Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
REGIS CORP See All Filings	D	2013-12-04 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Cowen and Company LLC CIK Number 0000716643 Filed Document 0001104659-13-088404 Exclusions or Exemptions 506b Accepted Date 2013-12-04 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business MINNESOTA Revenue or Assets $Over $100,000,000 Type of Security Debt
VenatoRx Pharmaceuticals, Inc. See All Filings	D	2013-12-04 00:00:00 UTC
Amount To Be Raised $3,978,000 Associated Brokers / Dealers N/A CIK Number 0001590501 Filed Document 0001590501-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-12-04 00:00:00 UTC Type of Offering D Industry Biotechnology Principal Place of Business PENNSYLVANIA Revenue or Assets Decline to Disclose Type of Security Equity
Adtrib, Inc. See All Filings	D	2013-12-04 00:00:00 UTC
Amount To Be Raised $249,992 Associated Brokers / Dealers N/A CIK Number 0001593171 Filed Document 0001593171-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-12-04 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
Six Train Productions Ltd Liability Co See All Filings	D	2013-12-04 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers NONE CIK Number 0001591378 Filed Document 0001591378-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-12-04 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business NEW YORK Revenue or Assets $No Revenues Type of Security Equity
BAY RESOURCE PARTNERS LP See All Filings	D/A	2013-12-04 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0000899037 Filed Document 0000899037-14-000001 Exclusions or Exemptions 506b Accepted Date 2013-12-04 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business GEORGIA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
SwanCap Opportunities Fund SCS - SIF See All Filings	D/A	2013-12-04 00:00:00 UTC
Amount To Be Raised $200,000,000 Associated Brokers / Dealers UBS Securities LLC CIK Number 0001592624 Filed Document 0001592624-13-000002 Exclusions or Exemptions 506b Accepted Date 2013-12-04 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business LUXEMBOURG Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
YASHI INC See All Filings	D	2013-12-04 00:00:00 UTC
Amount To Be Raised $1,500,022 Associated Brokers / Dealers N/A CIK Number 0001565057 Filed Document 0001565057-13-000002 Exclusions or Exemptions 506b Accepted Date 2013-12-04 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 Equity
Special Credit Opportunities (Offshore), L.P. See All Filings	D/A	2013-12-04 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001563452 Filed Document 0001140361-13-044936 Exclusions or Exemptions 506b Accepted Date 2013-12-04 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
KUBOO, INC. See All Filings	D/A	2013-12-04 00:00:00 UTC
Amount To Be Raised $1,750,000 Associated Brokers / Dealers N/A CIK Number 0001051209 Filed Document 0001051209-13-000017 Exclusions or Exemptions 506b Accepted Date 2013-12-04 00:00:00 UTC Type of Offering D/A Industry Computers Principal Place of Business ARIZONA Revenue or Assets $No Revenues Type of Security Equity
5AM Co-Investors IV, L.P. See All Filings	D	2013-12-04 00:00:00 UTC
Amount To Be Raised $10,000,000 Associated Brokers / Dealers N/A CIK Number 0001593361 Filed Document 0001593361-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-12-04 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business CALIFORNIA Revenue or Assets $Not Applicable Type of Security Pooled Investment Fund
Delaware Management Holdings, Inc. See All Filings	D/A	2013-12-04 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0000921739 Filed Document 0001307942-13-000018 Exclusions or Exemptions 506b Accepted Date 2013-12-04 00:00:00 UTC Type of Offering D/A Industry Other Principal Place of Business PENNSYLVANIA Revenue or Assets Decline to Disclose Type of Security Equity
ACM PARTNERS LLC See All Filings	D	2013-12-04 00:00:00 UTC
Amount To Be Raised $11,750,000 Associated Brokers / Dealers N/A CIK Number 0001358761 Filed Document 0001358761-13-000004 Exclusions or Exemptions 506b Accepted Date 2013-12-04 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 Equity
NCH Agribusiness Partners II, L.P. See All Filings	D	2013-12-04 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001593367 Filed Document 0001181431-13-061507 Exclusions or Exemptions 506b Accepted Date 2013-12-04 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 Equity
Fileblaze, Inc. See All Filings	D	2013-12-04 00:00:00 UTC
Amount To Be Raised $450,000 Associated Brokers / Dealers N/A CIK Number 0001566909 Filed Document 0001566909-13-000004 Exclusions or Exemptions 506b Accepted Date 2013-12-04 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Debt
Eckard Global, LLC See All Filings	D	2013-12-04 00:00:00 UTC
Amount To Be Raised $62,477 Associated Brokers / Dealers N/A CIK Number 0001551756 Filed Document 0001551756-13-000016 Exclusions or Exemptions 506b Accepted Date 2013-12-04 00:00:00 UTC Type of Offering D Industry Oil and Gas Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
Celect LLC See All Filings	D	2013-12-04 00:00:00 UTC
Amount To Be Raised $1,000,000 Associated Brokers / Dealers N/A CIK Number 0001593295 Filed Document 0001140361-13-044924 Exclusions or Exemptions 506b Accepted Date 2013-12-04 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
Amundi Smith Breeden Institutional Short Duration Fund Ltd. See All Filings	D/A	2013-12-04 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001541281 Filed Document 0000919574-13-006862 Exclusions or Exemptions 506b Accepted Date 2013-12-04 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business NORTH CAROLINA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Misfit Wearables Corp See All Filings	D	2013-12-04 00:00:00 UTC
Amount To Be Raised $15,500,002 Associated Brokers / Dealers N/A CIK Number 0001535557 Filed Document 0001535557-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-12-04 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 Equity
Mozido, Inc. See All Filings	D	2013-12-04 00:00:00 UTC
Amount To Be Raised $70,000,000 Associated Brokers / Dealers N/A CIK Number 0001593484 Filed Document 0001593484-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-12-04 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
BTI Systems Inc. See All Filings	D	2013-12-04 00:00:00 UTC
Amount To Be Raised $25,000,000 Associated Brokers / Dealers CIBC WORLD MARKETS INC. CIK Number 0001450762 Filed Document 0001450762-13-000003 Exclusions or Exemptions 506b Accepted Date 2013-12-04 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
Elion Real Estate Fund III, LP See All Filings	D	2013-12-04 00:00:00 UTC
Amount To Be Raised $100,000,000 Associated Brokers / Dealers N/A CIK Number 0001593512 Filed Document 0001593512-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-12-04 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
Silver Arrow Partners, L.P. See All Filings	D/A	2013-12-04 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001464356 Filed Document 0001464356-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-12-04 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
Ohr Cosmetics, LLC See All Filings	D	2013-12-04 00:00:00 UTC
Amount To Be Raised $1,250,000 Associated Brokers / Dealers N/A CIK Number 0001593359 Filed Document 0001593359-13-000002 Exclusions or Exemptions 506b Accepted Date 2013-12-04 00:00:00 UTC Type of Offering D Industry Other Health Care Principal Place of Business NEW JERSEY Revenue or Assets $No Revenues Type of Security Equity
GDC, LLC See All Filings	D	2013-12-04 00:00:00 UTC
Amount To Be Raised $2,250,000 Associated Brokers / Dealers N/A CIK Number 0001593115 Filed Document 0001593115-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-12-04 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business MISSOURI Revenue or Assets Decline to Disclose Type of Security Equity
Strategic Growth Bancorp Inc. See All Filings	D	2013-12-04 00:00:00 UTC
Amount To Be Raised $2,000 Associated Brokers / Dealers N/A CIK Number 0001539830 Filed Document 0000950103-13-007105 Exclusions or Exemptions 505 and 506b Accepted Date 2013-12-04 00:00:00 UTC Type of Offering D Industry Commercial Banking Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
SOFT TISSUE REGENERATION, INC. See All Filings	D	2013-12-04 00:00:00 UTC
Amount To Be Raised $5,500,000 Associated Brokers / Dealers N/A CIK Number 0001431625 Filed Document 0001431625-13-000002 Exclusions or Exemptions 506b Accepted Date 2013-12-04 00:00:00 UTC Type of Offering D Industry Biotechnology Principal Place of Business CONNECTICUT Revenue or Assets $No Revenues Type of Security Equity
Lytics, Inc. See All Filings	D/A	2013-12-04 00:00:00 UTC
Amount To Be Raised $2,218,975 Associated Brokers / Dealers N/A CIK Number 0001579528 Filed Document 0001579528-13-000003 Exclusions or Exemptions 506b Accepted Date 2013-12-04 00:00:00 UTC Type of Offering D/A Industry Other Technology Principal Place of Business OREGON Revenue or Assets Decline to Disclose Type of Security Equity
Meyers Road Investments vAuto, LLC See All Filings	D	2013-12-04 00:00:00 UTC
Amount To Be Raised $2,575,000 Associated Brokers / Dealers N/A CIK Number 0001591258 Filed Document 0001591258-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-12-04 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
Semper Active MBS Fund, Ltd. See All Filings	D/A	2013-12-04 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001590414 Filed Document 0000945621-13-000353 Exclusions or Exemptions 506b Accepted Date 2013-12-04 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
CAPRICOR THERAPEUTICS, INC. See All Filings	D	2013-12-04 00:00:00 UTC
Amount To Be Raised $26,289,973 Associated Brokers / Dealers N/A CIK Number 0001133869 Filed Document 0001144204-13-065673 Exclusions or Exemptions 506b Accepted Date 2013-12-04 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
Garrison Middle Market Funding LP See All Filings	D/A	2013-12-04 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001561903 Filed Document 0001561903-13-000002 Exclusions or Exemptions 506b Accepted Date 2013-12-04 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
Amundi Smith Breeden Securitized Credit Opportunities Ltd. See All Filings	D/A	2013-12-04 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001587360 Filed Document 0000919574-13-006863 Exclusions or Exemptions 506b Accepted Date 2013-12-04 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business NORTH CAROLINA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Founders' Series, a series of Balter '40 Act Capital Alternatives, L.P. See All Filings	D	2013-12-04 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001593481 Filed Document 0000898432-13-001438 Exclusions or Exemptions 506b Accepted Date 2013-12-04 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
TSG - Timber Oaks, L.P. See All Filings	D/A	2013-12-04 00:00:00 UTC
Amount To Be Raised $5,000,000 Associated Brokers / Dealers Shopoff Securities Inc. CIK Number 0001587416 Filed Document 0001587416-13-000002 Exclusions or Exemptions 506c Accepted Date 2013-12-04 00:00:00 UTC Type of Offering D/A Industry Commercial Principal Place of Business TEXAS Revenue or Assets $No Revenues Type of Security Other
AUDIOEYE INC See All Filings	D/A	2013-12-04 00:00:00 UTC
Amount To Be Raised $2,250,000 Associated Brokers / Dealers Janco Partners, Inc. CIK Number 0001362190 Filed Document 0001250853-13-000126 Exclusions or Exemptions 506b Accepted Date 2013-12-04 00:00:00 UTC Type of Offering D/A Industry Computers Principal Place of Business ARIZONA Revenue or Assets $$1,000,001 - $5,000,000 Type of Security Equity
Blind Tiger Republic, Inc. See All Filings	D	2013-12-04 00:00:00 UTC
Amount To Be Raised $150,000 Associated Brokers / Dealers N/A CIK Number 0001593431 Filed Document 0001593431-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-12-04 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
YieldMo, Inc. See All Filings	D	2013-12-04 00:00:00 UTC
Amount To Be Raised $8,000,000 Associated Brokers / Dealers N/A CIK Number 0001593326 Filed Document 0001593326-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-12-04 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity
Mount Kellett Capital Partners (Cayman) III, L.P. See All Filings	D	2013-12-04 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Park Hill Group LLC CIK Number 0001593304 Filed Document 0000902664-13-003894 Exclusions or Exemptions 506b Accepted Date 2013-12-04 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 Equity
Shibumi.com, Inc. See All Filings	D	2013-12-04 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001559961 Filed Document 0001559961-13-000002 Exclusions or Exemptions 506b Accepted Date 2013-12-04 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
Partners Group JRP RE Investments, L.P. Inc. See All Filings	D/A	2013-12-04 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001587039 Filed Document 0001593455-13-000002 Exclusions or Exemptions 506b Accepted Date 2013-12-04 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business Y7 Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
BARKER MINERALS LTD See All Filings	D	2013-12-04 00:00:00 UTC
Amount To Be Raised $476,750 Associated Brokers / Dealers N/A CIK Number 0001280232 Filed Document 0001280232-13-000002 Exclusions or Exemptions 506b Accepted Date 2013-12-04 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business BRITISH COLUMBIA, CANADA Revenue or Assets Decline to Disclose Type of Security Equity
International Growth Fund, LP See All Filings	D/A	2013-12-04 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001537916 Filed Document 0001537916-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-12-04 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business MARYLAND Revenue or Assets $No Aggregate Net Asset Value Type of Security Pooled Investment Fund
DP Electronic Recycling, Inc. See All Filings	D	2013-12-04 00:00:00 UTC
Amount To Be Raised $100,000 Associated Brokers / Dealers N/A CIK Number 0001564555 Filed Document 0001564555-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-12-04 00:00:00 UTC Type of Offering D Industry Environmental Services Principal Place of Business WISCONSIN Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Specialty Surgical Center of Thousand Oaks, LLC See All Filings	D	2013-12-03 00:00:00 UTC
Amount To Be Raised $1,465,113 Associated Brokers / Dealers John Riddle CIK Number 0001345687 Filed Document 0001345687-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-12-03 00:00:00 UTC Type of Offering D Industry Hospitals and Physicians Principal Place of Business TENNESSEE Revenue or Assets Decline to Disclose Type of Security Equity
PROFIRE ENERGY INC See All Filings	D	2013-12-03 00:00:00 UTC
Amount To Be Raised $4,735,843 Associated Brokers / Dealers Chardan Capital Markets and Maxim Group LLC CIK Number 0001289636 Filed Document 0001181431-13-061186 Exclusions or Exemptions 506b Accepted Date 2013-12-03 00:00:00 UTC Type of Offering D Industry Oil and Gas Principal Place of Business UTAH Revenue or Assets Decline to Disclose Type of Security Equity
Strategy Capital LLC See All Filings	D	2013-12-03 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001592413 Filed Document 0001592413-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-12-03 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 Equity
Shazam Holdings, LLC See All Filings	D	2013-12-03 00:00:00 UTC
Amount To Be Raised $3,000,000 Associated Brokers / Dealers N/A CIK Number 0001593327 Filed Document 0001181431-13-061910 Exclusions or Exemptions 506b Accepted Date 2013-12-03 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business MINNESOTA Revenue or Assets Decline to Disclose Type of Security Equity
Reality Mobile Group Inc. See All Filings	D	2013-12-03 00:00:00 UTC
Amount To Be Raised $75,000 Associated Brokers / Dealers N/A CIK Number 0001474488 Filed Document 0001474488-13-000004 Exclusions or Exemptions 506b Accepted Date 2013-12-03 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business VIRGINIA Revenue or Assets Decline to Disclose Type of Security Equity
ZEBRA IMAGING INC See All Filings	D/A	2013-12-03 00:00:00 UTC
Amount To Be Raised $5,232,002 Associated Brokers / Dealers N/A CIK Number 0001052348 Filed Document 0001052348-13-000009 Exclusions or Exemptions 506b Accepted Date 2013-12-03 00:00:00 UTC Type of Offering D/A Industry Other Technology Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Debt
Javelin Capital Markets, LLC See All Filings	D/A	2013-12-03 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Edward McElwreath CIK Number 0001543398 Filed Document 0001543398-13-000005 Exclusions or Exemptions 506c Accepted Date 2013-12-03 00:00:00 UTC Type of Offering D/A Industry Other Banking and Financial Services Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity