Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
Asterias Biotherapeutics, Inc. See All Filings	D	2014-06-19 00:00:00 UTC
Amount To Be Raised $11,700,000 Associated Brokers / Dealers N/A CIK Number 0001572552 Filed Document 0001462573-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-06-19 00:00:00 UTC Type of Offering D Industry Biotechnology Principal Place of Business CALIFORNIA Revenue or Assets $$1 - $1,000,000 Type of Security Option To Acquire
ARMADA WATER ASSETS INC See All Filings	D	2014-06-19 00:00:00 UTC
Amount To Be Raised $408,065 Associated Brokers / Dealers N/A CIK Number 0001568996 Filed Document 0001304511-14-000004 Exclusions or Exemptions 506b Accepted Date 2014-06-19 00:00:00 UTC Type of Offering D Industry Environmental Services Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
NORTHERN SHIPPING FUND II LLC See All Filings	D/A	2014-06-19 00:00:00 UTC
Amount To Be Raised $204,108,583 Associated Brokers / Dealers N/A CIK Number 0001555088 Filed Document 0000919574-14-003770 Exclusions or Exemptions 506b Accepted Date 2014-06-19 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business BERMUDA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
GWA, LLC See All Filings	D/A	2014-06-19 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001039261 Filed Document 0000919574-14-003775 Exclusions or Exemptions 506b Accepted Date 2014-06-19 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
Clarus Lifesciences III, L.P. See All Filings	D/A	2014-06-19 00:00:00 UTC
Amount To Be Raised $375,000,000 Associated Brokers / Dealers Snowbridge LLC CIK Number 0001597143 Filed Document 0001597143-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-06-19 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business MASSACHUSETTS Revenue or Assets $Not Applicable Type of Security Pooled Investment Fund
Roadrunner Recycling, Inc. See All Filings	D	2014-06-19 00:00:00 UTC
Amount To Be Raised $1,700,000 Associated Brokers / Dealers N/A CIK Number 0001610807 Filed Document 0001610807-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-06-19 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity
Credere Enterprises, LLC See All Filings	D	2014-06-19 00:00:00 UTC
Amount To Be Raised $687,000 Associated Brokers / Dealers N/A CIK Number 0001504108 Filed Document 0001504108-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-06-19 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 Debt
Alphaquest Original LLC See All Filings	D	2014-06-19 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001579282 Filed Document 0001579282-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-06-19 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets $$5,000,001 - $25,000,000 Type of Security Pooled Investment Fund
ZONEBREAK INC. See All Filings	D	2014-06-19 00:00:00 UTC
Amount To Be Raised $500,000 Associated Brokers / Dealers N/A CIK Number 0001610819 Filed Document 0001610819-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-06-19 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business ILLINOIS Revenue or Assets Decline to Disclose Type of Security Debt
New Mexico Foreign Investment Center, LLC See All Filings	D	2014-06-19 00:00:00 UTC
Amount To Be Raised $500,000 Associated Brokers / Dealers N/A CIK Number 0001608990 Filed Document 0001608990-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-06-19 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business NEW MEXICO Revenue or Assets $No Revenues Type of Security Equity
Arohi Emerging Asia Fund See All Filings	D/A	2014-06-19 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001552784 Filed Document 0001405086-14-000214 Exclusions or Exemptions 506b Accepted Date 2014-06-19 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 Equity
InteliVideo, Inc. See All Filings	D	2014-06-19 00:00:00 UTC
Amount To Be Raised $2,611,684 Associated Brokers / Dealers N/A CIK Number 0001611198 Filed Document 0001611198-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-06-19 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business COLORADO Revenue or Assets Decline to Disclose Type of Security Equity
InterMountainFiber Connect, LLC See All Filings	D	2014-06-19 00:00:00 UTC
Amount To Be Raised $1,900,000 Associated Brokers / Dealers CEA Atlantic Advisors, LLC CIK Number 0001611268 Filed Document 0001611268-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-06-19 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business FLORIDA Revenue or Assets $No Revenues Type of Security Equity
Rockefeller U.S. Small Capitalization Fund QP, L.P. See All Filings	D/A	2014-06-19 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001542575 Filed Document 0000945621-14-000171 Exclusions or Exemptions 506b Accepted Date 2014-06-19 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 Equity
VCP-14, LLC See All Filings	D	2014-06-19 00:00:00 UTC
Amount To Be Raised $5,000,000 Associated Brokers / Dealers N/A CIK Number 0001610895 Filed Document 0001610895-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-06-19 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
Mitralign, Inc. See All Filings	D	2014-06-19 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001289936 Filed Document 0001289936-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-06-19 00:00:00 UTC Type of Offering D Industry Other Health Care Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Equity
MC Acquisition Holdings I, L.L.C. See All Filings	D	2014-06-19 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001597135 Filed Document 0000895345-14-000191 Exclusions or Exemptions 506b Accepted Date 2014-06-19 00:00:00 UTC Type of Offering D Industry Other Health Care Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity
PEAR SPORTS LLC See All Filings	D/A	2014-06-19 00:00:00 UTC
Amount To Be Raised $3,177,000 Associated Brokers / Dealers N/A CIK Number 0001603537 Filed Document 0001603537-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-06-19 00:00:00 UTC Type of Offering D/A Industry Other Technology Principal Place of Business CALIFORNIA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Weiss Multi-Strategy Partners LLC See All Filings	D/A	2014-06-19 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001379269 Filed Document 0000919574-14-003774 Exclusions or Exemptions 506b Accepted Date 2014-06-19 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
T Alliance One - Palm Springs, LLC See All Filings	D	2014-06-19 00:00:00 UTC
Amount To Be Raised $4,900,000 Associated Brokers / Dealers N/A CIK Number 0001611023 Filed Document 0001611023-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-06-19 00:00:00 UTC Type of Offering D Industry Other Real Estate Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
KnowRe Americas, Inc. See All Filings	D	2014-06-19 00:00:00 UTC
Amount To Be Raised $800,000 Associated Brokers / Dealers N/A CIK Number 0001611307 Filed Document 0001611307-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-06-19 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Debt
Rastech Software, Inc. See All Filings	D	2014-06-19 00:00:00 UTC
Amount To Be Raised $50,000 Associated Brokers / Dealers N/A CIK Number 0001611323 Filed Document 0001611323-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-06-19 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business MASSACHUSETTS Revenue or Assets $No Revenues Type of Security Debt
Circleback Lending, Inc. See All Filings	D/A	2014-06-19 00:00:00 UTC
Amount To Be Raised $2,499,999 Associated Brokers / Dealers N/A CIK Number 0001595100 Filed Document 0001595100-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-06-19 00:00:00 UTC Type of Offering D/A Industry Other Banking and Financial Services Principal Place of Business FLORIDA Revenue or Assets Decline to Disclose Type of Security Equity
Drazil Foods, LLC See All Filings	D	2014-06-19 00:00:00 UTC
Amount To Be Raised $1,000,000 Associated Brokers / Dealers N/A CIK Number 0001596443 Filed Document 0001596443-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-06-19 00:00:00 UTC Type of Offering D Industry Manufacturing Principal Place of Business MINNESOTA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Costanoa Venture Capital II, L.P. See All Filings	D	2014-06-19 00:00:00 UTC
Amount To Be Raised $135,000,000 Associated Brokers / Dealers N/A CIK Number 0001610825 Filed Document 0001610825-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-06-19 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
ICONIQ Strategic Partners, L.P. See All Filings	D/A	2014-06-19 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001575779 Filed Document 0001575779-14-000004 Exclusions or Exemptions 506b Accepted Date 2014-06-19 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
Dollar Shave Club, Inc. See All Filings	D/A	2014-06-19 00:00:00 UTC
Amount To Be Raised $13,156,995 Associated Brokers / Dealers N/A CIK Number 0001588865 Filed Document 0001588865-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-06-19 00:00:00 UTC Type of Offering D/A Industry Other Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
SisoTech Inc See All Filings	D	2014-06-19 00:00:00 UTC
Amount To Be Raised $350 Associated Brokers / Dealers N/A CIK Number 0001611296 Filed Document 0001611296-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-06-19 00:00:00 UTC Type of Offering D Industry Computers Principal Place of Business DELAWARE Revenue or Assets $No Revenues Type of Security Equity
KinoDyn, Inc. See All Filings	D	2014-06-19 00:00:00 UTC
Amount To Be Raised $550,000 Associated Brokers / Dealers N/A CIK Number 0001611029 Filed Document 0001611029-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-06-19 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business NORTH CAROLINA Revenue or Assets Decline to Disclose Type of Security Equity
TriState Capital Holdings, Inc. See All Filings	D	2014-06-19 00:00:00 UTC
Amount To Be Raised $35,000,000 Associated Brokers / Dealers Stephens, Inc. CIK Number 0001380846 Filed Document 0001380846-14-000030 Exclusions or Exemptions 506b Accepted Date 2014-06-19 00:00:00 UTC Type of Offering D Industry Commercial Banking Principal Place of Business PENNSYLVANIA Revenue or Assets $$25,000,001 - $100,000,000 Type of Security Debt
Yapp Media, LLC See All Filings	D	2014-06-19 00:00:00 UTC
Amount To Be Raised $25,525,439 Associated Brokers / Dealers N/A CIK Number 0001570781 Filed Document 0001570781-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-06-19 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business NEW JERSEY Revenue or Assets Decline to Disclose Type of Security Equity
Spark Medical, Inc. See All Filings	D	2014-06-19 00:00:00 UTC
Amount To Be Raised $1,500,000 Associated Brokers / Dealers N/A CIK Number 0001608939 Filed Document 0001608939-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-06-19 00:00:00 UTC Type of Offering D Industry Manufacturing Principal Place of Business WASHINGTON Revenue or Assets Decline to Disclose Type of Security Debt
AROHI EMERGING ASIA (US) FUND See All Filings	D/A	2014-06-19 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001553509 Filed Document 0001405086-14-000215 Exclusions or Exemptions 506b Accepted Date 2014-06-19 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 Equity
DIOMICS Corp See All Filings	D/A	2014-06-19 00:00:00 UTC
Amount To Be Raised $505,000 Associated Brokers / Dealers N/A CIK Number 0001605831 Filed Document 0001140361-14-026161 Exclusions or Exemptions 506b Accepted Date 2014-06-19 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
Nags Head Shores, LLC See All Filings	D	2014-06-19 00:00:00 UTC
Amount To Be Raised $3,750,000 Associated Brokers / Dealers Transact Capital Securities, LLC CIK Number 0001611076 Filed Document 0001611076-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-06-19 00:00:00 UTC Type of Offering D Industry Commercial Principal Place of Business NORTH CAROLINA Revenue or Assets Decline to Disclose Type of Security Equity
Sycara, Inc. See All Filings	D	2014-06-19 00:00:00 UTC
Amount To Be Raised $800,000 Associated Brokers / Dealers N/A CIK Number 0001511493 Filed Document 0001511493-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-06-19 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business ARIZONA Revenue or Assets Decline to Disclose Type of Security Equity
BAAPLIFE2-2014, LLC See All Filings	D	2014-06-19 00:00:00 UTC
Amount To Be Raised $5,000,000 Associated Brokers / Dealers N/A CIK Number 0001610879 Filed Document 0001610895-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-06-19 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
RIGHTSCORP, INC. See All Filings	D	2014-06-19 00:00:00 UTC
Amount To Be Raised $1,000,000 Associated Brokers / Dealers N/A CIK Number 0001506270 Filed Document 0001493152-14-001947 Exclusions or Exemptions 506b Accepted Date 2014-06-19 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business CALIFORNIA Revenue or Assets $No Revenues Type of Security Equity
Nant Health, LLC See All Filings	D	2014-06-19 00:00:00 UTC
Amount To Be Raised $16,643,249 Associated Brokers / Dealers N/A CIK Number 0001566469 Filed Document 0001566469-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-06-19 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
Avalon Hedged Equity Fund LP See All Filings	D	2014-06-19 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001610836 Filed Document 0001610836-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-06-19 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
EMBA Medical, Inc. See All Filings	D/A	2014-06-19 00:00:00 UTC
Amount To Be Raised $3,000,000 Associated Brokers / Dealers N/A CIK Number 0001582012 Filed Document 0001582012-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-06-19 00:00:00 UTC Type of Offering D/A Industry Other Health Care Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
CAMP NINE, INC. See All Filings	D	2014-06-19 00:00:00 UTC
Amount To Be Raised $10,694,588 Associated Brokers / Dealers Laidlaw & Company (UK) Ltd. CIK Number 0001553643 Filed Document 0001213900-14-004304 Exclusions or Exemptions 506b Accepted Date 2014-06-19 00:00:00 UTC Type of Offering D Industry Biotechnology Principal Place of Business NEW YORK Revenue or Assets $No Revenues Type of Security Equity
Rothschild Innovators Fund, LP See All Filings	D/A	2014-06-19 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001579681 Filed Document 0001579681-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-06-19 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business MARYLAND Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
SIA CAPITAL OPTIONS FUND LP See All Filings	D/A	2014-06-19 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001549017 Filed Document 0001549017-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-06-19 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Spotlight Innovation, Inc. See All Filings	D	2014-06-19 00:00:00 UTC
Amount To Be Raised $41,418,000 Associated Brokers / Dealers N/A CIK Number 0001388486 Filed Document 0001477932-14-003236 Exclusions or Exemptions 506b Accepted Date 2014-06-19 00:00:00 UTC Type of Offering D Industry Biotechnology Principal Place of Business IOWA Revenue or Assets $No Revenues Type of Security Equity
MID-AMERICA ANGELS INVESTMENTS LLC See All Filings	D	2014-06-19 00:00:00 UTC
Amount To Be Raised $246,880 Associated Brokers / Dealers N/A CIK Number 0001383457 Filed Document 0001383457-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-06-19 00:00:00 UTC Type of Offering D Industry Investing Principal Place of Business KANSAS Revenue or Assets $Not Applicable Type of Security Equity
Bakken Drilling Fund IV LP See All Filings	D/A	2014-06-19 00:00:00 UTC
Amount To Be Raised $50,000,000 Associated Brokers / Dealers Vestech Securities Inc., Sandlapper Securities, LLC, Thomas M. Nixon and Associates, Inc., Ausdal Financial Partners, Inc., Landolt Securities, Inc., Oak Tree Securities, Inc., Resource Horizons Group LLC, IBN Financial Services, Inc, MidAmerica Financial Services, Inc., Sunbelt Securities, Inc., Watermark Advisors, LLC, Capital Financial Services, Inc., WFG Investments, Inc., Detwiler Fenton & Co, Cabot Lodge Securities LLC, Cape Securities, Inc., D.H. Hill Securities, LLLP, Financial West Group, Heckman Financial & Insurance Services, Inc., Much Wealth Management, Inc., Skihawk Capital Partners, Inc., Whitehall-Parker Securities, Inc., NTV Asset Management, LLC, Morton Wealth Management, LLC, and Feist Asset Management CIK Number 0001577257 Filed Document 0001577257-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-06-19 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business COLORADO Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Sutherland Asset Management Corp See All Filings	D	2014-06-19 00:00:00 UTC
Amount To Be Raised $5,207,601 Associated Brokers / Dealers N/A CIK Number 0001456906 Filed Document 0001456906-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-06-19 00:00:00 UTC Type of Offering D Industry REITS and Finance Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity
RANT MEDIA NETWORK, INC. See All Filings	D	2014-06-19 00:00:00 UTC
Amount To Be Raised $5,000,000 Associated Brokers / Dealers Merriman Capital, Inc., Roth Capital Partners, LLC, BMA Securities, Palladium Capital Advisors, LLC, and StreetCapital, Inc. CIK Number 0001592559 Filed Document 0001592559-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-06-19 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
NCP GP V-A, L.P. See All Filings	D/A	2014-06-19 00:00:00 UTC
Amount To Be Raised $250,000,000 Associated Brokers / Dealers CMS Investment Resources, LLC and Farrell Marsh & Co. CIK Number 0001560238 Filed Document 0001560238-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-06-19 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