Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
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
AQR TAX-AWARE U.S. DEFENSIVE EQUITY FUND, L.P. See All Filings	D	2016-10-07 14:34:43 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001685436 Filed Document 0001685436-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-10-07 14:34:43 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
SPM Opportunity Offshore Fund, Ltd. See All Filings	D/A	2016-10-07 14:23:57 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001465298 Filed Document 0001507943-16-000317 Exclusions or Exemptions 506b Accepted Date 2016-10-07 14:23:57 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
SPM OPPORTUNITY MASTER FUND, L.P. See All Filings	D/A	2016-10-07 14:23:23 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001461658 Filed Document 0001507943-16-000316 Exclusions or Exemptions 506b Accepted Date 2016-10-07 14:23:23 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
SPM Opportunity Fund, L.P. See All Filings	D/A	2016-10-07 14:22:49 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001461654 Filed Document 0001507943-16-000315 Exclusions or Exemptions 506b Accepted Date 2016-10-07 14:22:49 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
SPM Core Offshore Fund, Ltd See All Filings	D/A	2016-10-07 14:22:08 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001465297 Filed Document 0001507943-16-000314 Exclusions or Exemptions 506b Accepted Date 2016-10-07 14:22:08 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
SPM Core Master Fund, L.P. See All Filings	D/A	2016-10-07 14:21:27 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001461656 Filed Document 0001507943-16-000313 Exclusions or Exemptions 506b Accepted Date 2016-10-07 14:21:27 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
SPM Core Fund, L.P. See All Filings	D/A	2016-10-07 14:20:30 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001461659 Filed Document 0001507943-16-000312 Exclusions or Exemptions 506b Accepted Date 2016-10-07 14:20:30 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
SALI Multi-Series Fund II, L.P. See All Filings	D/A	2016-10-07 14:19:10 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001476511 Filed Document 0001476511-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-10-07 14:19:10 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
Railroad Ranch Capital Partners, LP See All Filings	D	2016-10-07 14:15:55 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001684643 Filed Document 0001684643-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-07 14:15:55 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business TEXAS Revenue or Assets $No Aggregate Net Asset Value Type of Security Pooled Investment Fund
simPRO Holdings, Inc. See All Filings	D	2016-10-07 14:13:48 UTC
Amount To Be Raised $30,544,024 Associated Brokers / Dealers N/A CIK Number 0001687020 Filed Document 0001687020-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-07 14:13:48 UTC Type of Offering D Industry Other Technology Principal Place of Business COLORADO Revenue or Assets Decline to Disclose Type of Security Equity
BDR MEDINA V LLC See All Filings	D	2016-10-07 14:10:30 UTC
Amount To Be Raised $1,000,000 Associated Brokers / Dealers N/A CIK Number 0001686357 Filed Document 0001686357-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-07 14:10:30 UTC Type of Offering D Industry Residential Principal Place of Business WASHINGTON Revenue or Assets $No Revenues Type of Security Equity
Spark Thermionics, Inc. See All Filings	D	2016-10-07 14:10:18 UTC
Amount To Be Raised $750,000 Associated Brokers / Dealers N/A CIK Number 0001686928 Filed Document 0001686928-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-07 14:10:18 UTC Type of Offering D Industry Electric Utilities Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Drink Maple, Inc. See All Filings	D	2016-10-07 14:09:45 UTC
Amount To Be Raised $450,000 Associated Brokers / Dealers N/A CIK Number 0001637235 Filed Document 0001637235-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-10-07 14:09:45 UTC Type of Offering D Industry Other Principal Place of Business VERMONT Revenue or Assets Decline to Disclose Type of Security Other
Frogtek BOP, LLC See All Filings	D	2016-10-07 14:03:17 UTC
Amount To Be Raised $750,000 Associated Brokers / Dealers N/A CIK Number 0001596446 Filed Document 0001192482-16-000728 Exclusions or Exemptions 506b Accepted Date 2016-10-07 14:03:17 UTC Type of Offering D Industry Other Technology Principal Place of Business PENNSYLVANIA Revenue or Assets Decline to Disclose Type of Security Equity
Freedom Telecom Services, Inc. See All Filings	D/A	2016-10-07 13:54:31 UTC
Amount To Be Raised $3,000,000 Associated Brokers / Dealers N/A CIK Number 0001652134 Filed Document 0001652134-16-000010 Exclusions or Exemptions 506b Accepted Date 2016-10-07 13:54:31 UTC Type of Offering D/A Industry Telecommunications Principal Place of Business MARYLAND Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Rastegar Income Fund II, LP See All Filings	D	2016-10-07 13:44:05 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001687043 Filed Document 0001687043-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-07 13:44:05 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
Fastbar Technologies Inc. See All Filings	D/A	2016-10-07 13:37:06 UTC
Amount To Be Raised $500,000 Associated Brokers / Dealers N/A CIK Number 0001619540 Filed Document 0001619540-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-10-07 13:37:06 UTC Type of Offering D/A Industry Other Technology Principal Place of Business WASHINGTON Revenue or Assets Decline to Disclose Type of Security Debt
Indice Semiconductor Inc. See All Filings	D/A	2016-10-07 13:37:06 UTC
Amount To Be Raised $10,136,620 Associated Brokers / Dealers N/A CIK Number 0001619557 Filed Document 0001619557-16-000004 Exclusions or Exemptions 506b Accepted Date 2016-10-07 13:37:06 UTC Type of Offering D/A Industry Other Technology Principal Place of Business OREGON Revenue or Assets Decline to Disclose Type of Security Equity
Da Vinci Manufacturing & Distribution, Inc. See All Filings	D	2016-10-07 13:35:12 UTC
Amount To Be Raised $2,000,000 Associated Brokers / Dealers N/A CIK Number 0001685380 Filed Document 0001685380-16-000002 Exclusions or Exemptions 505 and 506b Accepted Date 2016-10-07 13:35:12 UTC Type of Offering D Industry Manufacturing Principal Place of Business ILLINOIS Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Primexx Energy Opportunity Fund II, LP See All Filings	D	2016-10-07 13:23:11 UTC
Amount To Be Raised $30,000,000 Associated Brokers / Dealers N/A CIK Number 0001685569 Filed Document 0001685569-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-07 13:23:11 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
USRC Napa, LLC See All Filings	D	2016-10-07 13:21:08 UTC
Amount To Be Raised $500,000 Associated Brokers / Dealers N/A CIK Number 0001687008 Filed Document 0001687008-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-07 13:21:08 UTC Type of Offering D Industry Other Health Care Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
House of Auth, LLC See All Filings	D	2016-10-07 13:17:12 UTC
Amount To Be Raised $100,000 Associated Brokers / Dealers 0 CIK Number 0001647199 Filed Document 0000909012-16-000579 Exclusions or Exemptions 506b Accepted Date 2016-10-07 13:17:12 UTC Type of Offering D Industry Other Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Equity
EquityZen Growth Technology Fund LLC - Series 47 See All Filings	D/A	2016-10-07 13:04:19 UTC
Amount To Be Raised $231,017 Associated Brokers / Dealers EquityZen Securities LLC CIK Number 0001683500 Filed Document 0001684007-16-000007 Exclusions or Exemptions 506b Accepted Date 2016-10-07 13:04:19 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