Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
Cellerant Therapeutics Inc See All Filings	D	2016-04-12 00:00:00 UTC
Amount To Be Raised $2,025,000 Associated Brokers / Dealers N/A CIK Number 0001293600 Filed Document 0001293600-16-000001 Exclusions or Exemptions 506c Accepted Date 2016-04-12 00:00:00 UTC Type of Offering D Industry Biotechnology Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Debt
KENNEDY CAPITAL MANAGEMENT, INC. See All Filings	D	2016-04-12 00:00:00 UTC
Amount To Be Raised $2,082,850 Associated Brokers / Dealers N/A CIK Number 0000884589 Filed Document 0000884589-16-000023 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 UTC Type of Offering D Industry Investing Principal Place of Business MISSOURI Revenue or Assets $$25,000,001 - $100,000,000 Type of Security Equity
Windy City Capital LLC See All Filings	D	2016-04-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001671819 Filed Document 0001671819-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business INDIANA Revenue or Assets $$1 - $5,000,000 Type of Security Pooled Investment Fund
iConservo Inc See All Filings	D/A	2016-04-12 00:00:00 UTC
Amount To Be Raised $2,000,000 Associated Brokers / Dealers N/A CIK Number 0001660155 Filed Document 0001660155-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 UTC Type of Offering D/A Industry Other Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Western Asset US Core Plus, L.L.C. See All Filings	D/A	2016-04-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001330459 Filed Document 0001330459-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-04-12 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
Western Asset Multi-Asset Credit Portfolio, L.L.C. See All Filings	D/A	2016-04-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001549304 Filed Document 0001549304-16-000004 Exclusions or Exemptions 506b Accepted Date 2016-04-12 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
WESTERN ASSET EMERGING MARKETS LOCAL DEBT PORTFOLIO, LTD. See All Filings	D/A	2016-04-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001385122 Filed Document 0001385122-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 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
Unify Ventures, Ltd. See All Filings	D	2016-04-12 00:00:00 UTC
Amount To Be Raised $2,500,000 Associated Brokers / Dealers N/A CIK Number 0001671878 Filed Document 0001671878-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business NEW JERSEY Revenue or Assets Decline to Disclose Type of Security Security To Be Acquired
Western Asset Global Sovereign(Q) Fixed Income, Ltd. See All Filings	D/A	2016-04-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001473130 Filed Document 0001473130-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 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
Landmark Acquisition Fund IX, L.P. See All Filings	D	2016-04-12 00:00:00 UTC
Amount To Be Raised $468,324,750 Associated Brokers / Dealers N/A CIK Number 0001671949 Filed Document 0001671949-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Equity
NUCKOLS PLACE ASSOCIATES LLLP See All Filings	D	2016-04-12 00:00:00 UTC
Amount To Be Raised $3,500,000 Associated Brokers / Dealers N/A CIK Number 0001670544 Filed Document 0001670544-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 UTC Type of Offering D Industry Commercial Principal Place of Business MARYLAND Revenue or Assets $No Revenues Type of Security Equity
MIG5 RPS, LLC See All Filings	D	2016-04-12 00:00:00 UTC
Amount To Be Raised $6,284,651 Associated Brokers / Dealers N/A CIK Number 0001582612 Filed Document 0001582612-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business FLORIDA Revenue or Assets $Not Applicable Type of Security Equity
NB Crossroads Fund XXI Asset Allocation LP See All Filings	D/A	2016-04-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001640145 Filed Document 0000899140-16-001362 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
Resource Management Service, LLC See All Filings	D	2016-04-12 00:00:00 UTC
Amount To Be Raised $3,173,057 Associated Brokers / Dealers N/A CIK Number 0001649975 Filed Document 0001649975-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 UTC Type of Offering D Industry Other Real Estate Principal Place of Business ALABAMA Revenue or Assets Decline to Disclose Type of Security Equity
WESTERN ASSET GLOBAL REAL BOND FUND, LTD. See All Filings	D/A	2016-04-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001527770 Filed Document 0001527770-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-04-12 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
LSV INTERNATIONAL SMALL CAP EQUITY FUND, LP See All Filings	D/A	2016-04-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001518911 Filed Document 0001393725-16-000217 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 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
Bluebridge Digital, Inc. See All Filings	D	2016-04-12 00:00:00 UTC
Amount To Be Raised $3,000,000 Associated Brokers / Dealers N/A CIK Number 0001603748 Filed Document 0001603748-16-000006 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business INDIANA Revenue or Assets Decline to Disclose Type of Security Equity
NAUTO, INC. See All Filings	D	2016-04-12 00:00:00 UTC
Amount To Be Raised $12,000,000 Associated Brokers / Dealers N/A CIK Number 0001657147 Filed Document 0001657147-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 UTC Type of Offering D Industry Computers Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Foundry Group Next, L.P. See All Filings	D	2016-04-12 00:00:00 UTC
Amount To Be Raised $500,000,000 Associated Brokers / Dealers N/A CIK Number 0001671879 Filed Document 0001671879-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 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
GigPeak, Inc. See All Filings	D	2016-04-12 00:00:00 UTC
Amount To Be Raised $4,999,997 Associated Brokers / Dealers Cowen and Company LLC CIK Number 0001432150 Filed Document 0001432150-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business CALIFORNIA Revenue or Assets $$25,000,001 - $100,000,000 Type of Security Equity
NORTH CASTLE PARTNERS VI-A, L.P. See All Filings	D	2016-04-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001669836 Filed Document 0001669836-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Iridium 77 Partners, LP See All Filings	D	2016-04-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001671936 Filed Document 0001671923-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 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
Pitchbook Data, Inc. See All Filings	D/A	2016-04-12 00:00:00 UTC
Amount To Be Raised $15,000,000 Associated Brokers / Dealers N/A CIK Number 0001449715 Filed Document 0001449715-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 UTC Type of Offering D/A Industry Other Principal Place of Business WASHINGTON Revenue or Assets Decline to Disclose Type of Security Equity
Storygize LLC See All Filings	D	2016-04-12 00:00:00 UTC
Amount To Be Raised $4,000,000 Associated Brokers / Dealers N/A CIK Number 0001671922 Filed Document 0001671922-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business CALIFORNIA Revenue or Assets $Not Applicable Type of Security Debt
Spark Capital Growth Fund II, L.P. See All Filings	D	2016-04-12 00:00:00 UTC
Amount To Be Raised $500,000,000 Associated Brokers / Dealers N/A CIK Number 0001671626 Filed Document 0001671626-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business MASSACHUSETTS Revenue or Assets $Not Applicable Type of Security Pooled Investment Fund
HD Online, LLC See All Filings	D	2016-04-12 00:00:00 UTC
Amount To Be Raised $3,000,000 Associated Brokers / Dealers n/a CIK Number 0001671736 Filed Document 0001671736-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business CALIFORNIA Revenue or Assets $$5,000,001 - $25,000,000 Type of Security Equity
NCP G.P. VI, L.P. See All Filings	D	2016-04-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001669788 Filed Document 0001669788-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
LSV International (AC) Value Equity Fund, LP See All Filings	D/A	2016-04-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001505139 Filed Document 0001393725-16-000224 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 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
HIGHLAND CAPITAL MANAGEMENT, L.P. See All Filings	D/A	2016-04-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers David Clark, Bryan Clark, Gary Clark, Skinner Family LLC, Steve Walker, Steven Gerbel, Wally Stenhouse, Josh Scheinfeld, Daniel Drennan, Spencer Edwards, Inc., Hedge Harbor Inc., Mid Atlantic Capital Corporation, Hedgeco Securities, LLC, and Richard Vogel CIK Number 0001107729 Filed Document 0001107729-16-000004 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business INDIANA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Burbio, Inc. See All Filings	D	2016-04-12 00:00:00 UTC
Amount To Be Raised $1,548,711 Associated Brokers / Dealers N/A CIK Number 0001601719 Filed Document 0001601719-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity
Beaconfire LP See All Filings	D/A	2016-04-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001639288 Filed Document 0000919574-16-012427 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 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
Bear Capital, LLC See All Filings	D	2016-04-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001671784 Filed Document 0001671784-16-000004 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business FLORIDA Revenue or Assets Decline to Disclose Type of Security Equity
LSV Enhanced Hedged Equity Fund, LP See All Filings	D/A	2016-04-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001616452 Filed Document 0001393725-16-000212 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 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
Algold Resources Ltd. See All Filings	D	2016-04-12 00:00:00 UTC
Amount To Be Raised $189,500 Associated Brokers / Dealers N/A CIK Number 0001645751 Filed Document 0001645751-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business QUEBEC, CANADA Revenue or Assets Decline to Disclose Type of Security Equity
Callie Solutions Inc. See All Filings	D	2016-04-12 00:00:00 UTC
Amount To Be Raised $75,000 Associated Brokers / Dealers N/A CIK Number 0001671809 Filed Document 0001671809-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business DELAWARE Revenue or Assets Decline to Disclose Type of Security Equity
Aulon Trading Company, LLC See All Filings	D/A	2016-04-12 00:00:00 UTC
Amount To Be Raised $10,000,000 Associated Brokers / Dealers N/A CIK Number 0001610288 Filed Document 0001610288-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-04-12 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 Equity
BIT STEW SYSTEMS INC. See All Filings	D	2016-04-12 00:00:00 UTC
Amount To Be Raised $1,244,222 Associated Brokers / Dealers N/A CIK Number 0001575635 Filed Document 0001183740-16-000324 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business BRITISH COLUMBIA, CANADA Revenue or Assets Decline to Disclose Type of Security Equity
CVC Growth Partners L.P. See All Filings	D/A	2016-04-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Citigroup Global Markets Inc. and Credit Suisse Securities (USA) LLC CIK Number 0001613339 Filed Document 0001613339-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business JERSEY Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
CrossChx, Inc. See All Filings	D	2016-04-12 00:00:00 UTC
Amount To Be Raised $15,450,000 Associated Brokers / Dealers N/A CIK Number 0001639542 Filed Document 0001639542-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business OHIO Revenue or Assets Decline to Disclose Type of Security Equity
AVADIM TECHNOLOGIES INC See All Filings	D	2016-04-12 00:00:00 UTC
Amount To Be Raised $187,500 Associated Brokers / Dealers N/A CIK Number 0001614824 Filed Document 0001183740-16-000337 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business NORTH CAROLINA Revenue or Assets Decline to Disclose Type of Security Equity
Rockefeller Global Dividend Growth Fund QP, L.P. See All Filings	D/A	2016-04-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001570412 Filed Document 0000945621-16-000573 Exclusions or Exemptions 506b Accepted Date 2016-04-12 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 Pooled Investment Fund
Job Shakers, LLC See All Filings	D	2016-04-12 00:00:00 UTC
Amount To Be Raised $715,000 Associated Brokers / Dealers N/A CIK Number 0001672139 Filed Document 0001672139-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business KANSAS Revenue or Assets Decline to Disclose Type of Security Equity
ProMIS Neurosciences Inc. See All Filings	D	2016-04-12 00:00:00 UTC
Amount To Be Raised $235,000 Associated Brokers / Dealers N/A CIK Number 0001374339 Filed Document 0001183740-16-000332 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 UTC Type of Offering D Industry Biotechnology Principal Place of Business ONTARIO, CANADA Revenue or Assets Decline to Disclose Type of Security Equity
TearScience, Inc. See All Filings	D	2016-04-12 00:00:00 UTC
Amount To Be Raised $29,225,391 Associated Brokers / Dealers N/A CIK Number 0001333252 Filed Document 0001333252-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-04-12 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
IMAGINAB, INC. See All Filings	D	2016-04-12 00:00:00 UTC
Amount To Be Raised $9,500,000 Associated Brokers / Dealers N/A CIK Number 0001545875 Filed Document 0001545875-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-04-12 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
NEXEON MEDSYSTEMS INC See All Filings	D	2016-04-12 00:00:00 UTC
Amount To Be Raised $2,500,000 Associated Brokers / Dealers N/A CIK Number 0001416172 Filed Document 0001076542-16-000264 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 UTC Type of Offering D Industry Biotechnology Principal Place of Business KENTUCKY Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Axiom International Micro-Cap Fund LP See All Filings	D/A	2016-04-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001304038 Filed Document 0001507943-16-000207 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 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
CORDET Direct Lending SCSp See All Filings	D	2016-04-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Lazard Freres & Co. LLC and Lazard & Co., Limited CIK Number 0001671773 Filed Document 0001671773-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business LUXEMBOURG Revenue or Assets Decline to Disclose Type of Security Equity
Higher Moment Capital Opportunities, LP See All Filings	D/A	2016-04-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC, BHA SELECT NETWORK, LLC, and Chartwell Advisors, LLC CIK Number 0001550039 Filed Document 0000902664-16-006708 Exclusions or Exemptions 506b Accepted Date 2016-04-12 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 Equity
Tell Friends Inc. See All Filings	D	2016-04-12 00:00:00 UTC
Amount To Be Raised $625,000 Associated Brokers / Dealers N/A CIK Number 0001671572 Filed Document 0001144204-16-093940 Exclusions or Exemptions 506b Accepted Date 2016-04-12 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity