Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
Waypoint Cordova Investors LP See All Filings	D	2014-01-21 00:00:00 UTC
Amount To Be Raised $7,200,000 Associated Brokers / Dealers BROADWAY DIRECT INVESTMENTS, LLC CIK Number 0001595052 Filed Document 0001595052-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-01-21 00:00:00 UTC Type of Offering D Industry Investing Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Equity
Perigee Capital Partners, LLC See All Filings	D	2014-01-21 00:00:00 UTC
Amount To Be Raised $5,556,250 Associated Brokers / Dealers N/A CIK Number 0001548247 Filed Document 0001548247-14-000001 Exclusions or Exemptions 506c Accepted Date 2014-01-21 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business VIRGINIA Revenue or Assets $No Revenues Type of Security Equity
A&C Snacks LLC See All Filings	D	2014-01-21 00:00:00 UTC
Amount To Be Raised $750,000 Associated Brokers / Dealers N/A CIK Number 0001597512 Filed Document 0001597512-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-21 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
PATIENTSAFE SOLUTIONS, INC. See All Filings	D	2014-01-21 00:00:00 UTC
Amount To Be Raised $3,000,000 Associated Brokers / Dealers N/A CIK Number 0001274375 Filed Document 0001274375-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-21 00:00:00 UTC Type of Offering D Industry Other Health Care Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
TPM CSQ REIT, LLC See All Filings	D	2014-01-21 00:00:00 UTC
Amount To Be Raised $125,000 Associated Brokers / Dealers Charles Harrison, Phyllis Beck, Patrick Whelchel, Scott Harrison, and Lori Mayfield CIK Number 0001597465 Filed Document 0001597465-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-21 00:00:00 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
Palisade Strategic Fund (Cayman) Ltd See All Filings	D/A	2014-01-21 00:00:00 UTC
Amount To Be Raised $250,000,000 Associated Brokers / Dealers N/A CIK Number 0001481751 Filed Document 0001481751-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-21 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 Equity
Special Situations Life Sciences Fund LP See All Filings	D/A	2014-01-21 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001333549 Filed Document 0001140361-14-002804 Exclusions or Exemptions 506b Accepted Date 2014-01-21 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
E-8 Feeholder, LLC See All Filings	D	2014-01-21 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001597431 Filed Document 0001597431-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-21 00:00:00 UTC Type of Offering D Industry REITS and Finance Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity
LEVANTO LTD See All Filings	D/A	2014-01-21 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001458513 Filed Document 0001458513-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-01-21 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 Equity
Valencia Technologies Corp See All Filings	D	2014-01-21 00:00:00 UTC
Amount To Be Raised $4,000,000 Associated Brokers / Dealers N/A CIK Number 0001577185 Filed Document 0001577185-14-000001 Exclusions or Exemptions 505 and 506c Accepted Date 2014-01-21 00:00:00 UTC Type of Offering D Industry Other Health Care Principal Place of Business CALIFORNIA Revenue or Assets $No Revenues Type of Security Other
Inventergy, Inc. See All Filings	D	2014-01-21 00:00:00 UTC
Amount To Be Raised $7,250,000 Associated Brokers / Dealers Laidlaw & Company (UK), Ltd. CIK Number 0001577547 Filed Document 0001577547-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-21 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Madison Vaccines Inc See All Filings	D	2014-01-21 00:00:00 UTC
Amount To Be Raised $9,030,000 Associated Brokers / Dealers N/A CIK Number 0001598692 Filed Document 0001598692-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-21 00:00:00 UTC Type of Offering D Industry Pharmaceuticals Principal Place of Business WISCONSIN Revenue or Assets $No Revenues Type of Security Equity
HOUND PARTNERS LONG FUND, LP See All Filings	D	2014-01-21 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001597257 Filed Document 0000919574-14-000350 Exclusions or Exemptions 506b Accepted Date 2014-01-21 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
Summit Hotel OP, LP See All Filings	D	2014-01-21 00:00:00 UTC
Amount To Be Raised $3,684,836 Associated Brokers / Dealers N/A CIK Number 0001497612 Filed Document 0001497612-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-21 00:00:00 UTC Type of Offering D Industry REITS and Finance Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Other
ORACLE PARTNERS LP See All Filings	D/A	2014-01-21 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0000941901 Filed Document 0000871613-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-01-21 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
WEEKS COMMUNICATIONS INC See All Filings	D	2014-01-21 00:00:00 UTC
Amount To Be Raised $200,000 Associated Brokers / Dealers N/A CIK Number 0001559649 Filed Document 0001559649-14-000003 Exclusions or Exemptions 504, 505, and 506b Accepted Date 2014-01-21 00:00:00 UTC Type of Offering D Industry Telecommunications Principal Place of Business INDIANA Revenue or Assets Decline to Disclose Type of Security Debt
SPQ Asia Opportunities US Fund Ltd See All Filings	D	2014-01-21 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001597510 Filed Document 0001597510-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-21 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
BAYBERRY WEST PARTNERS L P See All Filings	D	2014-01-21 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0000878083 Filed Document 0000878083-14-000001 Exclusions or Exemptions 506c Accepted Date 2014-01-21 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
Cloudian Holdings Inc. See All Filings	D	2014-01-21 00:00:00 UTC
Amount To Be Raised $5,100,000 Associated Brokers / Dealers N/A CIK Number 0001597765 Filed Document 0001597765-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-21 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Brandywine Symphony Fund, LP See All Filings	D/A	2014-01-21 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001515182 Filed Document 0001515182-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-21 00:00:00 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
United Wind, Inc. See All Filings	D	2014-01-21 00:00:00 UTC
Amount To Be Raised $800,000 Associated Brokers / Dealers N/A CIK Number 0001583842 Filed Document 0001583842-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-21 00:00:00 UTC Type of Offering D Industry Other Energy Principal Place of Business NEW YORK Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Business Backer, LLC See All Filings	D	2014-01-21 00:00:00 UTC
Amount To Be Raised $3,025,000 Associated Brokers / Dealers N/A CIK Number 0001597246 Filed Document 0001597246-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-21 00:00:00 UTC Type of Offering D Industry Other Banking and Financial Services Principal Place of Business OHIO Revenue or Assets Decline to Disclose Type of Security Equity
Advenir@Mission Ranch Investors, LLC See All Filings	D	2014-01-21 00:00:00 UTC
Amount To Be Raised $8,200,000 Associated Brokers / Dealers N/A CIK Number 0001597529 Filed Document 0001597529-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-21 00:00:00 UTC Type of Offering D Industry Commercial Principal Place of Business FLORIDA Revenue or Assets $No Revenues Type of Security Equity
Bayou Teche Brewing L.L.C. See All Filings	D	2014-01-21 00:00:00 UTC
Amount To Be Raised $578,000 Associated Brokers / Dealers N/A CIK Number 0001597622 Filed Document 0001593290-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-01-21 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business LOUISIANA Revenue or Assets Decline to Disclose Type of Security Equity
ThinkEco Inc. See All Filings	D	2014-01-20 00:00:00 UTC
Amount To Be Raised $2,249,999 Associated Brokers / Dealers N/A CIK Number 0001472678 Filed Document 0001472678-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-20 00:00:00 UTC Type of Offering D Industry Energy Conservation Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity
Triton Debt Opportunities Fund I L.P. See All Filings	D/A	2014-01-20 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Lazard Freres & Co. LLC CIK Number 0001591903 Filed Document 0000950142-14-000172 Exclusions or Exemptions 506b Accepted Date 2014-01-20 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
Dimensional Funds plc - Global Short-Term Investment Grade Fixed Income Fund See All Filings	D	2014-01-20 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001595917 Filed Document 0000945621-14-000014 Exclusions or Exemptions 506b Accepted Date 2014-01-20 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business IRELAND Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Convenience Net Lease Portfolio DST See All Filings	D/A	2014-01-20 00:00:00 UTC
Amount To Be Raised $14,225,243 Associated Brokers / Dealers Inland Securities Corporation, Ramsey K. Reich, Scott D. Offerman, Ann H. Stewart, Robert R. Tweed, Eric A. Bicknese, Nathaniel M. Kuhn, Eric S. Scaff, Robert L. Hackenberg, Jr., Dwight K. Kay, Jennifer K. Arnold, Judy H. Scheibel, Joseph G. Michaletz, Robert L. Ford, Bruce S. Birke, John G. Chess, Kathleen C. Bennett, Francis J. Jones, Jr., Dennis J. Loo, Dexter Loo, Stephen L. Swarbrick, Hagop (Jacob) S. Tujian, and Martin J. Mulligan CIK Number 0001594316 Filed Document 0001594316-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-01-20 00:00:00 UTC Type of Offering D/A Industry Other Real Estate Principal Place of Business ILLINOIS Revenue or Assets Decline to Disclose Type of Security Other
CoFoundersLab, Inc. See All Filings	D	2014-01-20 00:00:00 UTC
Amount To Be Raised $350,000 Associated Brokers / Dealers N/A CIK Number 0001596930 Filed Document 0001596930-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-20 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business MARYLAND Revenue or Assets Decline to Disclose Type of Security Debt
IA TRADINGVIEW, LLC See All Filings	D	2014-01-20 00:00:00 UTC
Amount To Be Raised $168,300 Associated Brokers / Dealers N/A CIK Number 0001597446 Filed Document 0001597446-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-20 00:00:00 UTC Type of Offering D Industry Investing Principal Place of Business ILLINOIS Revenue or Assets Decline to Disclose Type of Security Equity
Kili Technology Corp See All Filings	D	2014-01-20 00:00:00 UTC
Amount To Be Raised $169,396 Associated Brokers / Dealers N/A CIK Number 0001591259 Filed Document 0001140361-14-002677 Exclusions or Exemptions 506b Accepted Date 2014-01-20 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business ONTARIO, CANADA Revenue or Assets Decline to Disclose Type of Security Equity
National Net Lease Portfolio IV DST See All Filings	D/A	2014-01-20 00:00:00 UTC
Amount To Be Raised $15,694,464 Associated Brokers / Dealers Eric A. Bicknese, Scott D. Offerman, Robert J. Luna, Jeremy A. Kisner, Mark L. Lopez, Jeffrey S. Anderson, Thomas D. Sanders, Kyle H. Imholte, Corbin S. Thomas, John K. Lee, Leonard R. Bettencourt, Hagop (Jacob) S. Tujian, Dwight K. Kay, David L. Funk, Nathaniel M. Kuhn, Jeremy R. Armagost, Donovan T. Kelly, and Justin C. Lowy CIK Number 0001595642 Filed Document 0001595642-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-01-20 00:00:00 UTC Type of Offering D/A Industry Other Real Estate Principal Place of Business ILLINOIS Revenue or Assets Decline to Disclose Type of Security Other
Boldt Partners I, L.P. See All Filings	D/A	2014-01-20 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001263296 Filed Document 0001095449-14-000008 Exclusions or Exemptions 506b Accepted Date 2014-01-20 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
Navis Asia Fund VII Feeder Fund, L.P. See All Filings	D	2014-01-20 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers NA CIK Number 0001597671 Filed Document 0001181431-14-003464 Exclusions or Exemptions 506b Accepted Date 2014-01-20 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business MALAYSIA Revenue or Assets Decline to Disclose Type of Security Equity
Zoned Properties, Inc. See All Filings	D/A	2014-01-20 00:00:00 UTC
Amount To Be Raised $5,000,000 Associated Brokers / Dealers N/A CIK Number 0001279620 Filed Document 0001264931-14-000040 Exclusions or Exemptions 506c Accepted Date 2014-01-20 00:00:00 UTC Type of Offering D/A Industry Commercial Principal Place of Business ARIZONA Revenue or Assets $No Revenues Type of Security Equity
Zoned Properties, Inc. See All Filings	D	2014-01-20 00:00:00 UTC
Amount To Be Raised $5,000,000 Associated Brokers / Dealers N/A CIK Number 0001279620 Filed Document 0001264931-14-000038 Exclusions or Exemptions 506c Accepted Date 2014-01-20 00:00:00 UTC Type of Offering D Industry Commercial Principal Place of Business ARIZONA Revenue or Assets $No Revenues Type of Security Equity
Triton Debt Opportunities Fund US L.P. See All Filings	D	2014-01-20 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Lazard Freres & Co. LLC CIK Number 0001597248 Filed Document 0000950142-14-000173 Exclusions or Exemptions 506b Accepted Date 2014-01-20 00:00:00 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
Dinova, LLC See All Filings	D	2014-01-20 00:00:00 UTC
Amount To Be Raised $980,000 Associated Brokers / Dealers N/A CIK Number 0001542985 Filed Document 0001542985-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-01-20 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business GEORGIA Revenue or Assets Decline to Disclose Type of Security Equity
FotoIN Mobile Corp See All Filings	D	2014-01-19 00:00:00 UTC
Amount To Be Raised $350,000 Associated Brokers / Dealers N/A CIK Number 0001573617 Filed Document 0001573617-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-01-19 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business GEORGIA Revenue or Assets Decline to Disclose Type of Security Equity
Meyer Real Estate Group, LLC See All Filings	D	2014-01-19 00:00:00 UTC
Amount To Be Raised $8,760,000 Associated Brokers / Dealers N/A CIK Number 0001554121 Filed Document 0001554121-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-19 00:00:00 UTC Type of Offering D Industry Other Real Estate Principal Place of Business MINNESOTA Revenue or Assets Decline to Disclose Type of Security Equity
Inoca Holdco II, LLC See All Filings	D	2014-01-19 00:00:00 UTC
Amount To Be Raised $1,700,000 Associated Brokers / Dealers N/A CIK Number 0001594768 Filed Document 0000897069-14-000011 Exclusions or Exemptions 506b Accepted Date 2014-01-19 00:00:00 UTC Type of Offering D Industry Investing Principal Place of Business ILLINOIS Revenue or Assets Decline to Disclose Type of Security Equity
MUTUAL BENEFIT INTERNATIONAL GROUP See All Filings	D	2014-01-18 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001564877 Filed Document 0001564877-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-18 00:00:00 UTC Type of Offering D Industry Insurance Principal Place of Business NEVADA Revenue or Assets $$1,000,001 - $5,000,000 Type of Security Equity
CARDIAC INSIGHT, INC. See All Filings	D	2014-01-18 00:00:00 UTC
Amount To Be Raised $2,000,000 Associated Brokers / Dealers N/A CIK Number 0001509098 Filed Document 0001509098-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-18 00:00:00 UTC Type of Offering D Industry Biotechnology Principal Place of Business WASHINGTON Revenue or Assets Decline to Disclose Type of Security Debt
Pacific Lake Partners Fund Two, L.P. See All Filings	D	2014-01-17 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001597235 Filed Document 0001597235-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-17 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business VIRGINIA Revenue or Assets $Not Applicable Type of Security Pooled Investment Fund
Apollo Overseas Partners VIII, L.P. See All Filings	D/A	2014-01-17 00:00:00 UTC
Amount To Be Raised $18,476,470,000 Associated Brokers / Dealers UBS AG, Picton S.A., J.P. Morgan Securities LLC, and GSA Capital Associates, LLC CIK Number 0001580042 Filed Document 0000950142-14-000134 Exclusions or Exemptions 506b Accepted Date 2014-01-17 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
HMLP Multi-Strategy Private Investors LLC See All Filings	D/A	2014-01-17 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers J.P. Morgan Securities LLC ("JPM") CIK Number 0001485614 Filed Document 0001482027-14-000008 Exclusions or Exemptions 506b Accepted Date 2014-01-17 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
Northwood Real Estate Partners 2012 LP See All Filings	D/A	2014-01-17 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers UBS Securities LLC CIK Number 0001567157 Filed Document 0001567157-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-17 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
Northwood Real Estate Co-Investors TE LP See All Filings	D/A	2014-01-17 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Park Hill Real Estate Group LLC and UBS Securities LLC CIK Number 0001412705 Filed Document 0001412705-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-17 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
Summitview China Fund See All Filings	D/A	2014-01-17 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001596746 Filed Document 0001596746-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-01-17 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
Apollo Investment Fund VIII, L.P. See All Filings	D/A	2014-01-17 00:00:00 UTC
Amount To Be Raised $18,476,470,000 Associated Brokers / Dealers UBS AG, Picton S.A., J.P. Morgan Securities LLC, and GSA Capital Associates, LLC CIK Number 0001580046 Filed Document 0000950142-14-000127 Exclusions or Exemptions 506b Accepted Date 2014-01-17 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