Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
TH-11131 Fund I, a series of Roll Up Vehicles, LP See All Filings	D	2025-03-17 14:52:07 UTC
Amount To Be Raised $310,523 Associated Brokers / Dealers N/A CIK Number 0002046534 Filed Document 0002046534-25-000001 Exclusions or Exemptions 506b Accepted Date 2025-03-17 14:52:07 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business WASHINGTON Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Shaw Park Private Markets 2025 Onshore Fund L.P. See All Filings	D	2025-03-17 14:51:57 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0002058273 Filed Document 0000897069-25-000617 Exclusions or Exemptions 506b Accepted Date 2025-03-17 14:51:57 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
VCF Compass Co-Investor Holdings II, L.P. See All Filings	D	2025-03-17 14:47:31 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Veritas Capital Securities L.L.C. CIK Number 0002058213 Filed Document 0002058213-25-000001 Exclusions or Exemptions 506b Accepted Date 2025-03-17 14:47:31 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
Paleo Leon Inc. See All Filings	D/A	2025-03-17 14:43:14 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001968727 Filed Document 0002055595-25-000008 Exclusions or Exemptions 506b Accepted Date 2025-03-17 14:43:14 UTC Type of Offering D/A Industry Investing Principal Place of Business NEW JERSEY Revenue or Assets Decline to Disclose Type of Security Equity
Millburn Commodity Fund L.P. See All Filings	D/A	2025-03-17 14:38:39 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001479566 Filed Document 0001479566-25-000001 Exclusions or Exemptions 506b Accepted Date 2025-03-17 14:38:39 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
NJBA SOLCAP 2024 LLC See All Filings	D	2025-03-17 14:37:57 UTC
Amount To Be Raised $14,459,627 Associated Brokers / Dealers Joshua C. Miller, Timothy Swiat, and William Hoving CIK Number 0002060245 Filed Document 0002060245-25-000001 Exclusions or Exemptions 506c Accepted Date 2025-03-17 14:37:57 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business NEVADA Revenue or Assets $$5,000,001 - $25,000,000 Type of Security Pooled Investment Fund
Locust Point Senior Mortgage Fund, L.P. See All Filings	D/A	2025-03-17 14:35:37 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers EQUUS FINANCIAL CONSULTING LLC, XT CAPITAL PARTNERS, LLC, and BENNELONG CAPITAL PTY LIMITED CIK Number 0001901753 Filed Document 0001901753-25-000001 Exclusions or Exemptions 506b Accepted Date 2025-03-17 14:35:37 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
JLLX Diversified 9, DST See All Filings	D	2025-03-17 14:32:35 UTC
Amount To Be Raised $168,451,336 Associated Brokers / Dealers LaSalle Investment Management Distributors, LLC, John Phipps, Kevin Smith, and John C. Rapport CIK Number 0002058039 Filed Document 0002058039-25-000002 Exclusions or Exemptions 506b Accepted Date 2025-03-17 14:32:35 UTC Type of Offering D Industry Other Real Estate Principal Place of Business ILLINOIS Revenue or Assets Decline to Disclose Type of Security Equity
Altera Value Add RE, LLC See All Filings	D/A	2025-03-17 14:32:32 UTC
Amount To Be Raised $11,900,000 Associated Brokers / Dealers N/A CIK Number 0001971732 Filed Document 0001971732-25-000001 Exclusions or Exemptions 506b Accepted Date 2025-03-17 14:32:32 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business GEORGIA Revenue or Assets Decline to Disclose Type of Security Equity
Millburn Resource Opportunities Fund L.P. See All Filings	D/A	2025-03-17 14:31:29 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001914802 Filed Document 0001914802-25-000002 Exclusions or Exemptions 506b Accepted Date 2025-03-17 14:31:29 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
MSIV Fund II, L.P. See All Filings	D	2025-03-17 14:21:13 UTC
Amount To Be Raised $15,000,000 Associated Brokers / Dealers N/A CIK Number 0002060823 Filed Document 0002060823-25-000001 Exclusions or Exemptions 506b Accepted Date 2025-03-17 14:21:13 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
MetLife Floating Rate Fund I, LP See All Filings	D/A	2025-03-17 14:17:03 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers MetLife Investments Securities, LLC CIK Number 0001808113 Filed Document 0001808113-25-000005 Exclusions or Exemptions 506b Accepted Date 2025-03-17 14:17:03 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
BMG 2024 DST See All Filings	D	2025-03-17 14:15:53 UTC
Amount To Be Raised $5,435,872 Associated Brokers / Dealers N/A CIK Number 0002059914 Filed Document 0002029322-25-000001 Exclusions or Exemptions 506c Accepted Date 2025-03-17 14:15:53 UTC Type of Offering D Industry Investing Principal Place of Business VIRGINIA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
SRPMIC Mercer Private Investments, LP See All Filings	D	2025-03-17 14:10:08 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0002061111 Filed Document 0002061111-25-000001 Exclusions or Exemptions 506b Accepted Date 2025-03-17 14:10:08 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business VIRGINIA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Mahartha Partners, LP See All Filings	D/A	2025-03-17 13:57:57 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001760668 Filed Document 0002055595-25-000007 Exclusions or Exemptions 506b Accepted Date 2025-03-17 13:57:57 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
AEXLAB, Inc. See All Filings	C	2025-03-17 13:52:28 UTC
Financial Interest One percent (1%) of securities of the total amount of investments raised in the offering, along the same terms as investors. Filing Platform StartEngine Primary, LLC Offering Amount $4,940,243 CIK Number 0001845509 Filed Document 0001665160-25-000422 Accepted Date 2025-03-17 13:52:28 UTC Type of Offering C Security Offered Amount 273 Security Offered Type Other State FLORIDA
Acesis Holdings Corporation See All Filings	C	2025-03-17 13:51:37 UTC
Financial Interest Up to 4,255 shares to be issued, along the same terms as investors. Filing Platform NetCapital Funding Portal Inc. Offering Amount $1,000,000 CIK Number 0001955728 Filed Document 0001669191-25-000139 Accepted Date 2025-03-17 13:51:37 UTC Type of Offering C Security Offered Amount 4,256 Security Offered Type Common Stock State COLORADO
EquityZen Growth Technology Fund LLC - Series 2037 See All Filings	D	2025-03-17 13:50:18 UTC
Amount To Be Raised $914,870 Associated Brokers / Dealers EquityZen Securities LLC CIK Number 0002049760 Filed Document 0002049760-25-000001 Exclusions or Exemptions 506b Accepted Date 2025-03-17 13:50:18 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
Neuberger Berman Insurance Fund XIII Series Interests of the SALI Multi-Series Fund, L.P. See All Filings	D	2025-03-17 13:36:08 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers FAS Corp. CIK Number 0002060411 Filed Document 0002060425-25-000004 Exclusions or Exemptions 506b Accepted Date 2025-03-17 13:36:08 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
Zazove Offshore Feeder Fund, Ltd. See All Filings	D/A	2025-03-17 13:35:42 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001329208 Filed Document 0001329208-25-000001 Exclusions or Exemptions 506b Accepted Date 2025-03-17 13:35:42 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
Tradelink Master Fund LP See All Filings	D/A	2025-03-17 13:34:41 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001329083 Filed Document 0001329083-25-000001 Exclusions or Exemptions 506b Accepted Date 2025-03-17 13:34:41 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
Board AI, Inc. See All Filings	D	2025-03-17 13:34:28 UTC
Amount To Be Raised $4,246,000 Associated Brokers / Dealers N/A CIK Number 0002061117 Filed Document 0002061117-25-000001 Exclusions or Exemptions 506b Accepted Date 2025-03-17 13:34:28 UTC Type of Offering D Industry Other Technology Principal Place of Business FLORIDA Revenue or Assets Decline to Disclose Type of Security Equity
AVSF - N3XT 2025, LLC See All Filings	D	2025-03-17 13:33:34 UTC
Amount To Be Raised $762,500 Associated Brokers / Dealers None CIK Number 0002061101 Filed Document 0002061101-25-000001 Exclusions or Exemptions 506b Accepted Date 2025-03-17 13:33:34 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business MASSACHUSETTS Revenue or Assets $$1 - $1,000,000 Type of Security Equity
TAD HEALTH INC. See All Filings	D	2025-03-17 13:24:26 UTC
Amount To Be Raised $8,000,000 Associated Brokers / Dealers N/A CIK Number 0001919917 Filed Document 0001919917-25-000001 Exclusions or Exemptions 506b Accepted Date 2025-03-17 13:24:26 UTC Type of Offering D Industry Other Technology Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Gresham Low Volatility Hedged Strategies Offshore, Ltd. See All Filings	D/A	2025-03-17 13:20:31 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001414641 Filed Document 0001414641-25-000001 Exclusions or Exemptions 506b Accepted Date 2025-03-17 13:20:31 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
Fund FG-LVT, a series of Forge Investments, LLC See All Filings	D	2025-03-17 13:20:12 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers FORGE SECURITIES LLC CIK Number 0002053079 Filed Document 0002053079-25-000001 Exclusions or Exemptions 506b Accepted Date 2025-03-17 13:20:12 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business DELAWARE Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Bernstein Diversified Targeted Services Insurance Fund Series Interests of the SALI Multi-Series Fund, L.P. See All Filings	D	2025-03-17 13:19:35 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers M HOLDINGS SECURITIES, INC. CIK Number 0002060641 Filed Document 0002060425-25-000003 Exclusions or Exemptions 506b Accepted Date 2025-03-17 13:19:35 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
Zazove Investment Grade Blend Convertible Fund, L.P. See All Filings	D/A	2025-03-17 13:18:06 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001337951 Filed Document 0001337951-25-000001 Exclusions or Exemptions 506b Accepted Date 2025-03-17 13:18:06 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business NEVADA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
MAI Solamere Series IV Leaders Fund, L.P. See All Filings	D	2025-03-17 13:15:37 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0002037338 Filed Document 0000950103-25-003488 Exclusions or Exemptions 506b Accepted Date 2025-03-17 13:15:37 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business OHIO Revenue or Assets Decline to Disclose Type of Security Equity
Relay Investment, L.P. See All Filings	D/A	2025-03-17 13:14:07 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001852956 Filed Document 0001852956-25-000001 Exclusions or Exemptions 506b Accepted Date 2025-03-17 13:14:07 UTC Type of Offering D/A Industry Other Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity
Pearl Diver Nautilus Master Fund LP See All Filings	D/A	2025-03-17 13:14:04 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001966564 Filed Document 0001315863-25-000239 Exclusions or Exemptions 506b Accepted Date 2025-03-17 13:14:04 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business Y7 Revenue or Assets Decline to Disclose Type of Security Equity
Illuminate Forward LLC See All Filings	D	2025-03-17 13:13:31 UTC
Amount To Be Raised $340,000 Associated Brokers / Dealers N/A CIK Number 0002056491 Filed Document 0002056491-25-000002 Exclusions or Exemptions 506b Accepted Date 2025-03-17 13:13:31 UTC Type of Offering D Industry Other Principal Place of Business CALIFORNIA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Beach Tree Asset Fund Series Interests of the SALI Multi-Series Fund, L.P. See All Filings	D	2025-03-17 13:11:21 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0002060419 Filed Document 0002060425-25-000002 Exclusions or Exemptions 506b Accepted Date 2025-03-17 13:11:21 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
Quarba Partners, LP See All Filings	D/A	2025-03-17 13:05:15 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001810301 Filed Document 0001810301-25-000001 Exclusions or Exemptions 506b Accepted Date 2025-03-17 13:05:15 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
ZAZOVE GLOBAL CONVERTIBLE FUND LP See All Filings	D/A	2025-03-17 13:01:40 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0000934758 Filed Document 0000934758-25-000001 Exclusions or Exemptions 506b Accepted Date 2025-03-17 13:01:40 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business NEVADA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Alight Capital Onshore Fund, L.P. See All Filings	D/A	2025-03-17 12:59:24 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001630011 Filed Document 0001630011-25-000001 Exclusions or Exemptions 506b Accepted Date 2025-03-17 12:59:24 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
CBPE Fund XI LP See All Filings	D	2025-03-17 12:56:27 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Rede Partners LLP CIK Number 0002060172 Filed Document 0002060172-25-000001 Exclusions or Exemptions 506b Accepted Date 2025-03-17 12:56:27 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
RNAV8 BIO, INC. See All Filings	D/A	2025-03-17 12:54:29 UTC
Amount To Be Raised $3,000,000 Associated Brokers / Dealers N/A CIK Number 0001960745 Filed Document 0001960745-25-000002 Exclusions or Exemptions 506b Accepted Date 2025-03-17 12:54:29 UTC Type of Offering D/A Industry Biotechnology Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Option To Acquire
Infera Health, Inc. See All Filings	D	2025-03-17 12:54:25 UTC
Amount To Be Raised $2,599,999 Associated Brokers / Dealers N/A CIK Number 0002061090 Filed Document 0002061090-25-000001 Exclusions or Exemptions 506b Accepted Date 2025-03-17 12:54:25 UTC Type of Offering D Industry Other Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Frade's Deli Meats & Catering, LLC See All Filings	C/A	2025-03-17 12:51:36 UTC
Financial Interest None Filing Platform Honeycomb Portal LLC Offering Amount $55,000 CIK Number 0002056010 Filed Document 0002056010-25-000001 Accepted Date 2025-03-17 12:51:36 UTC Type of Offering C/A Security Offered Amount N/A Security Offered Type Debt State NEW JERSEY
Mgr Deal 5 LLC See All Filings	D	2025-03-17 12:39:22 UTC
Amount To Be Raised $20,000,000 Associated Brokers / Dealers N/A CIK Number 0002060174 Filed Document 0002060174-25-000001 Exclusions or Exemptions 506b Accepted Date 2025-03-17 12:39:22 UTC Type of Offering D Industry Commercial Principal Place of Business GEORGIA Revenue or Assets Decline to Disclose Type of Security Equity
CrunchAtlas, Inc. See All Filings	D	2025-03-17 12:39:00 UTC
Amount To Be Raised $20,000 Associated Brokers / Dealers N/A CIK Number 0002050476 Filed Document 0002050476-25-000002 Exclusions or Exemptions 506b Accepted Date 2025-03-17 12:39:00 UTC Type of Offering D Industry Other Technology Principal Place of Business NEW HAMPSHIRE Revenue or Assets Decline to Disclose Type of Security Option To Acquire
SOS e Charging LLC See All Filings	C/A	2025-03-17 12:36:25 UTC
Financial Interest 2% of the total amount raised in the form of the securities offered to the public in this offering. Filing Platform Vicinity LLC Offering Amount $1,000,000 CIK Number 0002037790 Filed Document 0001821982-25-000004 Accepted Date 2025-03-17 12:36:25 UTC Type of Offering C/A Security Offered Amount 175,000 Security Offered Type Other State SOUTH CAROLINA
Alight Capital Offshore Fund, Ltd. See All Filings	D/A	2025-03-17 12:35:57 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001630009 Filed Document 0001630009-25-000001 Exclusions or Exemptions 506b Accepted Date 2025-03-17 12:35:57 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
Flux Capacitor Ltd Liability Co See All Filings	D	2025-03-17 12:33:52 UTC
Amount To Be Raised $2,700,000 Associated Brokers / Dealers N/A CIK Number 0002060088 Filed Document 0002060088-25-000001 Exclusions or Exemptions 506b Accepted Date 2025-03-17 12:33:52 UTC Type of Offering D Industry Other Principal Place of Business NEW YORK Revenue or Assets $No Revenues Type of Security Other
ZAZOVE AGGRESSIVE GROWTH FUND LP See All Filings	D/A	2025-03-17 12:31:48 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001006700 Filed Document 0001006700-25-000001 Exclusions or Exemptions 506b Accepted Date 2025-03-17 12:31:48 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
Bain Capital Insurance Dedicated Fund III Series Interests of the SALI Multi-Series Fund, L.P. See All Filings	D	2025-03-17 12:29:25 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0002060425 Filed Document 0002060425-25-000001 Exclusions or Exemptions 506b Accepted Date 2025-03-17 12:29:25 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
TPW Whitewater LLC See All Filings	D	2025-03-17 12:24:52 UTC
Amount To Be Raised $500,000 Associated Brokers / Dealers N/A CIK Number 0002061093 Filed Document 0002061093-25-000001 Exclusions or Exemptions 506b Accepted Date 2025-03-17 12:24:52 UTC Type of Offering D Industry Commercial Principal Place of Business WISCONSIN Revenue or Assets Decline to Disclose Type of Security Equity
Workflow Labs Inc. See All Filings	D	2025-03-17 12:20:15 UTC
Amount To Be Raised $1,500,000 Associated Brokers / Dealers N/A CIK Number 0001929189 Filed Document 0001929189-25-000001 Exclusions or Exemptions 506b Accepted Date 2025-03-17 12:20:15 UTC Type of Offering D Industry Other Technology Principal Place of Business WASHINGTON Revenue or Assets Decline to Disclose Type of Security Equity
SPARK FUND ONE LLC See All Filings	1-A/A	2025-03-17 12:20:01 UTC
Amount To Be Raised $75,000,000 Associated Brokers / Dealers Texture Capital, Inc. CIK Number 0002041773 Filed Document 0002041773-25-000004 Accepted Date 2025-03-17 12:20:01 UTC Type of Offering 1-A/A Industry REAL ESTATE Offering Tier Tier2 Principal Place of Business INDIANA Revenue or Assets $0 State of Jurisdiction WYOMING Type of Security Equity (common or preferred stock)