Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
Synaptive Medical Inc. See All Filings	D/A	2016-10-07 17:20:52 UTC
Amount To Be Raised $3,725,536 Associated Brokers / Dealers N/A CIK Number 0001621394 Filed Document 0001621394-16-000005 Exclusions or Exemptions 506b Accepted Date 2016-10-07 17:20:52 UTC Type of Offering D/A Industry Biotechnology Principal Place of Business ONTARIO, CANADA Revenue or Assets Decline to Disclose Type of Security Equity
Cowlar, Inc. See All Filings	D	2016-10-07 17:18:35 UTC
Amount To Be Raised $50,000 Associated Brokers / Dealers N/A CIK Number 0001685423 Filed Document 0001685423-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-07 17:18:35 UTC Type of Offering D Industry Agriculture Principal Place of Business TENNESSEE Revenue or Assets Decline to Disclose Type of Security Equity
IDSS Holdings, Inc. See All Filings	D	2016-10-07 17:17:48 UTC
Amount To Be Raised $6,000,005 Associated Brokers / Dealers N/A CIK Number 0001563947 Filed Document 0001140361-16-082313 Exclusions or Exemptions 506b Accepted Date 2016-10-07 17:17:48 UTC Type of Offering D Industry Other Technology Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity
Gotham Hedged Value Strategies (International) SPC, Ltd. See All Filings	D/A	2016-10-07 17:06:25 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001531981 Filed Document 0001531981-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-10-07 17:06:25 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
BioPharmX Corp See All Filings	D	2016-10-07 17:00:38 UTC
Amount To Be Raised $930,000 Associated Brokers / Dealers Rodman & Renshaw, a unit of H.C. Wainwright & Co., LLC CIK Number 0001504167 Filed Document 0001104659-16-149365 Exclusions or Exemptions 506b Accepted Date 2016-10-07 17:00:38 UTC Type of Offering D Industry Pharmaceuticals Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Option To Acquire
Jupiter Advanced Research Inc. See All Filings	D	2016-10-07 16:58:18 UTC
Amount To Be Raised $1,650,000 Associated Brokers / Dealers N/A CIK Number 0001686785 Filed Document 0001686785-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-07 16:58:18 UTC Type of Offering D Industry Biotechnology Principal Place of Business OREGON Revenue or Assets Decline to Disclose Type of Security Debt
Clarity Private Income Portfolio (Cayman) LP See All Filings	D	2016-10-07 16:52:30 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001686886 Filed Document 0001686886-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-07 16:52:30 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business ISRAEL Revenue or Assets Decline to Disclose Type of Security Equity
Orion Capital, LP See All Filings	D/A	2016-10-07 16:47:57 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001652473 Filed Document 0001653332-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-10-07 16:47:57 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business DELAWARE Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Riverview Global Macro Fund (Cayman) L.P. See All Filings	D/A	2016-10-07 16:46:17 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Morgan Stanley Smith Barney LLC, Morgan Stanley & Co. International Limited, and Bank Morgan Stanley AG CIK Number 0001479477 Filed Document 0000945621-16-000740 Exclusions or Exemptions 506b Accepted Date 2016-10-07 16:46:17 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
Orion Capital Offshore Ltd See All Filings	D/A	2016-10-07 16:43:07 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001653332 Filed Document 0001653332-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-10-07 16:43:07 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business VIRGIN ISLANDS, BRITISH Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Riverview Global Macro Fund LP See All Filings	D/A	2016-10-07 16:43:06 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Morgan Stanley Smith Barney LLC, Morgan Stanley & Co. International Limited, and Bank Morgan Stanley AG CIK Number 0001479476 Filed Document 0000945621-16-000739 Exclusions or Exemptions 506b Accepted Date 2016-10-07 16:43:06 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
Ochoco Partners, LP See All Filings	D	2016-10-07 16:42:48 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001686748 Filed Document 0001686748-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-07 16:42:48 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
Zoox, Inc. See All Filings	D	2016-10-07 16:42:19 UTC
Amount To Be Raised $50,000,000 Associated Brokers / Dealers N/A CIK Number 0001675949 Filed Document 0001675949-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-10-07 16:42:19 UTC Type of Offering D Industry Other Technology Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
HIX Capital Fund SPC, for & on behalf of its HIX Equities 1 Segregated Portfolio See All Filings	D	2016-10-07 16:38:47 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001685888 Filed Document 0001685888-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-10-07 16:38:47 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
Santa Maria Petroleum Inc. See All Filings	D	2016-10-07 16:28:21 UTC
Amount To Be Raised $536,314 Associated Brokers / Dealers N/A CIK Number 0001395961 Filed Document 0001062993-16-011667 Exclusions or Exemptions 506b Accepted Date 2016-10-07 16:28:21 UTC Type of Offering D Industry Other Principal Place of Business ONTARIO, CANADA Revenue or Assets Decline to Disclose Type of Security Equity
DAKOTA PACIFIC REAL ESTATE PARTNERS, LP See All Filings	D/A	2016-10-07 16:28:00 UTC
Amount To Be Raised $150,000,000 Associated Brokers / Dealers N/A CIK Number 0001655072 Filed Document 0001655072-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-10-07 16:28:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business UTAH Revenue or Assets Decline to Disclose Type of Security Equity
ReNew, LLC See All Filings	D	2016-10-07 16:27:14 UTC
Amount To Be Raised $2,000,000 Associated Brokers / Dealers N/A CIK Number 0001657277 Filed Document 0001657277-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-10-07 16:27:14 UTC Type of Offering D Industry Other Principal Place of Business COLORADO Revenue or Assets Decline to Disclose Type of Security Equity
Tettra, Inc. See All Filings	D	2016-10-07 16:22:29 UTC
Amount To Be Raised $906,000 Associated Brokers / Dealers N/A CIK Number 0001671050 Filed Document 0001671050-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-07 16:22:29 UTC Type of Offering D Industry Other Technology Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Option To Acquire
Raymond James Tax Credit Fund 42 L.L.C. See All Filings	D	2016-10-07 16:19:39 UTC
Amount To Be Raised $200,000,000 Associated Brokers / Dealers Raymond James Tax Credit Funds, Inc., Aline Rose Lavelle, Sean M. Hannan, David Andrew Thompson, Robert C. McEwan, III, and William C. Glidden CIK Number 0001685965 Filed Document 0001685965-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-07 16:19:39 UTC Type of Offering D Industry Residential Principal Place of Business FLORIDA Revenue or Assets $Not Applicable Type of Security Equity
Emso Agave Fund SPC See All Filings	D	2016-10-07 16:14:11 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001686533 Filed Document 0001686533-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-10-07 16:14:11 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
Upfront IV Ancillary, L.P. See All Filings	D	2016-10-07 16:04:50 UTC
Amount To Be Raised $40,000,000 Associated Brokers / Dealers N/A CIK Number 0001686789 Filed Document 0001686789-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-10-07 16:04:50 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
MacKay Shields Core Plus / Opportunities Fund LP See All Filings	D/A	2016-10-07 16:04:10 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers None and None CIK Number 0001502131 Filed Document 0001502131-16-000004 Exclusions or Exemptions 506b Accepted Date 2016-10-07 16:04:10 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
Rockefeller Access Fund 2015, LLC See All Filings	D/A	2016-10-07 16:03:12 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001654977 Filed Document 0000945621-16-000738 Exclusions or Exemptions 506b Accepted Date 2016-10-07 16:03:12 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
MacKay Shields High Yield Active Core Fund LP See All Filings	D/A	2016-10-07 15:58:17 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers None and None CIK Number 0001502130 Filed Document 0001502130-16-000004 Exclusions or Exemptions 506b Accepted Date 2016-10-07 15:58:17 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
MACKAY SHIELDS STATUTORY TRUST See All Filings	D/A	2016-10-07 15:53:30 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers None CIK Number 0001161014 Filed Document 0001161014-16-000004 Exclusions or Exemptions 506b Accepted Date 2016-10-07 15:53:30 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
Prescription Advisory Systems & Technology, Inc. See All Filings	D/A	2016-10-07 15:51:56 UTC
Amount To Be Raised $2,500,000 Associated Brokers / Dealers Thomas J. Lyons CIK Number 0001634504 Filed Document 0001209191-16-145373 Exclusions or Exemptions 506b Accepted Date 2016-10-07 15:51:56 UTC Type of Offering D/A Industry Other Technology Principal Place of Business PENNSYLVANIA Revenue or Assets Decline to Disclose Type of Security Equity
MacKay Shields Defensive Bond Arbitrage Fund Ltd. See All Filings	D/A	2016-10-07 15:50:22 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers None CIK Number 0001502133 Filed Document 0001502133-16-000004 Exclusions or Exemptions 506b Accepted Date 2016-10-07 15:50:22 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business BERMUDA Revenue or Assets Decline to Disclose Type of Security Equity
SixThirty Cyber Fund, LLC See All Filings	D	2016-10-07 15:46:03 UTC
Amount To Be Raised $10,000,000 Associated Brokers / Dealers N/A CIK Number 0001684765 Filed Document 0001684765-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-07 15:46:03 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business MISSOURI Revenue or Assets $Not Applicable Type of Security Equity
Deep Blue Alpha LP See All Filings	D	2016-10-07 15:46:02 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001686417 Filed Document 0001546927-16-000530 Exclusions or Exemptions 506b Accepted Date 2016-10-07 15:46:02 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Equity
GENERAL GRAPHENE Corp See All Filings	D	2016-10-07 15:41:33 UTC
Amount To Be Raised $500,000 Associated Brokers / Dealers N/A CIK Number 0001662912 Filed Document 0001662912-16-000007 Exclusions or Exemptions 506b Accepted Date 2016-10-07 15:41:33 UTC Type of Offering D Industry Manufacturing Principal Place of Business TENNESSEE Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Kelly Klee, Inc. See All Filings	D	2016-10-07 15:40:50 UTC
Amount To Be Raised $3,000,000 Associated Brokers / Dealers N/A CIK Number 0001686392 Filed Document 0001686392-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-07 15:40:50 UTC Type of Offering D Industry Other Principal Place of Business COLORADO Revenue or Assets Decline to Disclose Type of Security Other
THRIFT INVESTORS LP See All Filings	D/A	2016-10-07 15:40:22 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001006696 Filed Document 0001006696-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-10-07 15:40:22 UTC Type of Offering D/A Industry Other Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Other
Provision Healthcare, LLC See All Filings	D	2016-10-07 15:35:21 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers None CIK Number 0001686754 Filed Document 0001686754-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-07 15:35:21 UTC Type of Offering D Industry Other Health Care Principal Place of Business TENNESSEE Revenue or Assets Decline to Disclose Type of Security Equity
NDFPR, LP See All Filings	D/A	2016-10-07 15:32:49 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001654255 Filed Document 0001654255-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-10-07 15:32:49 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
Affinity Portfolio Funding II, LLC See All Filings	D	2016-10-07 15:30:05 UTC
Amount To Be Raised $2,475,000 Associated Brokers / Dealers Herbert J. Sims & Co. Inc. CIK Number 0001687004 Filed Document 0001687004-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-07 15:30:05 UTC Type of Offering D Industry Other Real Estate Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Debt
Patriot Investment Group, LLC See All Filings	D	2016-10-07 15:14:48 UTC
Amount To Be Raised $500,000 Associated Brokers / Dealers N/A CIK Number 0001687005 Filed Document 0001687005-16-000001 Exclusions or Exemptions 505 and 506b Accepted Date 2016-10-07 15:14:48 UTC Type of Offering D Industry Other Principal Place of Business MAINE Revenue or Assets Decline to Disclose Type of Security Equity
SALI Multi-Series Fund II 3(c)(1), L.P. See All Filings	D/A	2016-10-07 15:11:59 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001470222 Filed Document 0001470222-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-10-07 15:11:59 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business TEXAS Revenue or Assets $Over $100,000,000 Type of Security Pooled Investment Fund
Babel Bark, Inc. See All Filings	D	2016-10-07 15:07:16 UTC
Amount To Be Raised $1,851,592 Associated Brokers / Dealers N/A CIK Number 0001686358 Filed Document 0001686358-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-07 15:07:16 UTC Type of Offering D Industry Other Technology Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Equity
SALI Multi-Series Fund IV, L.P. See All Filings	D/A	2016-10-07 15:04:56 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001560003 Filed Document 0001560003-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-10-07 15:04:56 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business TEXAS Revenue or Assets $Over $100,000,000 Type of Security Pooled Investment Fund
Alvarium Capital Strategies Fund LLC See All Filings	D/A	2016-10-07 15:03:42 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001678815 Filed Document 0001678815-16-000004 Exclusions or Exemptions 506b Accepted Date 2016-10-07 15:03:42 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
CRE DENN MANOR LLC See All Filings	D	2016-10-07 15:02:39 UTC
Amount To Be Raised $3,292,002 Associated Brokers / Dealers N/A CIK Number 0001683804 Filed Document 0001683804-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-07 15:02:39 UTC Type of Offering D Industry Commercial Principal Place of Business WASHINGTON Revenue or Assets $No Revenues Type of Security Equity
Heart of Florida Surgery Center, LLC See All Filings	D	2016-10-07 15:01:15 UTC
Amount To Be Raised $734,400 Associated Brokers / Dealers N/A CIK Number 0001687013 Filed Document 0001687013-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-07 15:01:15 UTC Type of Offering D Industry Other Health Care Principal Place of Business FLORIDA Revenue or Assets Decline to Disclose Type of Security Equity
SALI Multi-Series Fund III, L.P. See All Filings	D/A	2016-10-07 14:57:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001532434 Filed Document 0001532434-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-10-07 14:57:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business TEXAS Revenue or Assets $$5,000,001 - $25,000,000 Type of Security Pooled Investment Fund
Athenex, Inc. See All Filings	D	2016-10-07 14:56:55 UTC
Amount To Be Raised $50,000,000 Associated Brokers / Dealers N/A CIK Number 0001300699 Filed Document 0001300699-16-000007 Exclusions or Exemptions 506b Accepted Date 2016-10-07 14:56:55 UTC Type of Offering D Industry Biotechnology Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Debt
Margate Capital Partners Fund LP See All Filings	D	2016-10-07 14:54:23 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001686841 Filed Document 0001686841-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-07 14:54:23 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
TB Springdale, LLC See All Filings	D	2016-10-07 14:53:46 UTC
Amount To Be Raised $4,015,000 Associated Brokers / Dealers N/A CIK Number 0001685906 Filed Document 0001685906-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-07 14:53:46 UTC Type of Offering D Industry REITS and Finance Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
Margate Capital Partners Fund Ltd See All Filings	D	2016-10-07 14:53:09 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001686845 Filed Document 0001686845-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-07 14:53:09 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets $Not Applicable Type of Security Equity
Jack Reports, Inc. See All Filings	D	2016-10-07 14:53:07 UTC
Amount To Be Raised $120,000 Associated Brokers / Dealers N/A CIK Number 0001670807 Filed Document 0001670807-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-10-07 14:53:07 UTC Type of Offering D Industry Other Principal Place of Business NEW JERSEY Revenue or Assets Decline to Disclose Type of Security Equity
SALI Multi-Series Fund, L.P. See All Filings	D/A	2016-10-07 14:49:35 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Trump Securities, LLC, MML Investors Services, Inc., Stern Capital, LLC, M Holdings Securities, Inc., Caledonia Planning Group Bermuda, Ltd., Innovation Partners, Newport Group Securities, Inc., FAS Corp, and Spearhead Capital, LLC CIK Number 0001323868 Filed Document 0001323868-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-10-07 14:49:35 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business TEXAS Revenue or Assets $Over $100,000,000 Type of Security Pooled Investment Fund
OV3, L.P. See All Filings	D	2016-10-07 14:42:56 UTC
Amount To Be Raised $60,000,000 Associated Brokers / Dealers N/A CIK Number 0001686175 Filed Document 0001686175-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-07 14:42:56 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