Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
GLG European Long-Short Fund LP See All Filings	D/A	2014-08-14 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Man Investments Inc., Barclays Capital Inc., CAIS Capital LLC, J.P. Morgan Securities LLC, and Merrill Lynch, Pierce, Fenner & Smith Incorporated CIK Number 0001551784 Filed Document 0000902664-14-003607 Exclusions or Exemptions 506b Accepted Date 2014-08-14 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
PATRON HOLDINGS, LLC See All Filings	D/A	2014-08-14 00:00:00 UTC
Amount To Be Raised $3,500,000 Associated Brokers / Dealers None CIK Number 0001491929 Filed Document 0001491929-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-14 00:00:00 UTC Type of Offering D/A Industry Other Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Debt
Two Sigma Absolute Return Enhanced Cayman Fund, Ltd. See All Filings	D/A	2014-08-14 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001556024 Filed Document 0000919574-14-004648 Exclusions or Exemptions 506b Accepted Date 2014-08-14 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
PROTEOSTASIS THERAPEUTICS, INC. See All Filings	D	2014-08-14 00:00:00 UTC
Amount To Be Raised $10,000,000 Associated Brokers / Dealers N/A CIK Number 0001445283 Filed Document 0001616264-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-08-14 00:00:00 UTC Type of Offering D Industry Biotechnology Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Debt
Mountain Origins Design LLC See All Filings	D	2014-08-14 00:00:00 UTC
Amount To Be Raised $6,500,000 Associated Brokers / Dealers N/A CIK Number 0001544121 Filed Document 0001544121-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-14 00:00:00 UTC Type of Offering D Industry Manufacturing Principal Place of Business WYOMING Revenue or Assets Decline to Disclose Type of Security Equity
Global Timber Resources Investor Fund, LP See All Filings	D	2014-08-14 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001616583 Filed Document 0001616583-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-14 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
M11 Motors, LLC See All Filings	D	2014-08-14 00:00:00 UTC
Amount To Be Raised $1,000,000 Associated Brokers / Dealers N/A CIK Number 0001616506 Filed Document 0001616506-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-14 00:00:00 UTC Type of Offering D Industry Retailing Principal Place of Business OHIO Revenue or Assets $No Revenues Type of Security Equity
TIAA-CREF Global Agriculture II LLC See All Filings	D	2014-08-14 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001616610 Filed Document 0001616610-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-14 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
Elevance Renewable Sciences, Inc. See All Filings	D	2014-08-14 00:00:00 UTC
Amount To Be Raised $38,600,300 Associated Brokers / Dealers N/A CIK Number 0001510100 Filed Document 0001510100-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-08-14 00:00:00 UTC Type of Offering D Industry Manufacturing Principal Place of Business ILLINOIS Revenue or Assets Decline to Disclose Type of Security Equity
AIM Bancshares, Inc. See All Filings	D	2014-08-14 00:00:00 UTC
Amount To Be Raised $19,998,000 Associated Brokers / Dealers N/A CIK Number 0001616398 Filed Document 0001616398-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-14 00:00:00 UTC Type of Offering D Industry Other Banking and Financial Services Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
PFM Global Long Alpha Offshore Fund, Ltd. See All Filings	D	2014-08-14 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001616592 Filed Document 0000935836-14-000475 Exclusions or Exemptions 506b Accepted Date 2014-08-14 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
Monroe Capital Senior Secured Direct Loan Fund (Unleveraged) LP See All Filings	D/A	2014-08-14 00:00:00 UTC
Amount To Be Raised $232,761,667 Associated Brokers / Dealers du Pasqiuer & Co., Inc. and Shoreline Global Investments Inc. CIK Number 0001580476 Filed Document 0001580476-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-14 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
OutsourceOne, Inc. See All Filings	D	2014-08-14 00:00:00 UTC
Amount To Be Raised $5,000,000 Associated Brokers / Dealers N/A CIK Number 0001616142 Filed Document 0001616142-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-14 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business MINNESOTA Revenue or Assets Decline to Disclose Type of Security Debt
Personal, Inc. See All Filings	D	2014-08-14 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001486516 Filed Document 0001486516-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-14 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business DISTRICT OF COLUMBIA Revenue or Assets Decline to Disclose Type of Security Other
GenoSpace, LLC See All Filings	D	2014-08-14 00:00:00 UTC
Amount To Be Raised $5,000,000 Associated Brokers / Dealers N/A CIK Number 0001616540 Filed Document 0001616540-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-14 00:00:00 UTC Type of Offering D Industry Biotechnology Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Equity
All Party System Co. See All Filings	D/A	2014-08-14 00:00:00 UTC
Amount To Be Raised $3,900 Associated Brokers / Dealers All Party System Co. CIK Number 0001592929 Filed Document 0001592929-14-000041 Exclusions or Exemptions 506c Accepted Date 2014-08-14 00:00:00 UTC Type of Offering D/A Industry Business Services Principal Place of Business CALIFORNIA Revenue or Assets $$1 - $1,000,000 Type of Security Other
Rubicon Partners, L.P. See All Filings	D/A	2014-08-14 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001140492 Filed Document 0000919574-14-004864 Exclusions or Exemptions 506b Accepted Date 2014-08-14 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
Global Diversified Fund, Ltd. See All Filings	D/A	2014-08-14 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001582067 Filed Document 0001582067-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-14 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
Great Ajax Corp. See All Filings	D/A	2014-08-14 00:00:00 UTC
Amount To Be Raised $130,000,000 Associated Brokers / Dealers N/A CIK Number 0001614806 Filed Document 0001614806-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-08-14 00:00:00 UTC Type of Offering D/A Industry REITS and Finance Principal Place of Business OREGON Revenue or Assets Decline to Disclose Type of Security Equity
Emerging Markets Alpha Fund LLC See All Filings	D/A	2014-08-13 15:24:32 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001531554 Filed Document 0001140361-14-032176 Exclusions or Exemptions 506b Accepted Date 2014-08-13 15:24:32 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business DELAWARE Revenue or Assets Decline to Disclose Type of Security Equity
EFFECTOR THERAPEUTICS, INC. See All Filings	D/A	2014-08-13 00:00:00 UTC
Amount To Be Raised $56,983,867 Associated Brokers / Dealers N/A CIK Number 0001577561 Filed Document 0001140361-14-032329 Exclusions or Exemptions 506b Accepted Date 2014-08-13 00:00:00 UTC Type of Offering D/A Industry Biotechnology Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Styrk Inc. See All Filings	D	2014-08-13 00:00:00 UTC
Amount To Be Raised $20,000,000 Associated Brokers / Dealers N/A CIK Number 0001615243 Filed Document 0001615243-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-13 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business NEW JERSEY Revenue or Assets $No Revenues Type of Security Equity
Texxon Oil Corp See All Filings	D/A	2014-08-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001616464 Filed Document 0001176256-14-000344 Exclusions or Exemptions 506b Accepted Date 2014-08-13 00:00:00 UTC Type of Offering D/A Industry Other Energy Principal Place of Business NEVADA Revenue or Assets $No Revenues Type of Security Equity
Spring Valley Apartments LLC See All Filings	D	2014-08-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001616599 Filed Document 0001616599-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-13 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
BBH Wealth Strategies Unit Trust - Coatue Sub-Trust See All Filings	D/A	2014-08-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001581662 Filed Document 0001581662-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-13 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
G2 Investment Partners LP See All Filings	D/A	2014-08-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001472168 Filed Document 0000919574-14-004349 Exclusions or Exemptions 506b Accepted Date 2014-08-13 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
Group Care Technologies, LLC See All Filings	D	2014-08-13 00:00:00 UTC
Amount To Be Raised $3,000,000 Associated Brokers / Dealers N/A CIK Number 0001615953 Filed Document 0001615953-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-13 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business FLORIDA Revenue or Assets Decline to Disclose Type of Security Security To Be Acquired
Waypoint Port St Lucie Investors, LP See All Filings	D	2014-08-13 00:00:00 UTC
Amount To Be Raised $6,200,000 Associated Brokers / Dealers BROADWAY DIRECT INVESTMENTS, LLC CIK Number 0001615573 Filed Document 0001615573-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-13 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
Yext, Inc. See All Filings	D	2014-08-13 00:00:00 UTC
Amount To Be Raised $50,250,006 Associated Brokers / Dealers N/A CIK Number 0001614178 Filed Document 0000905718-14-000509 Exclusions or Exemptions 506b Accepted Date 2014-08-13 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
Lone Juniper, L.P. See All Filings	D/A	2014-08-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001114553 Filed Document 0000902664-14-003461 Exclusions or Exemptions 506b Accepted Date 2014-08-13 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 Pooled Investment Fund
Ticket Evolution Inc. See All Filings	D	2014-08-13 00:00:00 UTC
Amount To Be Raised $722,498 Associated Brokers / Dealers N/A CIK Number 0001572344 Filed Document 0001572344-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-13 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
Storeport Retail Services, Inc. See All Filings	D	2014-08-13 00:00:00 UTC
Amount To Be Raised $350,000 Associated Brokers / Dealers N/A CIK Number 0001578070 Filed Document 0001578070-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-13 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business CONNECTICUT Revenue or Assets $$1 - $1,000,000 Type of Security Equity
WESTAIM CORP See All Filings	D	2014-08-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001108828 Filed Document 0001108828-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-08-13 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 Equity
Sophos Return Partners, L.P. See All Filings	D	2014-08-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001615980 Filed Document 0000935836-14-000471 Exclusions or Exemptions 506b Accepted Date 2014-08-13 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
Maxim-LDD Executives, LLC See All Filings	D	2014-08-13 00:00:00 UTC
Amount To Be Raised $1,915,000 Associated Brokers / Dealers N/A CIK Number 0001616470 Filed Document 0001616470-14-000001 Exclusions or Exemptions 506c Accepted Date 2014-08-13 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business ILLINOIS Revenue or Assets $No Revenues Type of Security Equity
FORT WARREN OPPORTUNITIES OFFSHORE FUND, LTD. See All Filings	D	2014-08-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001616129 Filed Document 0001140361-14-032127 Exclusions or Exemptions 506b Accepted Date 2014-08-13 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
ANCHORAGE SHORT CREDIT FUND LP See All Filings	D/A	2014-08-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001387082 Filed Document 0001387082-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-13 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
ALMADEN MINERALS LTD See All Filings	D	2014-08-13 00:00:00 UTC
Amount To Be Raised $2,572,000 Associated Brokers / Dealers N/A CIK Number 0001015647 Filed Document 0001102624-14-001323 Exclusions or Exemptions 506b Accepted Date 2014-08-13 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business BRITISH COLUMBIA, CANADA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
KEMENY 319A, LLC See All Filings	D	2014-08-13 00:00:00 UTC
Amount To Be Raised $2,000,000 Associated Brokers / Dealers N/A CIK Number 0001615227 Filed Document 0001615227-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-13 00:00:00 UTC Type of Offering D Industry Residential Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Equity
Candlewood Structured Credit Harvest Fund, LP See All Filings	D/A	2014-08-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Far Hills Group, LLC, Credit Suisse Securities (USA) LLC, and First Liberties Financial CIK Number 0001555231 Filed Document 0001555231-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-13 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
Apollo Medical Holdings, Inc. See All Filings	D	2014-08-13 00:00:00 UTC
Amount To Be Raised $1,000,000 Associated Brokers / Dealers N/A CIK Number 0001083446 Filed Document 0000935836-14-000469 Exclusions or Exemptions 506b Accepted Date 2014-08-13 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 Option To Acquire
STOCKSHIELD, INC. See All Filings	D	2014-08-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001432398 Filed Document 0001432398-14-000006 Exclusions or Exemptions 506c Accepted Date 2014-08-13 00:00:00 UTC Type of Offering D Industry Other Banking and Financial Services Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Packback, Inc. See All Filings	D	2014-08-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001616468 Filed Document 0001616468-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-08-13 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business ILLINOIS Revenue or Assets Decline to Disclose Type of Security Equity
Ottawa Capital, LLC See All Filings	D	2014-08-13 00:00:00 UTC
Amount To Be Raised $2,000,000 Associated Brokers / Dealers N/A CIK Number 0001616585 Filed Document 0001616585-14-000001 Exclusions or Exemptions 505 and 506b Accepted Date 2014-08-13 00:00:00 UTC Type of Offering D Industry Other Banking and Financial Services Principal Place of Business UTAH Revenue or Assets $$1,000,001 - $5,000,000 Type of Security Debt
Palo Duro Partnership, LP See All Filings	D	2014-08-13 00:00:00 UTC
Amount To Be Raised $1,450,000 Associated Brokers / Dealers N/A CIK Number 0001616542 Filed Document 0001616542-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-13 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
enosiX, Inc. See All Filings	D	2014-08-13 00:00:00 UTC
Amount To Be Raised $2,749,999 Associated Brokers / Dealers N/A CIK Number 0001616067 Filed Document 0000892251-14-000078 Exclusions or Exemptions 506b Accepted Date 2014-08-13 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
Workforce Opportunity Fund I, L.P. See All Filings	D	2014-08-13 00:00:00 UTC
Amount To Be Raised $50,000,000 Associated Brokers / Dealers Growth Capital Services, Inc. CIK Number 0001616338 Filed Document 0001616338-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-08-13 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
Dalradian Resources Inc. See All Filings	D	2014-08-13 00:00:00 UTC
Amount To Be Raised $13,949,901 Associated Brokers / Dealers Sprott Global Resource Investments, Ltd., Canaccord Genuity Corp., Cormark Securities Inc., BMO Nesbitt Burns Inc., Beacon Securities Limited, Dundee Securities Ltd., Jennings Capital Inc., and National Bank Financial Inc. CIK Number 0001499191 Filed Document 0001062993-14-004898 Exclusions or Exemptions 506b Accepted Date 2014-08-13 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business ONTARIO, CANADA Revenue or Assets Decline to Disclose Type of Security Equity
MAPLE LEAF PARTNERS LP See All Filings	D/A	2014-08-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001166138 Filed Document 0001166138-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-13 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business FLORIDA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Floor64, Inc. See All Filings	D	2014-08-13 00:00:00 UTC
Amount To Be Raised $1,673,504 Associated Brokers / Dealers N/A CIK Number 0001383625 Filed Document 0001383625-14-000005 Exclusions or Exemptions 506b Accepted Date 2014-08-13 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