Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
Strazza Group CCU Holdings LLC See All Filings	D	2018-10-10 11:31:10 UTC
Amount To Be Raised $347,000 Associated Brokers / Dealers N/A CIK Number 0001755455 Filed Document 0001516927-18-000003 Exclusions or Exemptions 506b Accepted Date 2018-10-10 11:31:10 UTC Type of Offering D Industry Investing Principal Place of Business COLORADO Revenue or Assets Decline to Disclose Type of Security Equity
MemorialCare Surgical Center at Saddleback, LLC See All Filings	D	2018-10-10 11:30:06 UTC
Amount To Be Raised $128,126 Associated Brokers / Dealers N/A CIK Number 0001564308 Filed Document 0001564308-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-10-10 11:30:06 UTC Type of Offering D Industry Other Health Care Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Pruco Life Variable Contract Account M See All Filings	D/A	2018-10-10 11:29:36 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Various Agents CIK Number 0001534406 Filed Document 0001534406-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-10-10 11:29:36 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
Southern Tier Region Rural Broadband Company, Inc. See All Filings	1-A/A	2018-10-10 11:28:44 UTC
Amount To Be Raised $14,000,000 Associated Brokers / Dealers N/A CIK Number 0001587999 Filed Document 0001587999-18-000001 Accepted Date 2018-10-10 11:28:44 UTC Type of Offering 1-A/A Industry SERVICES-MISCELLANEOUS BUSINESS SERVICES Offering Tier Tier1 Principal Place of Business DISTRICT OF COLUMBIA Revenue or Assets $0 State of Jurisdiction NEW YORK Type of Security Equity (common or preferred stock)
Tailwind Core Investor, LLC See All Filings	D	2018-10-10 11:24:40 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001753727 Filed Document 0000950103-18-011861 Exclusions or Exemptions 506b Accepted Date 2018-10-10 11:24:40 UTC Type of Offering D Industry Other Technology Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity
Brown Advisory Investors 2018 - TG PIP XI (Offshore), LLLP See All Filings	D	2018-10-10 11:17:31 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001755221 Filed Document 0001755199-18-000002 Exclusions or Exemptions 506b Accepted Date 2018-10-10 11:17:31 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business MARYLAND Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Saucy Chicken, LLC See All Filings	D	2018-10-10 11:14:23 UTC
Amount To Be Raised $75,000 Associated Brokers / Dealers N/A CIK Number 0001754900 Filed Document 0001754900-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-10-10 11:14:23 UTC Type of Offering D Industry Restaurants Principal Place of Business TENNESSEE Revenue or Assets $No Revenues Type of Security Equity
SummerHaven Commodity Alpha Fund, LP See All Filings	D/A	2018-10-10 11:11:27 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001718955 Filed Document 0000919574-18-006569 Exclusions or Exemptions 506b Accepted Date 2018-10-10 11:11:27 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
Kepos Alternative Risk Premia Fund LP See All Filings	D	2018-10-10 11:02:19 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001753320 Filed Document 0000902664-18-003672 Exclusions or Exemptions 506b Accepted Date 2018-10-10 11:02:19 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
Brevan Howard AS Macro Fund, L.P. See All Filings	D/A	2018-10-10 11:01:55 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Brevan Howard US LLC CIK Number 0001718772 Filed Document 0001718766-18-000002 Exclusions or Exemptions 506b Accepted Date 2018-10-10 11:01:55 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
Bayview Liquid Credit Strategies Offshore, L.P. See All Filings	D/A	2018-10-10 10:59:13 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Park Hill Group LLC CIK Number 0001634249 Filed Document 0000902664-18-003671 Exclusions or Exemptions 506b Accepted Date 2018-10-10 10:59:13 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
Brown Advisory Investors 2018 - TG PIP XI, LLLP See All Filings	D	2018-10-10 10:58:34 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001755199 Filed Document 0001755199-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-10-10 10:58:34 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business MARYLAND Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Bayview Liquid Credit Strategies Domestic, L.P. See All Filings	D/A	2018-10-10 10:58:08 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Park Hill Group LLC CIK Number 0001634247 Filed Document 0000902664-18-003670 Exclusions or Exemptions 506b Accepted Date 2018-10-10 10:58:08 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business FLORIDA Revenue or Assets Decline to Disclose Type of Security Equity
Pneumonics, Inc. See All Filings	D/A	2018-10-10 10:50:40 UTC
Amount To Be Raised $1,000,000 Associated Brokers / Dealers N/A CIK Number 0001692488 Filed Document 0001692488-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-10-10 10:50:40 UTC Type of Offering D/A Industry Biotechnology Principal Place of Business NORTH CAROLINA Revenue or Assets Decline to Disclose Type of Security Debt
Cottonwood Cove Holdings, LLC See All Filings	D/A	2018-10-10 10:45:25 UTC
Amount To Be Raised $12,799,498 Associated Brokers / Dealers David M. McInnis, Jr., DFPG Investments, Inc., Jay S. Salamone, Kalos Capital, Inc., The Strategic Financial Alliance, Inc., and Triloma Securities, LLC CIK Number 0001749469 Filed Document 0001749469-18-000002 Exclusions or Exemptions 506b Accepted Date 2018-10-10 10:45:25 UTC Type of Offering D/A Industry Other Real Estate Principal Place of Business GEORGIA Revenue or Assets Decline to Disclose Type of Security Equity
Axle AI, Inc. See All Filings	C/A	2018-10-10 10:36:13 UTC
Financial Interest SI Securities will receive equity compensation equal to 5% of the number of securities sold. Filing Platform SI SECURITIES, LLC Offering Amount $107,000 CIK Number 0001752964 Filed Document 0001752964-18-000003 Accepted Date 2018-10-10 10:36:13 UTC Type of Offering C/A Security Offered Amount N/A Security Offered Type Debt State MASSACHUSETTS
PUTNAM TOTAL RETURN FUND, LLC See All Filings	D/A	2018-10-10 10:28:01 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001441058 Filed Document 0001727743-18-000010 Exclusions or Exemptions 506b Accepted Date 2018-10-10 10:28:01 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
Index Ventures IX Parallel Entrepreneur Fund (Jersey), L.P. See All Filings	D	2018-10-10 10:27:51 UTC
Amount To Be Raised $7,680,000 Associated Brokers / Dealers N/A CIK Number 0001755107 Filed Document 0001755107-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-10-10 10:27:51 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business JERSEY Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Unico Strategic Opportunity Fund VIII LP See All Filings	D/A	2018-10-10 10:25:31 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001754677 Filed Document 0001754677-18-000002 Exclusions or Exemptions 506b Accepted Date 2018-10-10 10:25:31 UTC Type of Offering D/A Industry Commercial Principal Place of Business WASHINGTON Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Novacast Manufacturing Inc. See All Filings	D	2018-10-10 10:24:22 UTC
Amount To Be Raised $50,000 Associated Brokers / Dealers N/A CIK Number 0001755489 Filed Document 0001755489-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-10-10 10:24:22 UTC Type of Offering D Industry Manufacturing Principal Place of Business TEXAS Revenue or Assets $No Revenues Type of Security Equity
Putnam Cash Collateral Pool, LLC See All Filings	D/A	2018-10-10 10:16:57 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001497587 Filed Document 0001727743-18-000009 Exclusions or Exemptions 506b Accepted Date 2018-10-10 10:16:57 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
ALTERNATIVE RE HOLDINGS LTD See All Filings	D/A	2018-10-10 10:13:13 UTC
Amount To Be Raised $50,000,000 Associated Brokers / Dealers N/A CIK Number 0001070324 Filed Document 0001567619-18-003908 Exclusions or Exemptions 506b Accepted Date 2018-10-10 10:13:13 UTC Type of Offering D/A Industry Insurance Principal Place of Business BERMUDA Revenue or Assets Decline to Disclose Type of Security Equity
Putnam Seligo Fund, LP See All Filings	D/A	2018-10-10 10:10:44 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers NA CIK Number 0001580486 Filed Document 0001727743-18-000008 Exclusions or Exemptions 506b Accepted Date 2018-10-10 10:10:44 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
Putnam Healthcare Long/Short Fund, LP See All Filings	D/A	2018-10-10 10:07:20 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001554189 Filed Document 0001727743-18-000007 Exclusions or Exemptions 506b Accepted Date 2018-10-10 10:07:20 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
Atalaya Alamosa REIT Inc. See All Filings	D	2018-10-10 09:57:56 UTC
Amount To Be Raised $125,000 Associated Brokers / Dealers Iroquois Capital Advisors, LLC CIK Number 0001754916 Filed Document 0001754916-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-10-10 09:57:56 UTC Type of Offering D Industry REITS and Finance Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Other
Forestline Partners, L.P. See All Filings	D/A	2018-10-10 09:56:03 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001687120 Filed Document 0000919574-18-006561 Exclusions or Exemptions 506b Accepted Date 2018-10-10 09:56:03 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
Axle AI, Inc. See All Filings	C	2018-10-10 09:55:12 UTC
Financial Interest SI Securities will receive equity compensation equal to 5% of the number of securities sold. Filing Platform SI SECURITIES, LLC Offering Amount $1,070,000 CIK Number 0001752964 Filed Document 0001752964-18-000002 Accepted Date 2018-10-10 09:55:12 UTC Type of Offering C Security Offered Amount N/A Security Offered Type Debt State MASSACHUSETTS
ALTERNATIVE RE HOLDINGS LTD See All Filings	D/A	2018-10-10 09:54:10 UTC
Amount To Be Raised $50,000,000 Associated Brokers / Dealers N/A CIK Number 0001070324 Filed Document 0001567619-18-003902 Exclusions or Exemptions 506b Accepted Date 2018-10-10 09:54:10 UTC Type of Offering D/A Industry Insurance Principal Place of Business BERMUDA Revenue or Assets Decline to Disclose Type of Security Equity
SW Property, LLC See All Filings	D	2018-10-10 09:53:38 UTC
Amount To Be Raised $4,962,000 Associated Brokers / Dealers N/A CIK Number 0001752293 Filed Document 0001752293-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-10-10 09:53:38 UTC Type of Offering D Industry Other Real Estate Principal Place of Business FLORIDA Revenue or Assets Decline to Disclose Type of Security Equity
Brevan Howard AS Macro Fund Ltd. See All Filings	D/A	2018-10-10 09:53:37 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Brevan Howard US LLC CIK Number 0001718766 Filed Document 0001718766-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-10-10 09:53:37 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
MVP Opportunity Fund V LLC See All Filings	D/A	2018-10-10 09:44:16 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers VNTR Securities LLC CIK Number 0001750053 Filed Document 0001213900-18-013728 Exclusions or Exemptions 506b Accepted Date 2018-10-10 09:44:16 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
MVP Opportunity Fund IV LLC See All Filings	D/A	2018-10-10 09:41:52 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers VNTR Securities LLC CIK Number 0001746340 Filed Document 0001213900-18-013726 Exclusions or Exemptions 506b Accepted Date 2018-10-10 09:41:52 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
David Capital Partners Fund, LP See All Filings	D/A	2018-10-10 09:40:45 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001532695 Filed Document 0001532695-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-10-10 09:40:45 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
CytoVeris Inc See All Filings	D	2018-10-10 09:35:49 UTC
Amount To Be Raised $3,500,007 Associated Brokers / Dealers N/A CIK Number 0001755494 Filed Document 0001755494-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-10-10 09:35:49 UTC Type of Offering D Industry Other Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Equity
Lines Up, Inc. See All Filings	D	2018-10-10 09:23:46 UTC
Amount To Be Raised $1,000,000 Associated Brokers / Dealers N/A CIK Number 0001755403 Filed Document 0001755403-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-10-10 09:23:46 UTC Type of Offering D Industry Other Principal Place of Business VIRGINIA Revenue or Assets Decline to Disclose Type of Security Equity
CF Special Situation Fund II, LP See All Filings	D/A	2018-10-10 09:19:26 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Raymond James & Associates and Raymond James Financial Services CIK Number 0001510505 Filed Document 0001315863-18-000772 Exclusions or Exemptions 506b Accepted Date 2018-10-10 09:19:26 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business OHIO Revenue or Assets Decline to Disclose Type of Security Equity
CF SPECIAL SITUATION FUND I, LP See All Filings	D/A	2018-10-10 09:18:16 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Raymond James & Associates and Raymond James Financial Services CIK Number 0001380480 Filed Document 0001315863-18-000771 Exclusions or Exemptions 506b Accepted Date 2018-10-10 09:18:16 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business OHIO Revenue or Assets Decline to Disclose Type of Security Equity
Black Dog Fund I, LLC See All Filings	D	2018-10-10 09:14:42 UTC
Amount To Be Raised $35,000,000 Associated Brokers / Dealers N/A CIK Number 0001753605 Filed Document 0001753605-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-10-10 09:14:42 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
Meadowlark Financial Technologies LP See All Filings	D	2018-10-10 09:14:11 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001755513 Filed Document 0001755513-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-10-10 09:14:11 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business KANSAS Revenue or Assets $$1 - $5,000,000 Type of Security Pooled Investment Fund
Osteonovus, Inc. See All Filings	D	2018-10-10 09:09:19 UTC
Amount To Be Raised $500,000 Associated Brokers / Dealers None CIK Number 0001595323 Filed Document 0001595323-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-10-10 09:09:19 UTC Type of Offering D Industry Biotechnology Principal Place of Business OHIO Revenue or Assets $$1 - $1,000,000 Type of Security Equity
LIP BAR, INC. See All Filings	D	2018-10-10 08:53:07 UTC
Amount To Be Raised $2,000,000 Associated Brokers / Dealers N/A CIK Number 0001755194 Filed Document 0001755194-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-10-10 08:53:07 UTC Type of Offering D Industry Retailing Principal Place of Business MICHIGAN Revenue or Assets Decline to Disclose Type of Security Debt
Putnam Multi-Asset Absolute Return Fund, LP See All Filings	D/A	2018-10-10 08:32:03 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001737952 Filed Document 0001733735-18-000004 Exclusions or Exemptions 506b Accepted Date 2018-10-10 08:32:03 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
Putnam Emerging Markets Equity Fund, LP See All Filings	D/A	2018-10-10 08:27:34 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers NA CIK Number 0001733735 Filed Document 0001733735-18-000003 Exclusions or Exemptions 506b Accepted Date 2018-10-10 08:27:34 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
PSAM Investment Holdings LP - Series A See All Filings	D/A	2018-10-10 06:16:25 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001648950 Filed Document 0000902664-18-003663 Exclusions or Exemptions 506b Accepted Date 2018-10-10 06:16:25 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
PSAM Investment Holdings LP - Series B See All Filings	D/A	2018-10-10 06:11:55 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001718340 Filed Document 0000902664-18-003662 Exclusions or Exemptions 506b Accepted Date 2018-10-10 06:11:55 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
Egis Capital Fund III LP See All Filings	D/A	2018-10-09 21:18:15 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers SSG Capital Advisors LLC CIK Number 0001717318 Filed Document 0001717318-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-10-09 21:18:15 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 Equity
Egis Capital Fund III NI LP See All Filings	D/A	2018-10-09 21:13:29 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers SSG Capital Advisors LLC CIK Number 0001717321 Filed Document 0001717321-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-10-09 21:13:29 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 Equity
CrowdOut Credit Opportunities Fund LLC See All Filings	D	2018-10-09 20:45:29 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001755295 Filed Document 0001567619-18-003900 Exclusions or Exemptions 506b Accepted Date 2018-10-09 20:45:29 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
Copia Global Inc. See All Filings	D/A	2018-10-09 20:23:18 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001655699 Filed Document 0000947871-18-000807 Exclusions or Exemptions 506b Accepted Date 2018-10-09 20:23:18 UTC Type of Offering D/A Industry Retailing Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Reitless Impact Income Strategies LLC See All Filings	1-A/A	2018-10-09 20:22:39 UTC
Amount To Be Raised $50,000,000 Associated Brokers / Dealers N/A CIK Number 0001742092 Filed Document 0001144204-18-053069 Accepted Date 2018-10-09 20:22:39 UTC Type of Offering 1-A/A Industry REAL ESTATE INVESTMENT TRUSTS Offering Tier Tier2 Principal Place of Business UTAH Revenue or Assets $0 State of Jurisdiction DELAWARE Type of Security Equity (common or preferred stock)