Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NONE
NONE
HEADWATERS BD, LLC
117042
HEADWATERS BD, LLC
117042
HEADWATERS BD, LLC
117042
NONE
NONE
HEADWATERS BD, LLC
117042
NONE
NONE
HEADWATERS BD, LLC
117042
NONE
NONE
HEADWATERS BD, LLC
117042
HEADWATERS BD, LLC
117042
WILLIAM REID (REID CAPITAL, LLC)
717191
NONE
NONE
HEADWATERS BD, LLC
117042
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2017-07-25
D/A
$375,000.00
No
$0.00
No
2017-07-25
D
$250,000.00
No
$0.00
No
2016-04-26
D
$0.00
No
$100,000.00
Yes
HEADWATERS BD WAS ENGAGED TO SOLICIT THE INTEREST OF APPROVED PARTIES IN SUBMITTING SUPERIOR OFFERS TO THOSE IN THE EXISTING OFFER. HEADWATERS WILL BE PAID A $100,000 RETAINER AND THE GREATER OF A $100,000 COMPLETION FEE AND A PERCENTAGE OF THE PROCEEDS.
2015-02-20
D/A
$1,800,000.00
Yes
$0.00
No
2012-02-24
D/A
$60,000.00
Yes
$0.00
No
2011-12-02
D
$60,000.00
Yes
$0.00
No
2011-10-12
D
$0.00
No
$877,500.00
No
2009-12-14
D
$0.00
No
$200,000.00
Yes