Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
ClariVest Emerging Markets Equity Fund, L.P. See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001556010 Filed Document 0000935836-16-000912 Exclusions or Exemptions 506b Accepted Date 2016-05-13 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
BlackRock Appreciation Fund IV (ERISA), Ltd. See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CIK Number 0001478205 Filed Document 0001666701-16-000019 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business WASHINGTON Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
One Thousand & One Voices Africa Fund I, L.P. See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised $300,000,000 Associated Brokers / Dealers N/A CIK Number 0001621077 Filed Document 0001621077-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business COLORADO Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Kintbury Equity Fund Ltd See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001642064 Filed Document 0000902664-16-007006 Exclusions or Exemptions 506b Accepted Date 2016-05-13 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
BIOPTIX DIAGNOSTICS, INC. See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised $4,176,000 Associated Brokers / Dealers N/A CIK Number 0001386616 Filed Document 0001386616-16-000006 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D/A Industry Other Principal Place of Business COLORADO Revenue or Assets Decline to Disclose Type of Security Equity
Blokable, Inc. See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $1,000,000 Associated Brokers / Dealers N/A CIK Number 0001673950 Filed Document 0001673950-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D Industry Manufacturing Principal Place of Business WASHINGTON Revenue or Assets Decline to Disclose Type of Security Equity
Sands Capital Emerging Markets Growth Feeder Fund (Cayman), Ltd See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001627015 Filed Document 0001627015-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-05-13 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
TORO FUND, L.P. See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001660172 Filed Document 0001660172-16-000001 Exclusions or Exemptions 506c Accepted Date 2016-05-13 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 Pooled Investment Fund
Sensory Analytics Holdings, Inc. See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $2,000,001 Associated Brokers / Dealers N/A CIK Number 0001673873 Filed Document 0001673873-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-05-13 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
DIVERSE PARTNERS ETF VOLATILITY, LP See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers ALAN D. GLATT, DAVID W. RHUDY, and MELISSA D. GREENBERG CIK Number 0001641697 Filed Document 0000919574-16-012860 Exclusions or Exemptions 506b Accepted Date 2016-05-13 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
Walden SKT Venture Fund, L.P. See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $50,000,000 Associated Brokers / Dealers N/A CIK Number 0001674598 Filed Document 0001674598-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 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
YATRAGENIE INC See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised $4,409,096 Associated Brokers / Dealers N/A CIK Number 0001655750 Filed Document 0001655750-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D/A Industry Other Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
International Property Securities Fund, a series of Principal Global Investors Trust See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Principal Securities, Inc. CIK Number 0001448550 Filed Document 0001393725-16-000236 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business IOWA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Salient Natural Resource Fund, L.P. See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers William W. Cathriner II, J. Cole Dawson III, Craig A. Dawson, Fred L. Williams Jr., James G. McGinness, Matthew H. Moncrief, Matthew P. Summers, T. Michael Conway, W. Scott Hill, Stephen D. Strake, Jr., and Brittany N. Stephens CIK Number 0001634837 Filed Document 0001634837-16-000004 Exclusions or Exemptions 506b Accepted Date 2016-05-13 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
FLYHT Aerospace Solutions Ltd. See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $3,365,003 Associated Brokers / Dealers N/A CIK Number 0001403749 Filed Document 0001403749-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business ALBERTA, CANADA Revenue or Assets $$5,000,001 - $25,000,000 Type of Security Equity
DEEP ROCK VENTURES, INC. See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised $669,000 Associated Brokers / Dealers N/A CIK Number 0001672237 Filed Document 0001672237-16-000004 Exclusions or Exemptions 506b Accepted Date 2016-05-13 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
EGCP INVESTMENT PARTNERS III, L.P. See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $100,000,000 Associated Brokers / Dealers N/A CIK Number 0001674248 Filed Document 0001674248-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business ILLINOIS Revenue or Assets Decline to Disclose Type of Security Equity
FR CLASSIC CO-INVEST, LP See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001674636 Filed Document 0001674636-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-05-13 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
FULCRUM GROWTH FUND III QP, LLC See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $150,000,000 Associated Brokers / Dealers N/A CIK Number 0001674418 Filed Document 0001674414-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business GEORGIA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
US Select Equity Fund, a series of Principal Global Investors Trust See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Principal Securities, Inc. CIK Number 0001381364 Filed Document 0001393725-16-000229 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business IOWA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Small-Cap Growth Equity Fund, a series of Principal Global Investors Trust See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Principal Securities, Inc. CIK Number 0001381358 Filed Document 0001393725-16-000231 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business IOWA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Acadian Emerging Markets Equity II Fund, LLC See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Funds Distributor, LLC CIK Number 0001461762 Filed Document 0001461762-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-05-13 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
VaporChat, Inc. See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $1,000,000 Associated Brokers / Dealers N/A CIK Number 0001637674 Filed Document 0001637674-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business NEW YORK Revenue or Assets $No Revenues Type of Security Debt
RQSI GLOBAL ASSET ALLOCATION MASTER FUND, LTD. See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001670843 Filed Document 0001140361-16-065206 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business BAHAMAS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
BridgeHaul, Inc. See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $500,000 Associated Brokers / Dealers N/A CIK Number 0001645732 Filed Document 0001645732-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Option To Acquire
730 ARIZONA AVENUE II, LLC See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $13,248,000 Associated Brokers / Dealers N/A CIK Number 0001674466 Filed Document 0001674466-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D Industry Commercial Principal Place of Business CALIFORNIA Revenue or Assets $No Revenues Type of Security Equity
Tembo Capital Mining Fund II LP See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $400,000,000 Associated Brokers / Dealers N/A CIK Number 0001674300 Filed Document 0001144204-16-101689 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business Y7 Revenue or Assets Decline to Disclose Type of Security Equity
Poppin, Inc. See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $12,000,000 Associated Brokers / Dealers BTIG, LLC CIK Number 0001575865 Filed Document 0001575865-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-05-13 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
Crescent Long/Short Credit Opportunity Fund, Ltd. See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001606567 Filed Document 0000945621-16-000598 Exclusions or Exemptions 506b Accepted Date 2016-05-13 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
Regis Partners Fund LP See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised $500,000,000 Associated Brokers / Dealers N/A CIK Number 0001385612 Filed Document 0000935836-16-000913 Exclusions or Exemptions 506b Accepted Date 2016-05-13 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
Salient MLP Fund, L.P. See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Phillip M. Plant, Baldwin Anthony Securities, Inc., Craig Chambers Dawson, Matthew Paul Summers, Fred L. Williams Jr., J. Matthew Newtown, William W. Cathriner II, Stephen D. Strake, Sr., Andrew B. Linbeck, Luke Powell, Matthew H. Moncrief, EDI Financial, Inc., and Ryan P. Haselden CIK Number 0001415987 Filed Document 0001415987-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-05-13 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
Yellowfly II, LLC See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $6,297,500 Associated Brokers / Dealers N/A CIK Number 0001670660 Filed Document 0001670660-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-05-13 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 Pooled Investment Fund
Wilkinson Value Fund Twelve, LLC See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised $12,470,000 Associated Brokers / Dealers N/A CIK Number 0001611091 Filed Document 0001611091-16-000005 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D/A Industry Residential Principal Place of Business WASHINGTON Revenue or Assets Decline to Disclose Type of Security Equity
GRAYBUG, Inc. See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $45,393,828 Associated Brokers / Dealers N/A CIK Number 0001534133 Filed Document 0001140361-16-065042 Exclusions or Exemptions 506b Accepted Date 2016-05-13 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
Avatar Capital Finance LLC See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $1,750,000 Associated Brokers / Dealers N/A CIK Number 0001342986 Filed Document 0001342986-16-000026 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D Industry Other Real Estate Principal Place of Business WASHINGTON Revenue or Assets Decline to Disclose Type of Security Debt
PROFECTUS BIOSCIENCES, INC See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $500,000 Associated Brokers / Dealers N/A CIK Number 0001444253 Filed Document 0001444253-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D Industry Biotechnology Principal Place of Business MARYLAND Revenue or Assets Decline to Disclose Type of Security Other
MACKAY MUNICIPAL CREDIT OPPORTUNITIES MASTER FUND LP See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Mariner Group Capital Markets, Inc. and NYLIFE Distributors, LLC CIK Number 0001460030 Filed Document 0001140361-16-066394 Exclusions or Exemptions 506b Accepted Date 2016-05-13 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
Tucson East, LLC See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $6,500,000 Associated Brokers / Dealers N/A CIK Number 0001674998 Filed Document 0001674998-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D Industry Commercial Principal Place of Business ARIZONA Revenue or Assets $No Revenues Type of Security Equity
Shinesty, Inc. See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $1,300,000 Associated Brokers / Dealers N/A CIK Number 0001640553 Filed Document 0001640553-16-000008 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D Industry Retailing Principal Place of Business COLORADO Revenue or Assets Decline to Disclose Type of Security Debt
TAP Fund, L.L.C. (The TAP Strategy) See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Stifel, Nicolaus & Company, Inc CIK Number 0001429252 Filed Document 0001140361-16-065322 Exclusions or Exemptions 506b Accepted Date 2016-05-13 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
Orange Photonics, Inc. See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $500,000 Associated Brokers / Dealers N/A CIK Number 0001674427 Filed Document 0001674427-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business NEW HAMPSHIRE Revenue or Assets Decline to Disclose Type of Security Debt
GTIS HOV V Lender Co-Invest LP See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $23,488,154 Associated Brokers / Dealers N/A CIK Number 0001674482 Filed Document 0000947871-16-001178 Exclusions or Exemptions 506b Accepted Date 2016-05-13 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
Cerberus CMBS Opportunities Feeder Fund, Ltd. See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001642209 Filed Document 0000905718-16-001395 Exclusions or Exemptions 506b Accepted Date 2016-05-13 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
Gresham International Value Series, a series of Gresham Direct Access Manager Program, L.L.C. See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001578705 Filed Document 0001578705-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-05-13 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
Mid Cap Equity Fund, a series of Principal Global Investors Trust See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Principal Securities, Inc. CIK Number 0001593541 Filed Document 0001393725-16-000235 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business IOWA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Excelsior Hedge Fund Direct, LP - Kingdon Associates See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Merrill Lynch, Pierce, Fenner & Smith Incorporated CIK Number 0001459361 Filed Document 0001459361-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-05-13 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
VRCinematic, Inc. See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $1,000,000 Associated Brokers / Dealers N/A CIK Number 0001674011 Filed Document 0001674011-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business WASHINGTON Revenue or Assets Decline to Disclose Type of Security Debt
Camellia Funds LP See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001656390 Filed Document 0001656390-16-000004 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business LOUISIANA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Cypress Core Real Estate Fund, L.P. See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $3,125,000 Associated Brokers / Dealers N/A CIK Number 0001674709 Filed Document 0001674709-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business CALIFORNIA Revenue or Assets $$1 - $5,000,000 Type of Security Pooled Investment Fund
Ultra Short Enhanced Yield Fund, a series of Principal Global Investors Trust See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Principal Securities, Inc. CIK Number 0001616060 Filed Document 0001393725-16-000230 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business IOWA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund