Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
NEMO EQUIPMENT INC See All Filings	D	2014-01-10 00:00:00 UTC
Amount To Be Raised $1,500,000 Associated Brokers / Dealers N/A CIK Number 0001433920 Filed Document 0001433920-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-01-10 00:00:00 UTC Type of Offering D Industry Retailing Principal Place of Business NEW HAMPSHIRE Revenue or Assets Decline to Disclose Type of Security Equity
MBP IV Annex Fund, L.P. See All Filings	D	2014-01-10 00:00:00 UTC
Amount To Be Raised $38,250,000 Associated Brokers / Dealers N/A CIK Number 0001596223 Filed Document 0000950103-14-000192 Exclusions or Exemptions 506b Accepted Date 2014-01-10 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
Victory Electronic Cigarettes Corp See All Filings	D	2014-01-10 00:00:00 UTC
Amount To Be Raised $20,000,000 Associated Brokers / Dealers Dalmore Group LLC and Newport Coast Securities, Inc. CIK Number 0001398702 Filed Document 0001354488-14-000148 Exclusions or Exemptions 506b Accepted Date 2014-01-10 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business MICHIGAN Revenue or Assets $$1,000,001 - $5,000,000 Type of Security Debt
Riverwood Capital Partners II L.P. See All Filings	D	2014-01-10 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Park Hill Group LLC CIK Number 0001596154 Filed Document 0001596154-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-10 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
HALCYON PARTNERS OFFSHORE LTD. See All Filings	D/A	2014-01-10 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers UBS Financial Services Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, BARCLAYS CAPITAL INC., ALTERNATIVE STRATEGIES GROUP, INC., and JPMORGAN SECURITIES INC. CIK Number 0001429347 Filed Document 0001315863-14-000021 Exclusions or Exemptions 506b Accepted Date 2014-01-10 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
MAK-ro Capital Fund LP See All Filings	D/A	2014-01-10 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001480091 Filed Document 0000919574-14-000151 Exclusions or Exemptions 506b Accepted Date 2014-01-10 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
CyVek, Inc. See All Filings	D	2014-01-10 00:00:00 UTC
Amount To Be Raised $3,000,000 Associated Brokers / Dealers N/A CIK Number 0001483965 Filed Document 0001483965-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-10 00:00:00 UTC Type of Offering D Industry Biotechnology Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Debt
NorthCoast Long/Short Equities, LLC See All Filings	D	2014-01-10 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001596058 Filed Document 0001596058-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-10 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business CONNECTICUT Revenue or Assets $$5,000,001 - $25,000,000 Type of Security Pooled Investment Fund
EFA Dynamic II Fund Ltd See All Filings	D	2014-01-10 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001596074 Filed Document 0001596074-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-10 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business SINGAPORE Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
2014 Bayou City Illinois Basin Drilling Program, L.P. See All Filings	D	2014-01-10 00:00:00 UTC
Amount To Be Raised $3,607,500 Associated Brokers / Dealers Mari Jo Larkin CIK Number 0001596437 Filed Document 0001596437-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-10 00:00:00 UTC Type of Offering D Industry Oil and Gas Principal Place of Business KENTUCKY Revenue or Assets $Not Applicable Type of Security Mineral Property
EB5 Capital - Jobs Fund 6, L.P. See All Filings	D	2014-01-10 00:00:00 UTC
Amount To Be Raised $2,000,000 Associated Brokers / Dealers N/A CIK Number 0001594579 Filed Document 0001594578-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-01-10 00:00:00 UTC Type of Offering D Industry Other Real Estate Principal Place of Business DISTRICT OF COLUMBIA Revenue or Assets Decline to Disclose Type of Security Equity
NATIONWIDE PRIVATE PLACEMENT VARIABLE ACCOUNT See All Filings	D/A	2014-01-10 00:00:00 UTC
Amount To Be Raised $1,218,298 Associated Brokers / Dealers Kirk Penland, Matt Sheehan, and Andrew Chase CIK Number 0001135856 Filed Document 0001135856-14-000004 Exclusions or Exemptions 506b Accepted Date 2014-01-10 00:00:00 UTC Type of Offering D/A Industry Insurance Principal Place of Business OHIO Revenue or Assets $Not Applicable Type of Security Pooled Investment Fund
Engineroom360 Inc. See All Filings	D	2014-01-10 00:00:00 UTC
Amount To Be Raised $35,000 Associated Brokers / Dealers N/A CIK Number 0001596411 Filed Document 0001596411-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-10 00:00:00 UTC Type of Offering D Industry Computers Principal Place of Business WASHINGTON Revenue or Assets $No Revenues Type of Security Equity
Triple Play Services, Inc. See All Filings	D	2014-01-10 00:00:00 UTC
Amount To Be Raised $252,000 Associated Brokers / Dealers N/A CIK Number 0001590269 Filed Document 0001590269-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-10 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business CALIFORNIA Revenue or Assets $$25,000,001 - $100,000,000 Type of Security Equity
Maglan Distressed Fund LP See All Filings	D/A	2014-01-10 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001508049 Filed Document 0000902664-14-000062 Exclusions or Exemptions 506b Accepted Date 2014-01-10 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
NATIONWIDE PRIVATE PLACEMENT VARIABLE ACCOUNT See All Filings	D/A	2014-01-10 00:00:00 UTC
Amount To Be Raised $15,677,076 Associated Brokers / Dealers Gregory Giles CIK Number 0001135856 Filed Document 0001135856-14-000011 Exclusions or Exemptions 506b Accepted Date 2014-01-10 00:00:00 UTC Type of Offering D/A Industry Insurance Principal Place of Business OHIO Revenue or Assets $Not Applicable Type of Security Pooled Investment Fund
EFA Dynamic II Fund LP See All Filings	D	2014-01-10 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001596075 Filed Document 0001596075-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-10 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business SINGAPORE Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Commonfund Strategic Solutions Diversifying Co See All Filings	D/A	2014-01-10 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers COMMONFUND SECURITIES, INC. CIK Number 0001480378 Filed Document 0001596164-14-000005 Exclusions or Exemptions 506b Accepted Date 2014-01-10 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
NATIONWIDE PRIVATE PLACEMENT VARIABLE ACCOUNT See All Filings	D/A	2014-01-10 00:00:00 UTC
Amount To Be Raised $53,059,844 Associated Brokers / Dealers Mendel Melzer, Michael Leonard, and Kenneth Catanella CIK Number 0001135856 Filed Document 0001135856-14-000009 Exclusions or Exemptions 506b Accepted Date 2014-01-10 00:00:00 UTC Type of Offering D/A Industry Insurance Principal Place of Business OHIO Revenue or Assets $Not Applicable Type of Security Pooled Investment Fund
Boston Common International Social Fund LLC See All Filings	D	2014-01-10 00:00:00 UTC
Amount To Be Raised $25,000,000 Associated Brokers / Dealers N/A CIK Number 0001365067 Filed Document 0001365067-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-10 00:00:00 UTC Type of Offering D Industry Investing Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Equity
Midnight Miley LLC See All Filings	D	2014-01-10 00:00:00 UTC
Amount To Be Raised $125,000 Associated Brokers / Dealers N/A CIK Number 0001596330 Filed Document 0001596328-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-01-10 00:00:00 UTC Type of Offering D Industry Business Services Principal Place of Business CALIFORNIA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
BioLogiQ, Inc. See All Filings	D/A	2014-01-10 00:00:00 UTC
Amount To Be Raised $6,000,000 Associated Brokers / Dealers N/A CIK Number 0001518721 Filed Document 0001518721-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-10 00:00:00 UTC Type of Offering D/A Industry Manufacturing Principal Place of Business IDAHO Revenue or Assets Decline to Disclose Type of Security Equity
Physician Fund LP See All Filings	D/A	2014-01-10 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001572575 Filed Document 0001461373-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-01-10 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business NORTH CAROLINA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Batterymarch Emerging Markets Smaller Companies Fund, LP See All Filings	D	2014-01-10 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001597175 Filed Document 0001597175-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-01-10 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
CARLSON WIRELESS TECHNOLOGIES INC See All Filings	D	2014-01-10 00:00:00 UTC
Amount To Be Raised $3,402,168 Associated Brokers / Dealers N/A CIK Number 0001136440 Filed Document 0001140361-14-001830 Exclusions or Exemptions 506b Accepted Date 2014-01-10 00:00:00 UTC Type of Offering D Industry Telecommunications Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Option To Acquire
Ethical Electric Holdings, Inc. See All Filings	D	2014-01-10 00:00:00 UTC
Amount To Be Raised $12,044,222 Associated Brokers / Dealers N/A CIK Number 0001582824 Filed Document 0001582824-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-10 00:00:00 UTC Type of Offering D Industry Other Energy Principal Place of Business MARYLAND Revenue or Assets Decline to Disclose Type of Security Equity
Miss Mousey LLC See All Filings	D	2014-01-10 00:00:00 UTC
Amount To Be Raised $119,000 Associated Brokers / Dealers N/A CIK Number 0001596331 Filed Document 0001596328-14-000004 Exclusions or Exemptions 506b Accepted Date 2014-01-10 00:00:00 UTC Type of Offering D Industry Business Services Principal Place of Business CALIFORNIA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
MADE Global Brands, LLC See All Filings	D	2014-01-10 00:00:00 UTC
Amount To Be Raised $250,000 Associated Brokers / Dealers N/A CIK Number 0001508597 Filed Document 0001508597-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-01-10 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business GEORGIA Revenue or Assets Decline to Disclose Type of Security Debt
SteelMill Fund Ltd See All Filings	D/A	2014-01-10 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001509116 Filed Document 0000950142-14-000074 Exclusions or Exemptions 506b Accepted Date 2014-01-10 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
AMBIENT CONTROL SYSTEMS INC See All Filings	D/A	2014-01-10 00:00:00 UTC
Amount To Be Raised $250,000 Associated Brokers / Dealers None CIK Number 0001145050 Filed Document 0001145050-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-10 00:00:00 UTC Type of Offering D/A Industry Other Technology Principal Place of Business CALIFORNIA Revenue or Assets $No Revenues Type of Security Equity
PFR GOLD FUND, L.P. See All Filings	D/A	2014-01-10 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001462490 Filed Document 0001013594-14-000019 Exclusions or Exemptions 506b Accepted Date 2014-01-10 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
Viking Partners Fund LP See All Filings	D/A	2014-01-10 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001478759 Filed Document 0000902664-14-000059 Exclusions or Exemptions 506b Accepted Date 2014-01-10 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
LXTCH FUND I, LLC See All Filings	D	2014-01-10 00:00:00 UTC
Amount To Be Raised $1,500,000 Associated Brokers / Dealers N/A CIK Number 0001595755 Filed Document 0001595755-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-01-10 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business PENNSYLVANIA Revenue or Assets $No Revenues Type of Security Equity
IPSENTO, L.L.C. See All Filings	D	2014-01-10 00:00:00 UTC
Amount To Be Raised $20,000 Associated Brokers / Dealers N/A CIK Number 0001595854 Filed Document 0001595854-14-000001 Exclusions or Exemptions 506c Accepted Date 2014-01-10 00:00:00 UTC Type of Offering D Industry Restaurants Principal Place of Business ILLINOIS Revenue or Assets Decline to Disclose Type of Security Debt
Kaio Therapy, LLC See All Filings	D	2014-01-10 00:00:00 UTC
Amount To Be Raised $4,000,000 Associated Brokers / Dealers N/A CIK Number 0001596199 Filed Document 0001596199-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-10 00:00:00 UTC Type of Offering D Industry Biotechnology Principal Place of Business NORTH CAROLINA Revenue or Assets Decline to Disclose Type of Security Equity
Venor Recovery Fund I LP See All Filings	D	2014-01-10 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001596130 Filed Document 0001315863-14-000020 Exclusions or Exemptions 506b Accepted Date 2014-01-10 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 Pooled Investment Fund
Randall P. Martin Fund 1 LP See All Filings	D/A	2014-01-10 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001594203 Filed Document 0001594203-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-10 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business GEORGIA Revenue or Assets $$1 - $5,000,000 Type of Security Pooled Investment Fund
Systematic Momentum FuturesAccess LLC See All Filings	D/A	2014-01-10 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Merrill Lynch, Pierce, Fenner & Smith Incorporated CIK Number 0001393359 Filed Document 0001393359-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-10 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
MIG6 MIP, LLC See All Filings	D	2014-01-10 00:00:00 UTC
Amount To Be Raised $11,000,000 Associated Brokers / Dealers N/A CIK Number 0001596727 Filed Document 0001596727-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-10 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business FLORIDA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
ZAXIS PARTNERS LP See All Filings	D/A	2014-01-10 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0000944885 Filed Document 0000935836-14-000012 Exclusions or Exemptions 506b Accepted Date 2014-01-10 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
Commonfund Institutional Multi-Strategy Commodities Fund, Ltd See All Filings	D/A	2014-01-10 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers COMMONFUND SECURITIES, INC. CIK Number 0001328410 Filed Document 0001596164-14-000006 Exclusions or Exemptions 506b Accepted Date 2014-01-10 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
Kotak WM India Fund Ltd See All Filings	D/A	2014-01-10 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001507309 Filed Document 0001507309-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-10 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business MAURITIUS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Crestline Recovery Fund II, L.P. See All Filings	D/A	2014-01-10 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001510002 Filed Document 0000902664-14-000061 Exclusions or Exemptions 506b Accepted Date 2014-01-10 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 Equity
Point203X2SPV, LLC See All Filings	D	2014-01-10 00:00:00 UTC
Amount To Be Raised $2,200,000 Associated Brokers / Dealers N/A CIK Number 0001595289 Filed Document 0001595289-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-10 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business MASSACHUSETTS Revenue or Assets $Not Applicable Type of Security Pooled Investment Fund
NATIONWIDE PRIVATE PLACEMENT VARIABLE ACCOUNT See All Filings	D/A	2014-01-10 00:00:00 UTC
Amount To Be Raised $627,904 Associated Brokers / Dealers Kirk Penland, Matt Sheehan, and Andrew Chase CIK Number 0001135856 Filed Document 0001135856-14-000005 Exclusions or Exemptions 506b Accepted Date 2014-01-10 00:00:00 UTC Type of Offering D/A Industry Insurance Principal Place of Business OHIO Revenue or Assets $Not Applicable Type of Security Pooled Investment Fund
CAIS GoldenTree Partners LLC See All Filings	D/A	2014-01-10 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers DeWaay Financial Network, LLC, Hightower Securities, LLC, Jefferies & Company, Inc., and USCA Securities LLC CIK Number 0001560555 Filed Document 0001566114-14-000006 Exclusions or Exemptions 506c Accepted Date 2014-01-10 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
FGI Opportunity Fund II, L.P. See All Filings	D/A	2014-01-10 00:00:00 UTC
Amount To Be Raised $50,000,000 Associated Brokers / Dealers NCG Securities LLC CIK Number 0001558544 Filed Document 0001558544-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-10 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
Contrarian Emerging Markets, L.P. See All Filings	D/A	2014-01-10 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001458862 Filed Document 0000919574-14-000198 Exclusions or Exemptions 506b Accepted Date 2014-01-10 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
Invesco Core Real Estate - U.S.A , L.P. See All Filings	D/A	2014-01-10 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001305319 Filed Document 0001305319-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-10 00:00:00 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
KINEMED INC See All Filings	D/A	2014-01-10 00:00:00 UTC
Amount To Be Raised $8,400,004 Associated Brokers / Dealers Western Pacific Securities LLC, Bedminister Financial Group, Limited, and Westlake Securities, LLC CIK Number 0001167058 Filed Document 0001140361-14-001810 Exclusions or Exemptions 506c Accepted Date 2014-01-10 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