Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
Student Loan Benefits,Inc See All Filings	D	2018-04-12 17:31:15 UTC
Amount To Be Raised $5,826,132 Associated Brokers / Dealers N/A CIK Number 0001667740 Filed Document 0001731903-18-000003 Exclusions or Exemptions 506b Accepted Date 2018-04-12 17:31:15 UTC Type of Offering D Industry Business Services Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
Ocean Lane Global Fund See All Filings	D/A	2018-04-12 17:29:40 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001581832 Filed Document 0001581832-18-000002 Exclusions or Exemptions 506b Accepted Date 2018-04-12 17:29:40 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business FLORIDA Revenue or Assets $$5,000,001 - $25,000,000 Type of Security Pooled Investment Fund
Valkyrie Resources Partners, LLC See All Filings	D	2018-04-12 17:28:41 UTC
Amount To Be Raised $150,000,000 Associated Brokers / Dealers N/A CIK Number 0001737059 Filed Document 0001737059-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-12 17:28:41 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business COLORADO Revenue or Assets Decline to Disclose Type of Security Equity
EVR Foods, Inc. See All Filings	D	2018-04-12 17:26:00 UTC
Amount To Be Raised $3,000,000 Associated Brokers / Dealers N/A CIK Number 0001702418 Filed Document 0001702418-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-12 17:26:00 UTC Type of Offering D Industry Other Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Debt
Oceanwood European Financial Select Opportunities Fund, LP See All Filings	D/A	2018-04-12 17:17:25 UTC
Amount To Be Raised $500,000,000 Associated Brokers / Dealers N/A CIK Number 0001644067 Filed Document 0001315863-18-000340 Exclusions or Exemptions 506b Accepted Date 2018-04-12 17:17:25 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
Sprocket, Inc. See All Filings	D	2018-04-12 17:16:48 UTC
Amount To Be Raised $750,000 Associated Brokers / Dealers N/A CIK Number 0001737216 Filed Document 0001737216-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-12 17:16:48 UTC Type of Offering D Industry Other Technology Principal Place of Business DELAWARE Revenue or Assets $No Revenues Type of Security Option To Acquire
Oceanwood European Financial Select Opportunities Fund See All Filings	D/A	2018-04-12 17:15:56 UTC
Amount To Be Raised $500,000,000 Associated Brokers / Dealers N/A CIK Number 0001644068 Filed Document 0001315863-18-000339 Exclusions or Exemptions 506b Accepted Date 2018-04-12 17:15:56 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
Pabrai Investment Fund 2, L.P. See All Filings	D	2018-04-12 17:15:35 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001571785 Filed Document 0001571785-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-12 17:15:35 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business CALIFORNIA Revenue or Assets $Over $100,000,000 Type of Security Pooled Investment Fund
SRP CEH Partners, LP See All Filings	D	2018-04-12 17:15:21 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001736849 Filed Document 0000950142-18-000974 Exclusions or Exemptions 506b Accepted Date 2018-04-12 17:15:21 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
Dentasol Inc. See All Filings	D/A	2018-04-12 17:14:26 UTC
Amount To Be Raised $1,000,000 Associated Brokers / Dealers N/A CIK Number 0001723626 Filed Document 0001723626-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-12 17:14:26 UTC Type of Offering D/A Industry Other Health Care Principal Place of Business WASHINGTON Revenue or Assets Decline to Disclose Type of Security Equity
HAMBURG COMMERCE PARK HOLDINGS, LLC See All Filings	D	2018-04-12 17:12:02 UTC
Amount To Be Raised $24,200,000 Associated Brokers / Dealers N/A CIK Number 0001737297 Filed Document 0001737297-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-12 17:12:02 UTC Type of Offering D Industry Commercial Principal Place of Business NORTH CAROLINA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
OPPORTUNITY FUND COMMUNITY DEVELOPMENT See All Filings	D	2018-04-12 17:11:13 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001736263 Filed Document 0001736263-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-12 17:11:13 UTC Type of Offering D Industry Other Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Debt
Pabrai Investment Fund 3, Ltd. See All Filings	D	2018-04-12 17:09:37 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001571780 Filed Document 0001571780-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-12 17:09:37 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business CALIFORNIA Revenue or Assets $Over $100,000,000 Type of Security Pooled Investment Fund
Arbour Square II Glen Mills, L.P. See All Filings	D/A	2018-04-12 17:09:33 UTC
Amount To Be Raised $13,700,000 Associated Brokers / Dealers N/A CIK Number 0001737387 Filed Document 0001737387-18-000002 Exclusions or Exemptions 506b Accepted Date 2018-04-12 17:09:33 UTC Type of Offering D/A Industry Residential Principal Place of Business PENNSYLVANIA Revenue or Assets Decline to Disclose Type of Security Equity
TPEG RSL Investors LLC See All Filings	D	2018-04-12 17:07:09 UTC
Amount To Be Raised $3,750,000 Associated Brokers / Dealers TPEG Securities LLC CIK Number 0001726210 Filed Document 0001684126-18-000002 Exclusions or Exemptions 506b Accepted Date 2018-04-12 17:07:09 UTC Type of Offering D Industry Investing Principal Place of Business TEXAS Revenue or Assets $No Revenues Type of Security Equity
Carube Copper Corp. See All Filings	D	2018-04-12 17:07:06 UTC
Amount To Be Raised $230,353 Associated Brokers / Dealers Ecoban Securities Corporation CIK Number 0001737319 Filed Document 0001737319-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-12 17:07:06 UTC Type of Offering D Industry Other Principal Place of Business ONTARIO, CANADA Revenue or Assets $No Revenues Type of Security Equity
Global Transport Income Fund Master Partnership SCSp See All Filings	D/A	2018-04-12 16:55:07 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers n/a CIK Number 0001711305 Filed Document 0001724505-18-000002 Exclusions or Exemptions 506b Accepted Date 2018-04-12 16:55:07 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
SWYCH INC. See All Filings	D	2018-04-12 16:54:20 UTC
Amount To Be Raised $2,000,000 Associated Brokers / Dealers N/A CIK Number 0001660404 Filed Document 0001660404-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-12 16:54:20 UTC Type of Offering D Industry Other Technology Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Debt
Pabrai Investment Fund IV, L.P. See All Filings	D	2018-04-12 16:54:16 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001571786 Filed Document 0001571786-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-12 16:54:16 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business CALIFORNIA Revenue or Assets $Over $100,000,000 Type of Security Pooled Investment Fund
FUEL CAPITAL GROUP INC. See All Filings	D	2018-04-12 16:53:55 UTC
Amount To Be Raised $3,000,000 Associated Brokers / Dealers N/A CIK Number 0001737406 Filed Document 0001213900-18-004377 Exclusions or Exemptions 506b Accepted Date 2018-04-12 16:53:55 UTC Type of Offering D Industry Other Principal Place of Business FLORIDA Revenue or Assets Decline to Disclose Type of Security Equity
EyePoint Pharmaceuticals, Inc. See All Filings	D	2018-04-12 16:52:32 UTC
Amount To Be Raised $35,000,000 Associated Brokers / Dealers N/A CIK Number 0001314102 Filed Document 0001140361-18-018379 Exclusions or Exemptions 506b Accepted Date 2018-04-12 16:52:32 UTC Type of Offering D Industry Pharmaceuticals Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Equity
Claros Mortgage Trust, Inc. See All Filings	D/A	2018-04-12 16:51:55 UTC
Amount To Be Raised $2,000,000,000 Associated Brokers / Dealers Lazard Freres & Co. LLC, Lazard & Co., Limited, First Avenue Partners LLP, Hanwha Investment & Securities Co., Ltd., and Hentschel & Company, LLC CIK Number 0001666291 Filed Document 0001140361-18-018378 Exclusions or Exemptions 506b Accepted Date 2018-04-12 16:51:55 UTC Type of Offering D/A Industry REITS and Finance Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity
EyePoint Pharmaceuticals, Inc. See All Filings	D	2018-04-12 16:49:48 UTC
Amount To Be Raised $600,000 Associated Brokers / Dealers N/A CIK Number 0001314102 Filed Document 0001140361-18-018375 Exclusions or Exemptions 506b Accepted Date 2018-04-12 16:49:48 UTC Type of Offering D Industry Pharmaceuticals Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Equity
Arbour Square II Glen Mills, L.P. See All Filings	D	2018-04-12 16:49:37 UTC
Amount To Be Raised $13,700,000 Associated Brokers / Dealers N/A CIK Number 0001737387 Filed Document 0001737387-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-12 16:49:37 UTC Type of Offering D Industry Residential Principal Place of Business PENNSYLVANIA Revenue or Assets Decline to Disclose Type of Security Equity
Yai's Thai, LLC See All Filings	D	2018-04-12 16:47:00 UTC
Amount To Be Raised $1,000,000 Associated Brokers / Dealers N/A CIK Number 0001668443 Filed Document 0001668443-18-000002 Exclusions or Exemptions 506b Accepted Date 2018-04-12 16:47:00 UTC Type of Offering D Industry Retailing Principal Place of Business COLORADO Revenue or Assets Decline to Disclose Type of Security Equity
Billie, Inc. See All Filings	D	2018-04-12 16:43:00 UTC
Amount To Be Raised $6,514,130 Associated Brokers / Dealers N/A CIK Number 0001737253 Filed Document 0000905718-18-000383 Exclusions or Exemptions 506b Accepted Date 2018-04-12 16:43:00 UTC Type of Offering D Industry Retailing Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity
European Opportunistic Property Fund IV Feeder LP See All Filings	D	2018-04-12 16:42:40 UTC
Amount To Be Raised $40,000,000 Associated Brokers / Dealers N/A CIK Number 0001724505 Filed Document 0001724505-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-12 16:42:40 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business UNITED KINGDOM Revenue or Assets Decline to Disclose Type of Security Equity
Next Level Pizza Inc See All Filings	D	2018-04-12 16:42:29 UTC
Amount To Be Raised $15,000,000 Associated Brokers / Dealers N/A CIK Number 0001682932 Filed Document 0001682932-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-12 16:42:29 UTC Type of Offering D Industry Restaurants Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Equity
CORE BD ORCHARD MEADOWS LLC See All Filings	D	2018-04-12 16:39:39 UTC
Amount To Be Raised $5,900,000 Associated Brokers / Dealers Core Financial LLC CIK Number 0001737376 Filed Document 0001737376-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-12 16:39:39 UTC Type of Offering D Industry Commercial Principal Place of Business OHIO Revenue or Assets $$1 - $1,000,000 Type of Security Equity
OUR LIFE FOODS, LLC See All Filings	D	2018-04-12 16:39:36 UTC
Amount To Be Raised $50,000 Associated Brokers / Dealers N/A CIK Number 0001689683 Filed Document 0001461859-18-000003 Exclusions or Exemptions 506b Accepted Date 2018-04-12 16:39:36 UTC Type of Offering D Industry Other Principal Place of Business OREGON Revenue or Assets Decline to Disclose Type of Security Other
WHALE ROCK FLAGSHIP FUND LTD See All Filings	D/A	2018-04-12 16:34:20 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers None CIK Number 0001457666 Filed Document 0001457666-18-000002 Exclusions or Exemptions 506b Accepted Date 2018-04-12 16:34:20 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
Columbia Institutional High Yield Fixed Income Private Fund See All Filings	D/A	2018-04-12 16:30:09 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001672407 Filed Document 0001140361-18-018364 Exclusions or Exemptions 506b Accepted Date 2018-04-12 16:30:09 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
TPEG Bishop Highline Investors LLC See All Filings	D	2018-04-12 16:28:37 UTC
Amount To Be Raised $4,271,250 Associated Brokers / Dealers TPEG Securities LLC CIK Number 0001684126 Filed Document 0001684126-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-12 16:28:37 UTC Type of Offering D Industry Investing Principal Place of Business TEXAS Revenue or Assets $No Revenues Type of Security Equity
Columbia Adaptive Risk Allocation Private Fund, LLC See All Filings	D/A	2018-04-12 16:26:01 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001602619 Filed Document 0001140361-18-018361 Exclusions or Exemptions 506b Accepted Date 2018-04-12 16:26:01 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
PM Acquisition LLC See All Filings	D	2018-04-12 16:24:12 UTC
Amount To Be Raised $2,117,170 Associated Brokers / Dealers N/A CIK Number 0001700192 Filed Document 0001700192-18-000002 Exclusions or Exemptions 506b Accepted Date 2018-04-12 16:24:12 UTC Type of Offering D Industry Retailing Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Other
Lombard International Life Assurance Co Separate Account VL 155 See All Filings	D/A	2018-04-12 16:22:44 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Stern Capital, LLC CIK Number 0001656280 Filed Document 0001656280-18-000002 Exclusions or Exemptions 506b Accepted Date 2018-04-12 16:22:44 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
Colorado Multifamily Portfolio III DST See All Filings	D/A	2018-04-12 16:21:13 UTC
Amount To Be Raised $91,625,622 Associated Brokers / Dealers Scott Sheehan, Edward Fernandez, Robert Smith, Tim Clairmont, Christina Nielson, Tom Velken, Michelle Herickhoff, Jeremy Willner, Brian Hagen, Justin Bachman, James Walesa, Frank Richardson, David Dahill, Iaian Filippini, Robert Pecha, Craig Sickler, Douglas Bertke, Paul Manese, Davin Carey, Bruce Wellings, Eric Scaff, Peter Fisher, Dirk Jacobs, John Scully, Dieter Thurow, Robert Horning, Hugh Barndollar, Thomas Deichert, John Harvey, William Lapiana, Gregg Kiefer, Steven Kolinsky, Adam Bryan, Michele Martin, Karl Norman, Silver Portal Capital LLC, Bryan Hakola, Mike Bendix, James Gambaccini, AnnMarie Milinazzo, Gregory Hunter, Kent Porter, Jack Creighton, Leon Rousso, Aaron Brodt, Rey Frimmersdorf, Gary Hughes, Patrick Conway, Benjamin Disalle, Dan Pias, Chay Lapin, Rylan Rozell, Charles Wagner, Dinesh Gupta, John Marshall, Rollance (Ron) Verkennis, Robert Downing, Paul Cese, Stuart Valentine, Peter Han, Hannah Buschborn, Jennifer Wildman, Timothy J Sherer, Ryan Sherer, Chris Boynton, Gerrin De Groot, Ralph Waller, Jonathan Keller, Jeffrey McKay, Eric Bicknese, Jeffrey Arburn, Nathan Kuhn, James Westermeyer, RCX Capital Group LLC, Daniel Loy, Mark Coombe, Scott Park Inabnet, Brent Lee, Roger Van Pelt, Adam Gallegos, Hiro Kaglyama, John McKeon, Mark Gillelen, Benjamin Hill, Michael Cullen, Joel Knight, Jared Sutton, Del Londono, Bill Lucas, Duane Swanson, Brett Ohlen, Larry Grayson, Orest Baransky, Neil Mc Auliffe, Christina Orta, Jeffrey Ross, Duncan Eng, Gene Alvin Brehm, Joseph Kovar, and Jay Hovis CIK Number 0001723415 Filed Document 0001723415-18-000009 Exclusions or Exemptions 506b Accepted Date 2018-04-12 16:21:13 UTC Type of Offering D/A Industry Other Real Estate Principal Place of Business ILLINOIS Revenue or Assets Decline to Disclose Type of Security Equity
WHALE ROCK FLAGSHIP (AI) FUND LP See All Filings	D/A	2018-04-12 16:16:32 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers None CIK Number 0001457667 Filed Document 0001457667-18-000002 Exclusions or Exemptions 506b Accepted Date 2018-04-12 16:16:32 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
WHALE ROCK FLAGSHIP FUND L P See All Filings	D/A	2018-04-12 16:14:28 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers None CIK Number 0001363290 Filed Document 0001363290-18-000002 Exclusions or Exemptions 506b Accepted Date 2018-04-12 16:14:28 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
Lombard International Life Assurance Co Separate Account VL 152 See All Filings	D/A	2018-04-12 16:11:22 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Kestra Investment Services, LLC and Niagara International Capital Limited CIK Number 0001654230 Filed Document 0001654230-18-000002 Exclusions or Exemptions 506b Accepted Date 2018-04-12 16:11:22 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
WCM Focused International Growth Fund LP See All Filings	D/A	2018-04-12 16:10:30 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers IMST DISTRIBUTORS, LLC CIK Number 0001577075 Filed Document 0001577075-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-12 16:10:30 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
WCM Focused Global Growth Fund L.P. See All Filings	D/A	2018-04-12 16:09:17 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers IMST DISTRIBUTORS, LLC CIK Number 0001670495 Filed Document 0001670495-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-12 16:09:17 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
WCM Focused Emerging Markets Fund LP See All Filings	D/A	2018-04-12 16:07:42 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001596164 Filed Document 0001596164-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-12 16:07:42 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
Axonics Modulation Technologies, Inc. See All Filings	D/A	2018-04-12 16:06:12 UTC
Amount To Be Raised $55,099,998 Associated Brokers / Dealers N/A CIK Number 0001603756 Filed Document 0001603756-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-12 16:06:12 UTC Type of Offering D/A Industry Other Technology Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Kline Hill Partners Fund II LP See All Filings	D/A	2018-04-12 16:05:49 UTC
Amount To Be Raised $350,000,000 Associated Brokers / Dealers N/A CIK Number 0001728100 Filed Document 0001728100-18-000002 Exclusions or Exemptions 506b Accepted Date 2018-04-12 16:05:49 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
Icagen, Inc. See All Filings	D	2018-04-12 16:05:42 UTC
Amount To Be Raised $4,000,000 Associated Brokers / Dealers N/A CIK Number 0001518520 Filed Document 0001213900-18-004354 Exclusions or Exemptions 506b Accepted Date 2018-04-12 16:05:42 UTC Type of Offering D Industry Pharmaceuticals Principal Place of Business NORTH CAROLINA Revenue or Assets Decline to Disclose Type of Security Equity
ORAGENICS INC See All Filings	D	2018-04-12 16:05:20 UTC
Amount To Be Raised $1,800,000 Associated Brokers / Dealers LADENBURG THALMANN & CO. INC. CIK Number 0001174940 Filed Document 0001209191-18-024725 Exclusions or Exemptions 506b Accepted Date 2018-04-12 16:05:20 UTC Type of Offering D Industry Biotechnology Principal Place of Business FLORIDA Revenue or Assets $No Revenues Type of Security Equity
Broken Shed Distilleries, Inc. See All Filings	D	2018-04-12 16:01:07 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001733948 Filed Document 0001376474-18-000085 Exclusions or Exemptions 506b Accepted Date 2018-04-12 16:01:07 UTC Type of Offering D Industry Other Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Equity
Buglisi Recobs Group, Inc. See All Filings	D	2018-04-12 16:00:38 UTC
Amount To Be Raised $3,000,000 Associated Brokers / Dealers N/A CIK Number 0001737252 Filed Document 0001213900-18-004351 Exclusions or Exemptions 506b Accepted Date 2018-04-12 16:00:38 UTC Type of Offering D Industry Other Principal Place of Business NEW JERSEY Revenue or Assets Decline to Disclose Type of Security Equity
Audax Direct Lending Solutions Fund-D, L.P. See All Filings	D	2018-04-12 16:00:07 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001737223 Filed Document 0001737223-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-12 16:00:07 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