Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
Lazard Emerging Markets Equity Advantage Fund, a series of Lazard Investment Trust See All Filings	D/A	2016-12-16 10:06:53 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Lazard Asset Management Securities LLC CIK Number 0001628189 Filed Document 0001628189-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-12-16 10:06:53 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
Falling Rock Group LLC See All Filings	D	2016-12-16 09:56:22 UTC
Amount To Be Raised $4,173,728 Associated Brokers / Dealers N/A CIK Number 0001692465 Filed Document 0001692465-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-12-16 09:56:22 UTC Type of Offering D Industry Other Real Estate Principal Place of Business ALABAMA Revenue or Assets Decline to Disclose Type of Security Equity
Greenspring Opportunities IV, L.P. See All Filings	D/A	2016-12-16 09:55:50 UTC
Amount To Be Raised $325,000,000 Associated Brokers / Dealers PTP Securities, LLC, VCP Advisors LLC, PAS Advisory Services Pty Ltd, and Stifel Nicolaus & Company, Incorporated CIK Number 0001659169 Filed Document 0001659169-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-12-16 09:55:50 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business MARYLAND Revenue or Assets $Not Applicable Type of Security Pooled Investment Fund
Lazard Japanese Strategic Equity Fund, a series of Lazard Investment Trust See All Filings	D/A	2016-12-16 09:46:55 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Lazard Asset Management Securities LLC CIK Number 0001628188 Filed Document 0001628188-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-12-16 09:46:55 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
INTRINSIC THERAPEUTICS INC See All Filings	D	2016-12-16 09:38:17 UTC
Amount To Be Raised $20,156,585 Associated Brokers / Dealers N/A CIK Number 0001213628 Filed Document 0001213628-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-12-16 09:38:17 UTC Type of Offering D Industry Other Health Care Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Equity
Camden Credit Fund LLC See All Filings	D/A	2016-12-16 09:37:42 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001659006 Filed Document 0001692246-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-12-16 09:37:42 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
Sterling Ultimate Parent Corp. See All Filings	D/A	2016-12-16 09:32:37 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001645070 Filed Document 0000895345-16-000626 Exclusions or Exemptions 506b Accepted Date 2016-12-16 09:32:37 UTC Type of Offering D/A Industry Business Services Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity
GenBridge Capital Fund I, L.P. See All Filings	D/A	2016-12-16 09:30:08 UTC
Amount To Be Raised $500,000,000 Associated Brokers / Dealers N/A CIK Number 0001691412 Filed Document 0001691412-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-12-16 09:30:08 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CAYMAN ISLANDS Revenue or Assets $Not Applicable Type of Security Pooled Investment Fund
BTG Pactual Open Ended Core U.S. Timberland Fund L.P. See All Filings	D	2016-12-16 09:16:39 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001692051 Filed Document 0001692051-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-12-16 09:16:39 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
Listen Innovation Inc. See All Filings	D	2016-12-16 09:07:31 UTC
Amount To Be Raised $800,000 Associated Brokers / Dealers N/A CIK Number 0001627174 Filed Document 0001627174-16-000004 Exclusions or Exemptions 506b Accepted Date 2016-12-16 09:07:31 UTC Type of Offering D Industry Other Technology Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Equity
Luxor Venture Partners, LP See All Filings	D/A	2016-12-16 09:05:22 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001660210 Filed Document 0001013594-16-001347 Exclusions or Exemptions 506b Accepted Date 2016-12-16 09:05:22 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
Palatine Private Equity Impact Investing Fund LP See All Filings	D	2016-12-16 09:05:21 UTC
Amount To Be Raised $124,360,000 Associated Brokers / Dealers Evercore Group L.L.C. and Evercore Partners International LLP CIK Number 0001692246 Filed Document 0001692246-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-12-16 09:05:21 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business UNITED KINGDOM Revenue or Assets Decline to Disclose Type of Security Equity
SQM Frontier Middle East Fund, LP See All Filings	D/A	2016-12-16 09:02:54 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001507657 Filed Document 0001507657-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-12-16 09:02:54 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business VIRGINIA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
SQM Frontier Middle East Fund (Offshore), Ltd. See All Filings	D/A	2016-12-16 08:55:48 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001507785 Filed Document 0001507785-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-12-16 08:55:48 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
Atlas Fundamental Trading Fund, LTD See All Filings	D/A	2016-12-16 08:41:35 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Morgan Stanley Smith Barney LLC CIK Number 0001594130 Filed Document 0001594130-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-12-16 08:41:35 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
AFAP II CO-INVEST LP See All Filings	D/A	2016-12-16 08:39:20 UTC
Amount To Be Raised $150,000,000 Associated Brokers / Dealers N/A CIK Number 0001660838 Filed Document 0001660838-16-000004 Exclusions or Exemptions 506b Accepted Date 2016-12-16 08:39:20 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
ARLON FOOD & AGRICULTURE PARTNERS II LP See All Filings	D/A	2016-12-16 08:37:11 UTC
Amount To Be Raised $300,000,000 Associated Brokers / Dealers N/A CIK Number 0001660822 Filed Document 0001660822-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-12-16 08:37:11 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
ATLAS FUNDAMENTAL TRADING FUND LP See All Filings	D/A	2016-12-16 08:31:19 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Morgan Stanley Smith Barney LLC CIK Number 0001439225 Filed Document 0001439225-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-12-16 08:31:19 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business ILLINOIS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
HEALTHY ROSTER, INC. See All Filings	D	2016-12-16 07:30:42 UTC
Amount To Be Raised $2,000,000 Associated Brokers / Dealers N/A CIK Number 0001692278 Filed Document 0001692278-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-12-16 07:30:42 UTC Type of Offering D Industry Other Technology Principal Place of Business OHIO Revenue or Assets Decline to Disclose Type of Security Equity
PrimeStone Capital Fund LP See All Filings	D/A	2016-12-16 07:06:57 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001628082 Filed Document 0000902664-16-009128 Exclusions or Exemptions 506b Accepted Date 2016-12-16 07:06:57 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
DVG 1740 Fund L.P. See All Filings	D/A	2016-12-16 07:04:06 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001593982 Filed Document 0000902664-16-009127 Exclusions or Exemptions 506b Accepted Date 2016-12-16 07:04:06 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Equity
Three Bridges Europe Long Only Fund L.P. See All Filings	D/A	2016-12-16 06:57:21 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001630214 Filed Document 0000902664-16-009126 Exclusions or Exemptions 506b Accepted Date 2016-12-16 06:57:21 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
Three Bridges Europe Long Only Fund Ltd. See All Filings	D/A	2016-12-16 06:54:48 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001628597 Filed Document 0000902664-16-009125 Exclusions or Exemptions 506b Accepted Date 2016-12-16 06:54:48 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 Equity
Stocosil Inc. See All Filings	1-A/A	2016-12-16 06:18:51 UTC
Amount To Be Raised $11,000,100 Associated Brokers / Dealers N/A CIK Number 0001645554 Filed Document 0001654954-16-004922 Accepted Date 2016-12-16 06:18:51 UTC Type of Offering 1-A/A Industry PHARMACEUTICAL PREPARATIONS Offering Tier Tier2 Principal Place of Business CALIFORNIA Revenue or Assets $0 State of Jurisdiction DELAWARE Type of Security Equity (common or preferred stock)
Arbiter Partners QP, LP See All Filings	D/A	2016-12-16 06:11:13 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001502826 Filed Document 0000947871-16-001777 Exclusions or Exemptions 506b Accepted Date 2016-12-16 06:11:13 UTC Type of Offering D/A Industry Investing Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
FORGE INNOVATION DEVELOPMENT CORP. See All Filings	D	2016-12-15 20:31:09 UTC
Amount To Be Raised $1,000,000 Associated Brokers / Dealers N/A CIK Number 0001687919 Filed Document 0001687919-16-000005 Exclusions or Exemptions 506b Accepted Date 2016-12-15 20:31:09 UTC Type of Offering D Industry Commercial Principal Place of Business CALIFORNIA Revenue or Assets $No Revenues Type of Security Equity
LEANKIT, INC. See All Filings	D	2016-12-15 20:00:12 UTC
Amount To Be Raised $3,999,992 Associated Brokers / Dealers N/A CIK Number 0001566103 Filed Document 0001566103-16-000005 Exclusions or Exemptions 506b Accepted Date 2016-12-15 20:00:12 UTC Type of Offering D Industry Other Technology Principal Place of Business TENNESSEE Revenue or Assets Decline to Disclose Type of Security Equity
Sour Rice, LLC See All Filings	C/A	2016-12-15 19:45:39 UTC
Financial Interest No Filing Platform Wefunder Portal LLC Offering Amount $25,000 CIK Number 0001687500 Filed Document 0001670254-16-000234 Accepted Date 2016-12-15 19:45:39 UTC Type of Offering C/A Security Offered Amount N/A Security Offered Type Debt State CALIFORNIA
Wildcat Technology Partners 2015, L.P. See All Filings	D/A	2016-12-15 19:44:24 UTC
Amount To Be Raised $100,000,000 Associated Brokers / Dealers Credit Suisse Securities (USA), LLC CIK Number 0001628488 Filed Document 0001628488-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-12-15 19:44:24 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
SportsETFs, LLC See All Filings	D	2016-12-15 19:15:16 UTC
Amount To Be Raised $1,200,000 Associated Brokers / Dealers N/A CIK Number 0001692454 Filed Document 0001692454-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-12-15 19:15:16 UTC Type of Offering D Industry Other Banking and Financial Services Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
McLarty Bluhaus Capital Partners, L.P. See All Filings	D	2016-12-15 19:12:41 UTC
Amount To Be Raised $50,000,000 Associated Brokers / Dealers N/A CIK Number 0001692320 Filed Document 0001692320-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-12-15 19:12:41 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business PUERTO RICO Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
EquityZen Growth Technology Fund LLC - Series 67 See All Filings	D	2016-12-15 18:53:47 UTC
Amount To Be Raised $274,900 Associated Brokers / Dealers EquityZen Securities LLC CIK Number 0001691020 Filed Document 0001691020-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-12-15 18:53:47 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
EquityZen Growth Technology Fund LLC - Series 63 See All Filings	D	2016-12-15 18:50:38 UTC
Amount To Be Raised $335,616 Associated Brokers / Dealers EquityZen Securities LLC CIK Number 0001691030 Filed Document 0001691030-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-12-15 18:50:38 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
Adaptive Spectrum & Signal Alignment Inc See All Filings	D	2016-12-15 18:49:19 UTC
Amount To Be Raised $12,555,036 Associated Brokers / Dealers N/A CIK Number 0001501340 Filed Document 0001501340-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-12-15 18:49:19 UTC Type of Offering D Industry Telecommunications Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
EquityZen Growth Technology Fund LLC - Series 59 See All Filings	D/A	2016-12-15 18:46:33 UTC
Amount To Be Raised $582,915 Associated Brokers / Dealers EquityZen Securities LLC CIK Number 0001689625 Filed Document 0001689625-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-12-15 18:46:33 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
EquityZen Growth Technology Fund LLC - Series 49 See All Filings	D/A	2016-12-15 18:41:24 UTC
Amount To Be Raised $234,898 Associated Brokers / Dealers EquityZen Securities LLC CIK Number 0001691014 Filed Document 0001691014-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-12-15 18:41:24 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
Magic Instruments, Inc. See All Filings	C/A	2016-12-15 18:32:03 UTC
Financial Interest No Filing Platform Wefunder Portal LLC Offering Amount $1,000,000 CIK Number 0001681969 Filed Document 0001670254-16-000232 Accepted Date 2016-12-15 18:32:03 UTC Type of Offering C/A Security Offered Amount 50,000 Security Offered Type Other State CALIFORNIA
Active Owners Fund LP See All Filings	D/A	2016-12-15 18:25:33 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001506732 Filed Document 0001019056-16-001693 Exclusions or Exemptions 506b Accepted Date 2016-12-15 18:25:33 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
Crockett Investors, LLC See All Filings	D	2016-12-15 18:22:56 UTC
Amount To Be Raised $2,100,000 Associated Brokers / Dealers N/A CIK Number 0001690388 Filed Document 0001690388-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-12-15 18:22:56 UTC Type of Offering D Industry Other Real Estate Principal Place of Business GEORGIA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Sama Resources Inc./Ressources Sama Inc. See All Filings	D	2016-12-15 18:12:58 UTC
Amount To Be Raised $251,671 Associated Brokers / Dealers N/A CIK Number 0001475252 Filed Document 0001140361-16-089881 Exclusions or Exemptions 506b Accepted Date 2016-12-15 18:12:58 UTC Type of Offering D Industry Other Principal Place of Business QUEBEC, CANADA Revenue or Assets Decline to Disclose Type of Security Equity
Callais Capital Technologies, L.P. See All Filings	D	2016-12-15 18:10:43 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001692446 Filed Document 0001692446-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-12-15 18:10:43 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business LOUISIANA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
VS Opportunity I, a series of Venture Science Master Fund I, LLC See All Filings	D	2016-12-15 17:59:28 UTC
Amount To Be Raised $274,860 Associated Brokers / Dealers N/A CIK Number 0001692423 Filed Document 0001692423-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-12-15 17:59:28 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
Casetabs, Inc. See All Filings	D/A	2016-12-15 17:49:03 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001657760 Filed Document 0001657760-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-12-15 17:49:03 UTC Type of Offering D/A Industry Other Technology Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Emergence Capital Partners III Opportunity, L.P. See All Filings	D	2016-12-15 17:35:18 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001691097 Filed Document 0001691097-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-12-15 17:35:18 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
Maverick ASP Fund, a series of the Alternative Strategies Platform, LLC See All Filings	D	2016-12-15 17:31:24 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Wells Fargo Advisors, LLC CIK Number 0001692551 Filed Document 0001625257-16-000228 Exclusions or Exemptions 506b Accepted Date 2016-12-15 17:31:24 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business NORTH CAROLINA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
SREF III 47th Avenue Co-Invest, L.P. See All Filings	D	2016-12-15 17:30:07 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Park Hill Group LLC CIK Number 0001690584 Filed Document 0001690584-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-12-15 17:30:07 UTC Type of Offering D Industry Other Real Estate Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity
MANAGED FUTURES LLC See All Filings	D/A	2016-12-15 17:18:30 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers J.P. Morgan Securities LLC CIK Number 0001445504 Filed Document 0000899140-16-001761 Exclusions or Exemptions 506b Accepted Date 2016-12-15 17:18:30 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
Aridis Pharmaceuticals, Inc. See All Filings	D	2016-12-15 17:15:36 UTC
Amount To Be Raised $25,000,000 Associated Brokers / Dealers Maxim Merchant Capital, a division of Maxim Group LLC CIK Number 0001614067 Filed Document 0001104659-16-162354 Exclusions or Exemptions 506b Accepted Date 2016-12-15 17:15:36 UTC Type of Offering D Industry Pharmaceuticals Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
NB Diversified Arbitrage Fund L.P. See All Filings	D/A	2016-12-15 17:13:09 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Barclays Capital Inc., UBS Financial Services Inc., Credit Suisse Securities (USA) LLC, Morgan Stanley & Co. Incorporated, and Neuberger Berman LLC CIK Number 0001216245 Filed Document 0000902664-16-009122 Exclusions or Exemptions 506b Accepted Date 2016-12-15 17:13:09 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
Monon Fund Ltd. See All Filings	D/A	2016-12-15 17:11:58 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Neuberger Berman LLC CIK Number 0001515416 Filed Document 0000902664-16-009121 Exclusions or Exemptions 506b Accepted Date 2016-12-15 17:11:58 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