTRESSED FUND L P See All Filings	D/A	2016-12-27 14:43:29 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers SMH Capital Inc., Arete Wealth Management, LLC, Phillips & Company, and VSR Financial Services Incorporated CIK Number 0001231294 Filed Document 0001192482-16-000780 Exclusions or Exemptions 506b Accepted Date 2016-12-27 14:43:29 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
PENN CORE HIGH YIELD BOND FUND II L P See All Filings	D/A	2016-12-27 14:40:11 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers SMH Capital Inc., Christianson Investment Partners, Carol Lefcourt, Brinker Capital, and VSR Financial Services Incorporated CIK Number 0001303678 Filed Document 0001192482-16-000779 Exclusions or Exemptions 506b Accepted Date 2016-12-27 14:40:11 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
PENN CORE HIGH YIELD BOND FUND LP See All Filings	D/A	2016-12-27 14:37:43 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers SMH Capital Inc., Christianson Investment Partners, Carol Lefcourt, Brinker Capital, Carlyle Wealth Management, and VSRFinancial Services Incorporated CIK Number 0001216123 Filed Document 0001192482-16-000778 Exclusions or Exemptions 506b Accepted Date 2016-12-27 14:37:43 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
Vegas Donut Co See All Filings	D	2016-12-27 14:33:34 UTC
Amount To Be Raised $150,000 Associated Brokers / Dealers N/A CIK Number 0001680986 Filed Document 0001004878-16-000569 Exclusions or Exemptions 506b Accepted Date 2016-12-27 14:33:34 UTC Type of Offering D Industry Restaurants Principal Place of Business NEVADA Revenue or Assets $No Revenues Type of Security Other
Granite State Capital Offshore Fund, L.P. See All Filings	D	2016-12-27 14:27:27 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001693138 Filed Document 0001693138-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-12-27 14:27:27 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business CAYMAN ISLANDS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Dali Systems Co. Ltd. See All Filings	D/A	2016-12-27 14:19:29 UTC
Amount To Be Raised $13,000,000 Associated Brokers / Dealers N/A CIK Number 0001466248 Filed Document 0001466248-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-12-27 14:19:29 UTC Type of Offering D/A Industry Telecommunications Principal Place of Business CAYMAN ISLANDS Revenue or Assets Decline to Disclose Type of Security Equity
PENN CONVERTIBLE FUND LP See All Filings	D/A	2016-12-27 14:12:34 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers SMH Capital Inc., VSR Financial Services Incorporated, Carol Lefcourt, Brinker Capital, Carlyle Wealth Management, and VSRFinancial Services Incorporated CIK Number 0001460893 Filed Document 0001192482-16-000777 Exclusions or Exemptions 506b Accepted Date 2016-12-27 14:12:34 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
PENN Capital Pioneer Energy Fund, L.P. See All Filings	D/A	2016-12-27 14:09:09 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers SMH Capital Inc., VSR Financial Services Incorporated, Carol Lefcourt, Brinker Capital, Carlyle Wealth Management, and VSRFinancial Services Incorporated CIK Number 0001474376 Filed Document 0001192482-16-000776 Exclusions or Exemptions 506b Accepted Date 2016-12-27 14:09:09 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