Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
UNIVERSAL BIOSENSORS INC See All Filings	D	2014-01-02 00:00:00 UTC
Amount To Be Raised $4,972,095 Associated Brokers / Dealers N/A CIK Number 0001279695 Filed Document 0001279695-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-02 00:00:00 UTC Type of Offering D Industry Biotechnology Principal Place of Business AUSTRALIA Revenue or Assets $$25,000,001 - $100,000,000 Type of Security Option To Acquire
Excelsior Multi-Strategy Institutional Hedge Fund, Ltd. See All Filings	D/A	2014-01-02 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Merrill Lynch, Pierce, Fenner & Smith Incorporated CIK Number 0001459971 Filed Document 0001459971-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-02 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Sugar Hill Property Fund IV, LLC See All Filings	D/A	2014-01-02 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Trestle Point, LLC, Silver Leaf Partners, LLC, and Olympus Securities, LLC CIK Number 0001588589 Filed Document 0001588589-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-02 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity
Country Rose, Inc. See All Filings	D	2014-01-02 00:00:00 UTC
Amount To Be Raised $20,000 Associated Brokers / Dealers N/A CIK Number 0001595717 Filed Document 0001595717-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-02 00:00:00 UTC Type of Offering D Industry Restaurants Principal Place of Business WISCONSIN Revenue or Assets $$1,000,001 - $5,000,000 Type of Security Equity
Repairogen Corp. See All Filings	D	2014-01-02 00:00:00 UTC
Amount To Be Raised $465,000 Associated Brokers / Dealers N/A CIK Number 0001595709 Filed Document 0001595709-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-02 00:00:00 UTC Type of Offering D Industry Biotechnology Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity
Deanslist, Inc. See All Filings	D	2014-01-02 00:00:00 UTC
Amount To Be Raised $13,976 Associated Brokers / Dealers N/A CIK Number 0001595310 Filed Document 0001595310-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-02 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business NEW YORK Revenue or Assets $$1 - $1,000,000 Type of Security Equity
UR-ENERGY INC See All Filings	D	2014-01-02 00:00:00 UTC
Amount To Be Raised $5,179,997 Associated Brokers / Dealers ROTH CAPITAL PARTNERS, H.C. WAINWRIGHT & CO., LLC, and GVC CAPITAL LLC CIK Number 0001375205 Filed Document 0001375205-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-02 00:00:00 UTC Type of Offering D Industry Other Energy Principal Place of Business COLORADO Revenue or Assets Decline to Disclose Type of Security Equity
MedHab, LLC See All Filings	D	2014-01-02 00:00:00 UTC
Amount To Be Raised $1,099,346 Associated Brokers / Dealers N/A CIK Number 0001503902 Filed Document 0001209191-14-000597 Exclusions or Exemptions 506b Accepted Date 2014-01-02 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business TEXAS Revenue or Assets $No Revenues Type of Security Equity
DALTON HIGH YIELD MORTGAGE (US FEEDER) FUND LP See All Filings	D/A	2014-01-02 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001488632 Filed Document 0001209191-14-000516 Exclusions or Exemptions 506b Accepted Date 2014-01-02 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Wasatch Microfluidics, Inc. See All Filings	D	2014-01-02 00:00:00 UTC
Amount To Be Raised $2,000,000 Associated Brokers / Dealers N/A CIK Number 0001541582 Filed Document 0001541582-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-02 00:00:00 UTC Type of Offering D Industry Biotechnology Principal Place of Business UTAH Revenue or Assets $$1,000,001 - $5,000,000 Type of Security Equity
Car Charging Group, Inc. See All Filings	D	2014-01-02 00:00:00 UTC
Amount To Be Raised $10,000,000 Associated Brokers / Dealers Ardour Capital Investments, Sunrise Securities Corp., and Sutter Securities Incorporated CIK Number 0001429764 Filed Document 0001213900-14-000019 Exclusions or Exemptions 506b Accepted Date 2014-01-02 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business FLORIDA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Alta California Olive Partners, LLC See All Filings	D	2014-01-02 00:00:00 UTC
Amount To Be Raised $315,500 Associated Brokers / Dealers N/A CIK Number 0001546999 Filed Document 0001546999-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-02 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Other
DB3 Mobile, Inc. See All Filings	D	2014-01-02 00:00:00 UTC
Amount To Be Raised $750,003 Associated Brokers / Dealers N/A CIK Number 0001557450 Filed Document 0001557450-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-02 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business IDAHO Revenue or Assets Decline to Disclose Type of Security Equity
Lyfe Kitchen Retail, Inc. See All Filings	D	2014-01-01 00:00:00 UTC
Amount To Be Raised $21,000,000 Associated Brokers / Dealers N/A CIK Number 0001577963 Filed Document 0001577963-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-01 00:00:00 UTC Type of Offering D Industry Retailing Principal Place of Business GEORGIA Revenue or Assets $$5,000,001 - $25,000,000 Type of Security Equity
SERIES D (TECHNOLOGY) - PANORAMA POINT PARTNERSHIP, LP See All Filings	D	2014-01-01 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001593451 Filed Document 0001593449-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-01-01 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business NEBRASKA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Blue Basin Fund LLC See All Filings	D	2014-01-01 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001596320 Filed Document 0001596320-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-01 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 Pooled Investment Fund
Iron Bay Fund, L.P. See All Filings	D/A	2014-01-01 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001528104 Filed Document 0001528104-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-01-01 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
Strategic Science & Technologies LLC See All Filings	D	2013-12-31 00:00:00 UTC
Amount To Be Raised $5,311,898 Associated Brokers / Dealers N/A CIK Number 0001347296 Filed Document 0001347296-14-000004 Exclusions or Exemptions 506b Accepted Date 2013-12-31 00:00:00 UTC Type of Offering D Industry Other Health Care Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Other
U.S. RARE EARTHS, INC See All Filings	D	2013-12-31 00:00:00 UTC
Amount To Be Raised $1,650,000 Associated Brokers / Dealers N/A CIK Number 0001098881 Filed Document 0001161697-14-000002 Exclusions or Exemptions 506b Accepted Date 2013-12-31 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
Apigee Corp See All Filings	D	2013-12-31 00:00:00 UTC
Amount To Be Raised $20,500,000 Associated Brokers / Dealers N/A CIK Number 0001324772 Filed Document 0001324772-14-000002 Exclusions or Exemptions 506b Accepted Date 2013-12-31 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
Omada SLP, Ltd See All Filings	D	2013-12-31 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001595639 Filed Document 0000950142-14-000007 Exclusions or Exemptions 506b Accepted Date 2013-12-31 00:00:00 UTC Type of Offering D Industry Investing Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
Degreed, Inc. See All Filings	D	2013-12-31 00:00:00 UTC
Amount To Be Raised $800,000 Associated Brokers / Dealers N/A CIK Number 0001556900 Filed Document 0001556900-14-000001 Exclusions or Exemptions 506b Accepted Date 2013-12-31 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business UTAH Revenue or Assets Decline to Disclose Type of Security Debt
Solfo, Inc. See All Filings	D	2013-12-31 00:00:00 UTC
Amount To Be Raised $6,999,983 Associated Brokers / Dealers N/A CIK Number 0001595488 Filed Document 0001478396-14-000001 Exclusions or Exemptions 506b Accepted Date 2013-12-31 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
CBRE U.S. Core Partners Holdings, LLC See All Filings	D	2013-12-31 00:00:00 UTC
Amount To Be Raised $62,500 Associated Brokers / Dealers Charles Harrison, Phyllis Beck, Patrick Whelchel, Scott Harrison, and Lori Mayfield CIK Number 0001595609 Filed Document 0001595609-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-12-31 00:00:00 UTC Type of Offering D Industry REITS and Finance Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Layton Park Financial Group, Inc. See All Filings	D	2013-12-31 00:00:00 UTC
Amount To Be Raised $7,000,000 Associated Brokers / Dealers N/A CIK Number 0001594066 Filed Document 0001594066-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-12-31 00:00:00 UTC Type of Offering D Industry Commercial Banking Principal Place of Business WISCONSIN Revenue or Assets Decline to Disclose Type of Security Equity
Four Corners Tavern Fund I, LLC See All Filings	D	2013-12-31 00:00:00 UTC
Amount To Be Raised $30,000,000 Associated Brokers / Dealers N/A CIK Number 0001594314 Filed Document 0001594314-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-12-31 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business ILLINOIS Revenue or Assets $$25,000,001 - $50,000,000 Type of Security Pooled Investment Fund
Ursa Major Natural Care LLC See All Filings	D	2013-12-31 00:00:00 UTC
Amount To Be Raised $218,975 Associated Brokers / Dealers N/A CIK Number 0001478036 Filed Document 0001478036-13-000003 Exclusions or Exemptions 506b Accepted Date 2013-12-31 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business VERMONT Revenue or Assets Decline to Disclose Type of Security Equity
STRUCTURED ALPHA 500 LLC See All Filings	D/A	2013-12-31 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Allianz Global Investors Distributors LLC CIK Number 0001372729 Filed Document 0001372729-13-000002 Exclusions or Exemptions 506b Accepted Date 2013-12-31 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets $$50,000,001 - $100,000,000 Type of Security Pooled Investment Fund
Z CAPITAL SPECIAL SITUATIONS FUND II-A, L.P. See All Filings	D/A	2013-12-31 00:00:00 UTC
Amount To Be Raised $500,000,000 Associated Brokers / Dealers Jefferies & Company, Inc., TRIAGO EUROPE S.A., TRIAGO AMERICAS, INC., TRIAGO MEA LTD., and DIAMOND DRAGON CAPITAL CIK Number 0001561041 Filed Document 0001561041-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-12-31 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 Equity
FRONTIER SMALL CAP VALUE, L.P. See All Filings	D/A	2013-12-31 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001287840 Filed Document 0001594791-13-000011 Exclusions or Exemptions 506b Accepted Date 2013-12-31 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
West Face Alternative Credit USA L.P. See All Filings	D	2013-12-31 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001595507 Filed Document 0001595507-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-12-31 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business ONTARIO, CANADA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
833 Development Partners, LLC See All Filings	D	2013-12-31 00:00:00 UTC
Amount To Be Raised $24,600,000 Associated Brokers / Dealers N/A CIK Number 0001594955 Filed Document 0000892712-13-000860 Exclusions or Exemptions 506b Accepted Date 2013-12-31 00:00:00 UTC Type of Offering D Industry Commercial Principal Place of Business WISCONSIN Revenue or Assets Decline to Disclose Type of Security Equity
CHAPIN PARTNERS FUND LTD See All Filings	D/A	2013-12-31 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001432884 Filed Document 0001432884-13-000005 Exclusions or Exemptions 506b Accepted Date 2013-12-31 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business NEW JERSEY Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
DILON TECHNOLOGIES INC See All Filings	D	2013-12-31 00:00:00 UTC
Amount To Be Raised $5,800,000 Associated Brokers / Dealers Michael N. Taglich and Robert F. Taglich CIK Number 0001047810 Filed Document 0001047810-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-12-31 00:00:00 UTC Type of Offering D Industry Biotechnology Principal Place of Business VIRGINIA Revenue or Assets Decline to Disclose Type of Security Debt
FRONTIER RESEARCH FUND, L.P. See All Filings	D/A	2013-12-31 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001287796 Filed Document 0001594791-13-000009 Exclusions or Exemptions 505 and 506b Accepted Date 2013-12-31 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
CHIMNEY ROCK VALUE FUND OFFSHORE LTD. See All Filings	D	2013-12-31 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001595189 Filed Document 0001013594-13-000588 Exclusions or Exemptions 506b Accepted Date 2013-12-31 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 Equity
CHIMNEY ROCK VALUE FUND LP See All Filings	D/A	2013-12-31 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001595233 Filed Document 0001013594-13-000590 Exclusions or Exemptions 506b Accepted Date 2013-12-31 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
West Face Alternative Credit Cayman L.P. See All Filings	D	2013-12-31 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001595482 Filed Document 0001595482-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-12-31 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
Encore Energy, Inc. See All Filings	D	2013-12-31 00:00:00 UTC
Amount To Be Raised $1,541,250 Associated Brokers / Dealers N/A CIK Number 0001532342 Filed Document 0001532342-13-000003 Exclusions or Exemptions 506b Accepted Date 2013-12-31 00:00:00 UTC Type of Offering D Industry Oil and Gas Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Mineral Property
Daylight Digital, Inc. See All Filings	D	2013-12-31 00:00:00 UTC
Amount To Be Raised $350,000 Associated Brokers / Dealers N/A CIK Number 0001593894 Filed Document 0001587668-13-000003 Exclusions or Exemptions 506b Accepted Date 2013-12-31 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 Debt
Adapteva, Inc. See All Filings	D	2013-12-31 00:00:00 UTC
Amount To Be Raised $3,600,000 Associated Brokers / Dealers N/A CIK Number 0001473283 Filed Document 0001473283-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-12-31 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Equity
Omada MGP, Ltd See All Filings	D	2013-12-31 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001595636 Filed Document 0000950142-14-000006 Exclusions or Exemptions 506b Accepted Date 2013-12-31 00:00:00 UTC Type of Offering D Industry Investing Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
Hartford Life Insurance Co Separate Account ICMG III-B See All Filings	D/A	2013-12-31 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Lynch and Associates, Executive Services Securities, LLC, Executive Services Securities, LLC, M Holdings Securities, Inc., and Newport Group Securities, Inc. CIK Number 0001459851 Filed Document 0001104659-14-003747 Exclusions or Exemptions 506b Accepted Date 2013-12-31 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
SOUND MARK HORIZONS FUND, LP See All Filings	D/A	2013-12-31 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001588444 Filed Document 0001588444-14-000001 Exclusions or Exemptions 506b Accepted Date 2013-12-31 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
TerraX Minerals Inc. See All Filings	D	2013-12-31 00:00:00 UTC
Amount To Be Raised $571,586 Associated Brokers / Dealers Wolverton Securities (USA), Ltd. CIK Number 0001595332 Filed Document 0001595332-14-000001 Exclusions or Exemptions 506b Accepted Date 2013-12-31 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business BRITISH COLUMBIA, CANADA Revenue or Assets $No Revenues Type of Security Equity
Tricida, Inc. See All Filings	D	2013-12-31 00:00:00 UTC
Amount To Be Raised $13,164,243 Associated Brokers / Dealers N/A CIK Number 0001595585 Filed Document 0001595585-14-000002 Exclusions or Exemptions 506b Accepted Date 2013-12-31 00:00:00 UTC Type of Offering D Industry Pharmaceuticals Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Atlas Investment Partners LP See All Filings	D	2013-12-31 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001595501 Filed Document 0001595501-14-000001 Exclusions or Exemptions 506b Accepted Date 2013-12-31 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business ILLINOIS Revenue or Assets $$1 - $5,000,000 Type of Security Pooled Investment Fund
FPWL5 SEQ LLC See All Filings	D/A	2013-12-31 00:00:00 UTC
Amount To Be Raised $12,725,501 Associated Brokers / Dealers N/A CIK Number 0001580163 Filed Document 0001580163-13-000003 Exclusions or Exemptions 506b Accepted Date 2013-12-31 00:00:00 UTC Type of Offering D/A Industry Commercial Principal Place of Business WASHINGTON Revenue or Assets $No Revenues Type of Security Equity
Inspired Homes, LLC See All Filings	D	2013-12-31 00:00:00 UTC
Amount To Be Raised $1,250,000 Associated Brokers / Dealers N/A CIK Number 0001595843 Filed Document 0001595843-14-000001 Exclusions or Exemptions 506b Accepted Date 2013-12-31 00:00:00 UTC Type of Offering D Industry Residential Principal Place of Business MISSOURI Revenue or Assets Decline to Disclose Type of Security Equity
Progenitor Life Sciences LLC See All Filings	D	2013-12-31 00:00:00 UTC
Amount To Be Raised $200,000 Associated Brokers / Dealers N/A CIK Number 0001595632 Filed Document 0001595632-14-000001 Exclusions or Exemptions 506b Accepted Date 2013-12-31 00:00:00 UTC Type of Offering D Industry Biotechnology Principal Place of Business UTAH Revenue or Assets $No Revenues Type of Security Equity