Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
STILLWATER FUND, LP See All Filings	D/A	2016-03-15 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001596457 Filed Document 0000913849-16-000470 Exclusions or Exemptions 506b Accepted Date 2016-03-15 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business VIRGINIA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
WATERHEALTH INTERNATIONAL, INC. See All Filings	D	2016-03-15 00:00:00 UTC
Amount To Be Raised $5,000,000 Associated Brokers / Dealers N/A CIK Number 0001022791 Filed Document 0001209191-16-108676 Exclusions or Exemptions 506b Accepted Date 2016-03-15 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
RANGER SPECIALTY INCOME FUND, LP See All Filings	D/A	2016-03-15 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Tessera Capital Partners, LLC CIK Number 0001597165 Filed Document 0001597165-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-03-15 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business TEXAS Revenue or Assets $$5,000,001 - $25,000,000 Type of Security Pooled Investment Fund
HighGround Enterprise Solutions, Inc. See All Filings	D	2016-03-15 00:00:00 UTC
Amount To Be Raised $7,599,999 Associated Brokers / Dealers N/A CIK Number 0001566848 Filed Document 0001566848-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-03-15 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business ILLINOIS Revenue or Assets Decline to Disclose Type of Security Equity
Sunrise Evolution (US) LP See All Filings	D/A	2016-03-15 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001596359 Filed Document 0001596359-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-03-15 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Atlanta Property Group Fund II, LLC See All Filings	D	2016-03-15 00:00:00 UTC
Amount To Be Raised $30,000,000 Associated Brokers / Dealers N/A CIK Number 0001669552 Filed Document 0001669552-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-03-15 00:00:00 UTC Type of Offering D Industry Commercial Principal Place of Business GEORGIA Revenue or Assets Decline to Disclose Type of Security Equity
MSOL. Inc. See All Filings	D	2016-03-15 00:00:00 UTC
Amount To Be Raised $90,000 Associated Brokers / Dealers N/A CIK Number 0001651075 Filed Document 0001651075-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-03-15 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business CALIFORNIA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
SportsCstr, INC See All Filings	D	2016-03-15 00:00:00 UTC
Amount To Be Raised $300,000 Associated Brokers / Dealers N/A CIK Number 0001669057 Filed Document 0001669057-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-03-15 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business WASHINGTON Revenue or Assets $No Revenues Type of Security Debt
Sight4All, Inc. See All Filings	D	2016-03-15 00:00:00 UTC
Amount To Be Raised $702,000 Associated Brokers / Dealers N/A CIK Number 0001669321 Filed Document 0001669321-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-03-15 00:00:00 UTC Type of Offering D Industry Other Health Care Principal Place of Business OHIO Revenue or Assets $$1 - $1,000,000 Type of Security Debt
Libero Mining Corp See All Filings	D/A	2016-03-15 00:00:00 UTC
Amount To Be Raised $18,488 Associated Brokers / Dealers N/A CIK Number 0001580110 Filed Document 0001580110-16-000004 Exclusions or Exemptions 506b Accepted Date 2016-03-15 00:00:00 UTC Type of Offering D/A Industry Other Principal Place of Business BRITISH COLUMBIA, CANADA Revenue or Assets $No Revenues Type of Security Equity
RANGER MID CAP SELECT FUND LP See All Filings	D/A	2016-03-15 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001347835 Filed Document 0001347835-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-03-15 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business TEXAS Revenue or Assets $$5,000,001 - $25,000,000 Type of Security Pooled Investment Fund
GCM Investment Partners, L.P. See All Filings	D/A	2016-03-15 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001490709 Filed Document 0001490709-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-03-15 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
ISAM Systematic Trend SPV LLC See All Filings	D	2016-03-15 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001668491 Filed Document 0001668491-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-03-15 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business CAYMAN ISLANDS Revenue or Assets $$1 - $5,000,000 Type of Security Pooled Investment Fund
MV Venture Fund VIII LLC See All Filings	D	2016-03-15 00:00:00 UTC
Amount To Be Raised $2,000,000 Associated Brokers / Dealers MicroVenture Marketplace Inc. CIK Number 0001639007 Filed Document 0001639007-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-03-15 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business TEXAS Revenue or Assets $No Revenues Type of Security Pooled Investment Fund
Granite Point Capital Panacea Global Healthcare Fund See All Filings	D/A	2016-03-15 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Lyster Watson Securities, Inc. CIK Number 0001636768 Filed Document 0001546927-16-000464 Exclusions or Exemptions 506b Accepted Date 2016-03-15 00:00:00 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 VA 119 See All Filings	D/A	2016-03-15 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers First Liberties Financial and Summit Equities, Inc CIK Number 0001602219 Filed Document 0001602219-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-03-15 00:00:00 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
Reel Potential, LLC See All Filings	D	2016-03-15 00:00:00 UTC
Amount To Be Raised $1,000,000 Associated Brokers / Dealers N/A CIK Number 0001669448 Filed Document 0001669448-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-03-15 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 Debt
Creative Medical Technologies, Inc. See All Filings	D	2016-03-15 00:00:00 UTC
Amount To Be Raised $100,000 Associated Brokers / Dealers N/A CIK Number 0001667495 Filed Document 0001441557-16-000058 Exclusions or Exemptions 506b Accepted Date 2016-03-15 00:00:00 UTC Type of Offering D Industry Other Health Care Principal Place of Business ARIZONA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Resonate Core, LP See All Filings	D/A	2016-03-15 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001638104 Filed Document 0001638104-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-03-15 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
RANGER MID CAP FUND LP See All Filings	D/A	2016-03-15 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001430048 Filed Document 0001430048-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-03-15 00:00:00 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
MGF Graticule Fund Ltd See All Filings	D/A	2016-03-15 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001601929 Filed Document 0001601929-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-03-15 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
QFR VICTORIA FUND LTD See All Filings	D/A	2016-03-15 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Park Hill Group LLC CIK Number 0001438404 Filed Document 0001458495-16-000007 Exclusions or Exemptions 506b Accepted Date 2016-03-15 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
Next Gauge, Inc. See All Filings	D/A	2016-03-15 00:00:00 UTC
Amount To Be Raised $300,000 Associated Brokers / Dealers N/A CIK Number 0001615894 Filed Document 0001615894-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-03-15 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 Debt
Odey Absolute Return Focus Feeder Fund See All Filings	D	2016-03-15 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001669155 Filed Document 0001315863-16-001297 Exclusions or Exemptions 506b Accepted Date 2016-03-15 00:00:00 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
Jeereddi II, LP See All Filings	D/A	2016-03-15 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001534850 Filed Document 0001315863-16-001300 Exclusions or Exemptions 506b Accepted Date 2016-03-15 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
LEDGE, INC. See All Filings	D	2016-03-15 00:00:00 UTC
Amount To Be Raised $1,000,000 Associated Brokers / Dealers N/A CIK Number 0001601036 Filed Document 0001601036-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-03-15 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
Endgame, Inc. See All Filings	D	2016-03-15 00:00:00 UTC
Amount To Be Raised $6,376,543 Associated Brokers / Dealers N/A CIK Number 0001504383 Filed Document 0001504383-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-03-15 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
Electronic Drug Information Systems Solutions LLC See All Filings	D/A	2016-03-15 00:00:00 UTC
Amount To Be Raised $750,000 Associated Brokers / Dealers N/A CIK Number 0001612976 Filed Document 0001235110-16-000042 Exclusions or Exemptions 506b Accepted Date 2016-03-15 00:00:00 UTC Type of Offering D/A Industry Other Technology Principal Place of Business MISSOURI Revenue or Assets Decline to Disclose Type of Security Equity
GLENVIEW CAPITAL PARTNERS CAYMAN LTD See All Filings	D/A	2016-03-15 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001138754 Filed Document 0001138754-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-03-15 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
D. E. Shaw U.S. Broad Market Core Alpha Extension Offshore Fund, L.P. See All Filings	D/A	2016-03-15 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers D. E. Shaw Securities, L.L.C. CIK Number 0001394791 Filed Document 0001394791-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-03-15 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
Anaxiom Corp See All Filings	D	2016-03-15 00:00:00 UTC
Amount To Be Raised $900,000 Associated Brokers / Dealers N/A CIK Number 0001669042 Filed Document 0001382963-16-000158 Exclusions or Exemptions 506b Accepted Date 2016-03-15 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 Equity
Radialogica LLC See All Filings	D	2016-03-15 00:00:00 UTC
Amount To Be Raised $2,850,761 Associated Brokers / Dealers N/A CIK Number 0001570450 Filed Document 0001570450-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-03-15 00:00:00 UTC Type of Offering D Industry Other Health Care Principal Place of Business MISSOURI Revenue or Assets Decline to Disclose Type of Security Equity
Romark Global Pharma, LLC See All Filings	D/A	2016-03-15 00:00:00 UTC
Amount To Be Raised $50,000,000 Associated Brokers / Dealers Francisco Jose Rivera CIK Number 0001666694 Filed Document 0000897069-16-000764 Exclusions or Exemptions 506b Accepted Date 2016-03-15 00:00:00 UTC Type of Offering D/A Industry Pharmaceuticals Principal Place of Business PUERTO RICO Revenue or Assets Decline to Disclose Type of Security Debt
D. E. Shaw Composite International Fund See All Filings	D/A	2016-03-15 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers D. E. Shaw Securities, L.L.C. ("SecLLC") and Morgan Stanley Saudi Arabia ("MSSA") CIK Number 0001137827 Filed Document 0001137827-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-03-15 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
D. E. Shaw U.S. Broad Market Core Alpha Extension Special Fund II (MA), L.L.C. See All Filings	D/A	2016-03-15 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers D. E. Shaw Securities, L.L.C. CIK Number 0001475474 Filed Document 0001475474-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-03-15 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
Boathouse Row I, L.P. See All Filings	D/A	2016-03-15 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001458495 Filed Document 0001458495-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-03-15 00:00:00 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
BOGLE OPPORTUNITY FUND II, L.P. See All Filings	D/A	2016-03-15 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001097466 Filed Document 0001097466-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-03-15 00:00:00 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
D. E. Shaw All Country Global Alpha Extension Fund, L.L.C. See All Filings	D/A	2016-03-15 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001566136 Filed Document 0001566136-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-03-15 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
D. E. Shaw Oculus International Fund See All Filings	D/A	2016-03-15 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers D. E. Shaw Securities, L.L.C. CIK Number 0001285391 Filed Document 0001285391-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-03-15 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
ACADIAN ALL COUNTRY WORLD EX US FUND See All Filings	D/A	2016-03-15 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Funds Distributor, LLC CIK Number 0001408860 Filed Document 0001408860-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-03-15 00:00:00 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
CAMARES EUROPEAN CREDIT FUND INC. See All Filings	D/A	2016-03-15 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001570500 Filed Document 0000943663-16-000331 Exclusions or Exemptions 506b Accepted Date 2016-03-15 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
D. E. Shaw Plasma International Fund, L.P. See All Filings	D/A	2016-03-15 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001524227 Filed Document 0001524227-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-03-15 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
D. E. Shaw Orienteer X Fund, L.L.C. See All Filings	D/A	2016-03-15 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001648994 Filed Document 0001648994-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-03-15 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business UNITED STATES Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
ARC 308-310 WEST 133rd STREET INVESTORS LLC See All Filings	D	2016-03-15 00:00:00 UTC
Amount To Be Raised $2,730,000 Associated Brokers / Dealers N/A CIK Number 0001666254 Filed Document 0001013594-16-000877 Exclusions or Exemptions 506b Accepted Date 2016-03-15 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
Construction Opportunity Partners No. 1, LLC See All Filings	D/A	2016-03-15 00:00:00 UTC
Amount To Be Raised $40,000,000 Associated Brokers / Dealers RBC Capital Markets, Inc. CIK Number 0001544563 Filed Document 0001544563-16-000005 Exclusions or Exemptions 506b Accepted Date 2016-03-15 00:00:00 UTC Type of Offering D/A Industry Other Real Estate Principal Place of Business WASHINGTON Revenue or Assets Decline to Disclose Type of Security Equity
Centre Lane Partners IV, L.P. See All Filings	D/A	2016-03-15 00:00:00 UTC
Amount To Be Raised $337,000,000 Associated Brokers / Dealers CSP SECURITIES, LP CIK Number 0001655000 Filed Document 0001655000-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-03-15 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
AristaMD, Inc. See All Filings	D	2016-03-15 00:00:00 UTC
Amount To Be Raised $1,375,000 Associated Brokers / Dealers N/A CIK Number 0001614691 Filed Document 0001610618-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-03-15 00:00:00 UTC Type of Offering D Industry Hospitals and Physicians Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Debt
COLLINS CAPITAL DIVERSIFIED FUND II L P See All Filings	D/A	2016-03-15 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Jonathan Edward Lyons, Rod Hennek, Ed Michelson, Robert Seal, and Regions Securities LLC CIK Number 0000940925 Filed Document 0001264128-16-000065 Exclusions or Exemptions 506b Accepted Date 2016-03-15 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
ZENIMAX MEDIA INC See All Filings	D	2016-03-15 00:00:00 UTC
Amount To Be Raised $4,518,840 Associated Brokers / Dealers N/A CIK Number 0001092835 Filed Document 0001092835-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-03-15 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business MARYLAND Revenue or Assets Decline to Disclose Type of Security Equity
COLLINS CAPITAL LOW VOLATILITY PERFORMANCE FUND II L P See All Filings	D/A	2016-03-15 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Raymond James & Associates, Inc., Regions Securities LLC, and Regions Securities LLC CIK Number 0001267637 Filed Document 0001264128-16-000072 Exclusions or Exemptions 506b Accepted Date 2016-03-15 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