Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
NONE
NONE
WACHOVIA CAPITAL MARKETS, LLC
126292
NONE
NONE
WELLS FARGO SECURITIES, LLC
126292
NONE
NONE
WELLS FARGO SECURITIES LLC
126292
NONE
NONE
WELLS FARGO SECURITIES, LLC
126292
NONE
NONE
WELLS FARGO SECURITIES, LLC
126292
NONE
NONE
WELLS FARGO SECURITIES, LLC
126292
WELLS FARGO SECURITIES, LLC
126292
N/A
NONE
NONE
NONE
WELLS FARGO SECURITIES, LLC
126292
NONE
NONE
WELLS FARGO SECURITES, LLC
126292
NONE
NONE
WELLS FARGO SECURITIES LLC
126292
NONE
NONE
WELLS FARGO SECURITIES LLC
126292
NONE
NONE
WELLS FARGO SECURITIES, LLC
126292
NONE
NONE
WELLS FARGO SECURITIES, LLC
126292
WELLS FARGO SECURITIES, LLC
126292
WELLS FARGO SECURITIES, LLC
126292
NONE
NONE
WELLS FARGO SECURITIES, LLC
126292
NONE
NONE
WELLSFARGO SECURITIES, LLC
126292
NONE
NONE
WELLS FARGO SECURITIES LLC
126292
NONE
NONE
WELLS FARGO SECURITIES, LLC
126292
NONE
NONE
WELLS FARGO SECURITIES LLC
126292
NONE
NONE
WELLS FARGO SECURITIES, LLC
126292
NONE
NONE
WELLS FARGO SECURITIES, LLC
126292
WELLS FARGO SECURITIES, LLC
126292
N/A
NONE
NONE
NONE
WELLS FARGO SECURITIES, LLC
126292
WELLS FARGO SECURITIES, LLC
126292
WELLS FARGO SECURITIES, LLC
126292
NONE
NONE
WELLS FARGO SECURITIES, LLC
126292
NONE
NONE
WELLS FARGO SECURITIES, LLC
126292
NONE
NONE
WELLS FARGO SECURITIES, LLC
126292
NONE
NONE
WELLS FARGO SECURITIES, LLC
126292
WELLS FARGO SECURITIES, LLC
126292
WELLS FARGO SECURITIES, LLC
126292
NONE
NONE
WELLS FARGO SECURITIES, LLC
126292
NONE
NONE
WELLS FARGO SECURITIES
126292
NONE
NONE
WELLS FARGO SECURITIES, LLC
126292
NONE
NONE
WELLS FARGO SECURITIES, LLC
126292
NONE
NONE
WELLS FARGO SECURITIES, LLC
126292
NONE
NONE
WELLS FARGO SECURITIES, LLC
126292
WELLS FARGO SECURITIES LLC
126292
WELLS FARGO SECURITIES LLC
126292
WELLS FARGO SECURITIES
126292
WELLS FARGO SECURITIES
126292
NONE
NONE
WELLS FARGO SECURITIES, LLC
126292
NONE
NONE
WELLS FARGO SECURITIES, LLC
126292
WELLS FARGO SECURITIES, LLC
126292
WELLS FARGO SECURITIES, LLC
126292
WELLS FARGO SECURITIES, LLC
126292
WELLS FARGO SECURITIES, LLC
126292
NONE
NONE
WELLS FARGO SECURITIES, LLC
126292
NONE
NONE
WELLS FARGO SECURITIES, LLC
126292
WELLS FARGO SECURITIES, LLC
126292
WELLS FARGO SECURITIES, LLC
126292
WELLS FARGO SECURITIES
126292
WELLS FARGO CLEARING SERVICES
19616
NONE
NONE
WELLS FARGO BANK, N.A.
126292
Companies
Company Name
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D
$45,000,000.00
Yes
$0.00
No
THE FIGURE ABOVE INCLUDES ESTIMATED AMOUNTS EXPECTED TO BE PAID TO PLACEMENT AGENTS IN THE NEXT 12 MONTHS BASED ON PROJECTED SALES AND COMMISSION RATES.
D/A
$42,479,000.00
Yes
$0.00
No
SALES COMMISSION INCLUDES ESTIMATED SALES COMMISSION RELATING TO STRATEGIC PARTNERS OFFSHORE X L.P. AND STRATEGIC PARTNERS X L.P.
D/A
$42,479,000.00
Yes
$0.00
No
SALES COMMISSION INCLUDES ESTIMATED SALES COMMISSION RELATING TO STRATEGIC PARTNERS X L.P. AND STRATEGIC PARTNERS OFFSHORE X L.P.
D/A
$0.00
No
$0.00
No
CERTAIN INVESTORS ARE REQUIRED TO PAY (I) AN UPFRONT PLACEMENT FEE AND/OR (II) AN ONGOING ANNUAL FEE TO THE PLACEMENT AGENT.
D/A
$7,713,863.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MGT FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12 DO NOT ACT AS BROKER-DEALERS FOR THE ISSUER + THEREFORE RECEIVE NO COMMISSIONS.
D/A
$0.00
No
$0.00
No
CERTAIN INVESTORS ARE REQUIRED TO PAY (I) AN UPFRONT PLACEMENT FEE AND/OR (II) AN ONGOING ANNUAL FEE TO THE PLACEMENT AGENT.
D/A
$7,109,231.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MGT FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12 DO NOT ACT AS BROKER-DEALERS FOR THE ISSUER + THEREFORE RECEIVE NO COMMISSIONS.
D/A
$2,850,000.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE SALES COMMISSIONS RELATING TO STRATEGIC PARTNERS OFFSHORE INFRASTRUCTURE IV L.P.
D/A
$2,850,000.00
Yes
$0.00
No
SALES COMMISSION INCLUDES SALES COMMISSION RELATING TO STRATEGIC PARTNERS INFRASTRUCTURE IV L.P.
D
$4,180,470.00
No
$0.00
No
REPRESENTS THE PORTION OF THE FEES ATTRIBUTABLE TO THE STOCK CONSIDERATION PAID BY THE COMPANY TO THE SELLERS. THE REPORTED FEES WERE PAID BY ASPHALT INC., LLC AND NOT THE COMPANY.
D/A
$6,561,158.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MGT FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12 DO NOT ACT AS BROKER-DEALERS FOR THE ISSUER + THEREFORE RECEIVE NO COMMISSIONS.
D/A
$6,332,946.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MGT FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12 DO NOT ACT AS BROKER-DEALERS FOR THE ISSUER + THEREFORE RECEIVE NO COMMISSIONS.
D
$0.00
No
$0.00
No
ALTHOUGH THE ISSUER HAS ENTERED INTO A SALES ARRANGEMENT WITH THE BROKER DISCLOSED, NO COMMISSIONS HAVE BEEN PAID AS OF THIS DATE.
D
$0.00
No
$0.00
No
ALTHOUGH THE ISSUER HAS ENTERED INTO A SALES ARRANGEMENT WITH THE BROKER DISCLOSED, NO COMMISSIONS HAVE BEEN PAID AS OF THIS DATE.
D
$0.00
No
$4,600,000.00
No
EVOFEM PAID WELLS FARGO $1,800,000 UPON THE FIRST CLOSING AND AGREED TO PAY WELLS FARGO AN ADDITIONAL $1,800,000 UPON THE SECOND CLOSING. EVOFEM MAY ALSO BE OBLIGATED TO PAY PIPER JAFFRAY + CO. UP TO $1,000,000 UPON THE COMPLETION OF THE SECOND CLOSING.
D
$5,911,028.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$5,911,028.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$5,911,028.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$5,911,028.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$5,911,028.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$5,911,028.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$5,911,028.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$5,911,028.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$5,911,028.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$5,911,028.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$5,911,028.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$5,911,028.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$5,911,028.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$5,911,028.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$5,911,028.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$5,911,028.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$5,911,028.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$5,911,028.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$5,911,028.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$5,911,028.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$5,911,028.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$5,911,028.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$5,911,028.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$5,911,028.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$5,911,028.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$5,911,028.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$5,911,028.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$5,911,028.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$5,911,028.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$5,911,028.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$5,911,028.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$5,911,028.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$5,911,028.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$5,911,028.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$5,911,028.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$9,490,112.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$9,490,112.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$9,490,112.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$9,490,112.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$9,490,112.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$9,490,112.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$9,490,112.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$9,490,112.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$9,490,112.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$9,490,112.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$9,490,112.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$9,490,112.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$9,490,112.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$9,490,112.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$9,490,112.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$9,490,112.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$9,490,112.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$9,490,112.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$9,490,112.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$9,490,112.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$9,490,112.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$9,490,112.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$9,490,112.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$9,490,112.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$9,490,112.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$9,490,112.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$9,490,112.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$9,490,112.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$9,490,112.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$9,490,112.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$9,490,112.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$9,490,112.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$9,490,112.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$9,490,112.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D
$9,490,112.00
No
$0.00
No
THE DEALER MANAGERS ARE TO BE PAID A CASH FEE EQUAL TO THE SUM OF 0.75% OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES RETIRED IN THE OFFER.
D/A
$650,000.00
Yes
$0.00
No
AMOUNT IS ESTIMATED, ANNUALIZED SALES COMMISSION BASED ON SIZE OF PROGRAM.
D/A
$8,101,071.00
Yes
$0.00
No
ITEMS 12/15: PLACEMENT AGENTS AND AGGREGATE ESTIMATED COMPENSATION FROM 1/1/09 THROUGH 2/17/13. OTHER AGENTS PRIOR TO 2010 MAY NO LONGER BE INVOLVED AND/OR MAY HAVE CEASED TO OPERATE OR MERGED WITH OTHER ENTITIES.
D
$1,876,500.00
No
$0.00
No
CONSOLIDATED INFORMATION FOR HAWAIIAN ELECTRIC COMPANY, INC., HAWAII ELECTRIC LIGHT COMPANY, INC. AND MAUI ELECTRIC COMPANY, LIMITED.
D
$1,876,500.00
No
$0.00
No
CONSOLIDATED INFORMATION FOR HAWAIIAN ELECTRIC COMPANY, INC., HAWAII ELECTRIC LIGHT COMPANY, INC. AND MAUI ELECTRIC COMPANY, LIMITED.
D
$1,876,500.00
No
$0.00
No
CONSOLIDATED INFORMATION FOR HAWAIIAN ELECTRIC COMPANY, INC., HAWAII ELECTRIC LIGHT COMPANY, INC. AND MAUI ELECTRIC COMPANY, LIMITED.
D
$0.00
No
$125,000.00
Yes
PLACEMENT FEE = 0.25% OF PROCEEDS RAISED PLUS REASONABLE OUT-OF-POCKET COSTS AND EXPENSES.
D/A
$4,728,111.00
Yes
$0.00
No
ITEMS 12/15: PLACEMENT AGENTS AND AGGREGATE ESTIMATED COMPENSATION FROM 1/1/09 THROUGH 2/17/12. OTHER AGENTS PRIOR TO 2010 MAY NO LONGER BE INVOLVED AND/OR MAY HAVE CEASED TO OPERATE OR MERGED WITH OTHER ENTITIES.
D/A
$3,945,693.00
Yes
$0.00
No
ITEMS 12/15: PLACEMENT AGENTS AND AGGREGATE ESTIMATED COMPENSATION FROM 1/1/09 THROUGH 9/9/11. OTHER AGENTS PRIOR TO 2010 MAY NO LONGER BE INVOLVED AND/OR MAY HAVE CEASED TO OPERATE OR MERGED WITH OTHER ENTITIES.
D
$0.00
Yes
$0.00
No
*TYPICALLY SALES COMMISSIONS OF AROUND 5 BASIS POINTS ARE PAID TO DEALERS. REGARDING ITEM 14: SECURITIES ARE OFFERED TO ACCREDITED INVESTORS ONLY.
D/A
$0.00
No
$0.00
No
DEPENDING ON MARKET CONDITIONS, THE ISSUER MAY PAY DEALERS SALES COMMISSIONS OR SELL NOTES LESS A DISCOUNT FROM MARKET PRICE. FOR PURPOSES OF FORM D, ISSUER HAS ASSUMED ALL NOTES WILL BE SOLD AT PAR.
D/A
$1,405,720.00
Yes
$0.00
Yes
ITEMS 12/15: PLACEMENT AGENTS +AGGREGATE ESTIMATED COMPENSATION 1/1/09 THRU 8/31/11. BNY MELLON CAPITAL MARKETS, LLC IS NO LONGER INVOLVED; OTHER AGENTS PRIOR TO 2009 MAY NO LONGER BE INVOLVED +/OR MAY HAVE CEASED TO OPERATE OR MERGED WITH OTHER ENTITIES.
D/A
$300,000.00
Yes
$0.00
No
THE ESTIMATE ASSUMES THE ISSUANCE OF $1.5 BILLION PRINCIPAL AMOUNT OF NOTES UNDER THE PROGRAM AND IS BASED UPON ASSUMPTIONS REGARDING THE TERMS OF THE NOTES ISSUED.
