Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

HALEN CAPITAL MANAGEMENT, INC.
135966
VARIOUS
NONE
HALEN CAPITAL MANAGEMENT INC
135966
VARIOUS
NONE
HALEN CAPITAL
135966
HALEN CAPITAL
135966
GVC CAPITAL LLC
38923
HALEN CAPITAL
135966
NONE
NONE
HALEN CAPITAL
135966
NONE
NONE
HALEN CAPITAL MANAGEMENT
135966
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2016-10-25
D/A
$1,800,000.00
No
$0.00
No
2016-10-25
D/A
$578,000.00
Yes
$0.00
No
2016-10-25
D/A
$2,495,869.00
No
$0.00
No
2016-01-28
D/A
$94,560.00
Yes
$0.00
No
A TOTAL OF $88,610 IS BEING PAID TO HALEN CAPITAL MANAGEMENT AND A TOTAL OF $5,950 IS BEING PAID TO NEWPORT COAST SECURITIES, INC.
2015-05-15
D
$300,000.00
Yes
$0.00
No
COMMISSION IS BASED ON TOTAL AMOUNT SOLD: 6% CASH FEE; WARRANTS TO PURCHASE 8% OF SECURITIES SOLD. 2% NON-ACCOUNTABLE EXPENSE FEE BASED ON THE TOTAL AMOUNT SOLD ALSO PAYABLE.
2015-02-19
D
$120,000.00
Yes
$0.00
No
COMMISSION IS BASED ON TOTAL AMOUNT SOLD: 6% CASH FEE + WARRANTS TO PURCHASE 8% OF SECURITIES SOLD. 2% NON-ACCOUNTABLE EXPENSE FEE BASED ON THE TOTAL AMOUNT SOLD ALSO PAYABLE.
2014-06-10
D
$600,000.00
No
$0.00
No
COMMISSION OF 8% OF THE TOTAL AMOUNT SOLD. THE $600,000 PAID AS SALES COMMISSION DOES NOT INCLUDE A 1% NON-ACCOUNTABLE EXPENSE ALLOWANCE OF THE TOTAL AMOUNT SOLD.
2014-03-03
D/A
$227,500.00
No
$0.00
No
IN ADDITION, WARRANTS TO PURCHASE 25% OF THE SHARES SOLD
2014-02-28
D/A
$227,500.00
No
$0.00
No
IN ADDITION, WARRANTS TO PURCHASE 25% OF THE SHARES SOLD
2014-02-21
D
$770,000.00
Yes
$0.00
No
TO DATE, THE COMPANY HAS ONLY PAID A CASH COMMISSION EQUAL TO $338,650.52.
2013-03-15
D/A
$30,000.00
Yes
$0.00
No
2013-02-19
D
$30,000.00
Yes
$0.00
No
2012-02-16
D
$50,000.00
Yes
$0.00
No