Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
TANGENT CAPITAL PARTNERS
146999
LINCOLN SQUARE ADVISORS
NONE
TANGENT CAPITAL PARTNERS, LLC
146999
TANGENT CAPITAL PARTNERS, LLC
146999
NONE
NONE
TANGENT CAPITAL PARTNERS, LLC
146999
NONE
NONE
TANGENT CAPITAL PARTNERS
146999
NONE
NONE
TANGENT CAPITAL PARTNERS, LLC
146999
TANGENT CAPITAL PARTNERS LLC
146999
ROBERT RICE
5533944
TANGENT CAPITAL PARTNERS, LLC
146999
BROOKE FARLEY
4695979
TANGENT CAPITAL PARTNERS, LLC
146999
ROGER ALLENBAUGH
5627962
TANGENT CAPITAL PARTNERS, LLC
146999
NATHAN ANDERSON
5868316
TAGENT CAPITAL PARTNERS, LLC
146999
THOMAS H. MAHONEY
8433330
NONE
NONE
TANGENT CAPITAL, LLC
146999
TANGENT CAPITAL PARTNERS, LLC
146999
N/A
NONE
TANGENT CAPITAL PARTNERS LLC
146999
THOMAS H MAHONEY IV
843330
NONE
NONE
TANGENT CAPITAL PARTNERS
146999
TANGENT CAPITAL PARTNERS, LLC
146999
ENERGY ALPHA STRATEGIES LIMITED
NONE
NONE
NONE
TANGENT CAPITAL PARTNERS, LLC
146999
NONE
NONE
TANGENT CAPITAL PARTNERS, LLC
146999
NONE
NONE
TANGENT CAPITAL PARTNERS, LLC
146999
TANGENT CAPITAL PARTNERS, LLC
146999
N/A
NONE
TANGENT CAPITAL PARTNERS, LLC
146999
TANGENT CAPITAL PARTNERS, LLC
146999
NONE
NONE
TANGENT CAPITAL PARTNERS, LLC
146999
TANGENT CAPITAL PARTNERS LLC
146999
THOMAS H. MAHONEY IV
843330
NONE
NONE
TANGENT CAPITAL PARTNERS, LLC
146999
TANGENT CAPITAL PARTNERS, LLC
146999
TANGENT CAPITAL PARTNERS, LLC
146999
TANGENT CAPITAL PARTNERS, LLC
146999
THOMAS MAHONEY
843330
TANGENT CAPITAL PARTNERS, LLC
146999
JONATHAN SABBAGH
6299988
TANGENT CAPITAL PARTNERS
146999
LINCOLN SQUARE ADVISORS
NONE
TANGENT CAPITAL PARTNERS, LLC
146999
ELEMENT CAPITAL GROUP, LLC
NONE
NONE
NONE
TANGENT CAPITAL PARTNERS LLC
146999
NONE
NONE
TANGENT CAPITAL PARTNERS, LLC
146999
TANGENT CAPITAL PARTNERS, LLC
146999
KEVIN SCOTT STAHL
3074723
NONE
NONE
TANGENT CAPITAL PARTNERS LLC
146999
NONE
NONE
TANGENT CAPITAL PARTNERS, LLC
146999
TANGENT CAPITAL PARTNERS, LLC
146999
N/A
NONE
NONE
NONE
TANGENT CAPITAL PARTNERS, LLC
146999
NONE
NONE
TANGENT CAPITAL PARTNERS, LLC
146999
NONE
NONE
TANGENT CAPITAL PARTNERS, LLC
146999
TANGENT CAPTIAL PARTNERS LLC
146999
DERMOT THOMAS HEALEY
2110403
TANGENT CAPITAL PARTNERS LLC
146999
TOM MAHONEY
843330
NONE
NONE
TANGENT CAPITAL PARTNERS, LLC
146999
NONE
NONE
TANGENT CAPITAL PARTNERS LLC
146999
NONE
NONE
TANGENT CAPITAL PARTNERS, LLC
146999
NONE
NONE
TANGENT CAPITAL PARTNERS, LLC
146999
NONE
NONE
TANGENT CAPITAL PARTNERS LLC
146999
NONE
NONE
TANGENT CAPITAL PARTNERS, LLC
146999
TANGENT CAPITAL PARTNERS LLC
146999
ROBERT RICE
5533944
TANGENT CAPITAL PARTNERS LLC
146999
THOMAS H MAHONEY IV
843330
TANGENT CAPITAL PARTNERS LLC
146999
THOMAS H. MAHONEY IV
843330
TANGENT CAPITAL PARTNERS, LLC
146999
OHANACO INC
NONE
TANGENT CAPITAL PARTNERS, LLC
146999
N/A
NONE
NONE
NONE
TANGENT CAPITAL PARTNERS, LLC
146999
NONE
NONE
TANGENT CAPITAL PARTNERS, LLC
146999
NONE
NONE
TANGENT CAPITAL PARTNERS LLC
146999
TANGENT CAPITAL PARTNERS, LLC
146999
DANIEL MCNULTY
6600545
NONE
NONE
TANGENT CAPITAL PARTNERS
146999
ARIEL OHANA
7116886
TANGENT CAPITAL PARTNERS, LLC
146999
TANGENT CAPITAL PARTNERS, LLC
146999
BLACKBIRCH CAPITAL
6600545
TANGENT CAPITAL PARTNERS LLC
146999
THOMAS H. MAHONEY IV
843330
Companies
Company Name
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D/A
$0.00
No
$0.00
No
SALES COMMISSIONS ARE PAID AS A PERCENTAGE OF THE MANAGEMENT FEE AND INCENTIVE ALLOCATION PAID TO THE INVESTMENT MANAGER AND GENERAL PARTNER. THEY ARE NOT PAID DIRECTLY FROM THE ISSUER.
D/A
$5,454,042.00
Yes
$0.00
No
NORFOLK MARKETS, LLC, FRONTIER SOLUTIONS, LLC, JAMES RIVER SECURITIES CORP., AND ANCHOR ASSET MANAGEMENT NO LONGER ACT AS SELLING AGENTS AND ARE NO LONGER PAID COMMISSIONS.
D/A
$2,491,893.00
Yes
$0.00
No
NORFOLK MARKETS, LLC, FRONTIER SOLUTIONS, LLC, JAMES RIVER SECURITIES CORP., AND ANCHOR ASSET MANAGEMENT NO LONGER ACT AS SELLING AGENTS AND ARE NO LONGER PAID COMMISSIONS.
D/A
$0.00
No
$0.00
No
SHAREHOLDERS MAY BE CHARGED A FEE OF UP TO 1% OF THE INVESTMENT AMOUNT WHICH MAY BE ADJUSTED OR WAIVED AT THE DISCRETION OF THE DIRECTORS. NO FRONT END FEE IS CHARGED AT THE MASTER FUND LEVEL.
D/A
$0.00
No
$0.00
No
SHAREHOLDERS MAY BE CHARGED A FEE OF UP TO 1% OF THE INVESTMENT AMOUNT WHICH MAY BE ADJUSTED OR WAIVED AT THE DISCRETION OF THE DIRECTORS. NO FRONT END FEE IS CHARGED AT THE MASTER FUND LEVEL.
D/A
$0.00
No
$0.00
No
SHAREHOLDERS MAY BE CHARGED A FEE OF UP TO 1% OF THE INVESTMENT AMOUNT WHICH MAY BE ADJUSTED OR WAIVED AT THE DISCRETION OF THE DIRECTORS. NO FRONT END FEE IS CHARGED AT THE MASTER FUND LEVEL.
D/A
$0.00
No
$0.00
No
SHAREHOLDERS MAY BE CHARGED A FEE OF UP TO 1% OF THE INVESTMENT AMOUNT WHICH MAY BE ADJUSTED OR WAIVED AT THE DISCRETION OF THE DIRECTORS. NO FRONT END FEE IS CHARGED AT THE MASTER FUND LEVEL.
D/A
$0.00
No
$0.00
No
CLARIFICATION TO ITEM 12 - CERTAIN ENTITIES LISTED ARE NO LONGER IN A MARKETING AGREEMENT WITH THE ISSUER IN CONNECTION WITH SALES OF SECURITIES IN THE OFFERING.
D/A
$0.00
No
$0.00
No
SALES COMMISSIONS ARE PAID AS A PERCENTAGE OF THE MANAGEMENT FEE AND INCENTIVE ALLOCATION PAID TO THE INVESTMENT MANAGER AND GENERAL PARTNER. THEY ARE NOT PAID DIRECTLY FROM THE ISSUER.
D/A
$5,079,598.00
Yes
$0.00
No
NORFOLK MARKETS, LLC, FRONTIER SOLUTIONS, LLC, JAMES RIVER SECURITIES CORP., AND ANCHOR ASSET MANAGEMENT NO LONGER ACT AS SELLING AGENTS AND ARE NO LONGER PAID COMMISSIONS.
D/A
$2,246,130.00
Yes
$0.00
No
NORFOLK MARKETS, LLC, FRONTIER SOLUTIONS, LLC, JAMES RIVER SECURITIES CORP., AND ANCHOR ASSET MANAGEMENT NO LONGER ACT AS SELLING AGENTS AND ARE NO LONGER PAID COMMISSIONS.
D/A
$0.00
No
$0.00
No
SHAREHOLDERS MAY BE CHARGED A FEE OF UP TO 1% OF THE INVESTMENT AMOUNT WHICH MAY BE ADJUSTED OR WAIVED AT THE DISCRETION OF THE DIRECTORS. NO FRONT END FEE IS CHARGED AT THE MASTER FUND LEVEL.
D/A
$0.00
No
$0.00
No
SHAREHOLDERS MAY BE CHARGED A FEE OF UP TO 1% OF THE INVESTMENT AMOUNT WHICH MAY BE ADJUSTED OR WAIVED AT THE DISCRETION OF THE DIRECTORS. NO FRONT END FEE IS CHARGED AT THE MASTER FUND LEVEL.
D/A
$0.00
No
$0.00
No
SHAREHOLDERS MAY BE CHARGED A FEE OF UP TO 1% OF THE INVESTMENT AMOUNT WHICH MAY BE ADJUSTED OR WAIVED AT THE DISCRETION OF THE DIRECTORS. NO FRONT END FEE IS CHARGED AT THE MASTER FUND LEVEL.
D/A
$0.00
No
$0.00
No
SHAREHOLDERS MAY BE CHARGED A FEE OF UP TO 1% OF THE INVESTMENT AMOUNT WHICH MAY BE ADJUSTED OR WAIVED AT THE DISCRETION OF THE DIRECTORS. NO FRONT END FEE IS CHARGED AT THE MASTER FUND LEVEL.
D/A
$0.00
No
$0.00
No
SHAREHOLDERS MAY BE CHARGED A FEE OF UP TO 1% OF THE INVESTMENT AMOUNT WHICH MAY BE ADJUSTED OR WAIVED AT THE DISCRETION OF THE DIRECTORS. NO FRONT END FEE IS CHARGED AT THE MASTER FUND LEVEL.
D/A
$0.00
No
$0.00
No
SHAREHOLDERS MAY BE CHARGED A FEE OF UP TO 1% OF THE INVESTMENT AMOUNT WHICH MAY BE ADJUSTED OR WAIVED AT THE DISCRETION OF THE DIRECTORS. NO FRONT END FEE IS CHARGED AT THE MASTER FUND LEVEL.
D/A
$0.00
No
$0.00
No
SHAREHOLDERS MAY BE CHARGED A FEE OF UP TO 1% OF THE INVESTMENT AMOUNT WHICH MAY BE ADJUSTED OR WAIVED AT THE DISCRETION OF THE DIRECTORS. NO FRONT END FEE IS CHARGED AT THE MASTER FUND LEVEL.
D/A
$0.00
No
$0.00
No
SHAREHOLDERS MAY BE CHARGED A FEE OF UP TO 1% OF THE INVESTMENT AMOUNT WHICH MAY BE ADJUSTED OR WAIVED AT THE DISCRETION OF THE DIRECTORS. NO FRONT END FEE IS CHARGED AT THE MASTER FUND LEVEL.
D/A
$0.00
No
$0.00
No
CLARIFICATION TO ITEM 12 - CERTAIN ENTITIES LISTED ARE NO LONGER IN A MARKETING AGREEMENT WITH THE ISSUER IN CONNECTION WITH SALES OF SECURITIES IN THE OFFERING.
D/A
$0.00
No
$0.00
No
SALES COMMISSIONS ARE PAID AS A PERCENTAGE OF THE MANAGEMENT FEE AND INCENTIVE ALLOCATION PAID TO THE INVESTMENT MANAGER AND GENERAL PARTNER. THEY ARE NOT PAID DIRECTLY FROM THE ISSUER.
D/A
$0.00
No
$0.00
No
SALES COMMISSIONS ARE PAID AS A PERCENTAGE OF THE MANAGEMENT FEE AND INCENTIVE ALLOCATION PAID TO THE INVESTMENT MANAGER. THEY ARE NOT PAID DIRECTLY FROM THE ISSUER.
D/A
$4,435,714.00
Yes
$0.00
No
NORFOLK MARKETS, LLC, FRONTIER SOLUTIONS, LLC, JAMES RIVER SECURITIES CORP., AND ANCHOR ASSET MANAGEMENT NO LONGER ACT AS SELLING AGENTS AND ARE NO LONGER PAID COMMISSIONS.
D/A
$1,590,729.00
Yes
$0.00
No
NORFOLK MARKETS, LLC, FRONTIER SOLUTIONS, LLC, JAMES RIVER SECURITIES CORP., AND ANCHOR ASSET MANAGEMENT NO LONGER ACT AS SELLING AGENTS AND ARE NO LONGER PAID COMMISSIONS.
D/A
$908,748.00
Yes
$0.00
No
NORFOLK MARKETS, LLC, FRONTIER SOLUTIONS, LLC, JAMES RIVER SECURITIES CORP., AND ANCHOR ASSET MANAGEMENT NO LONGER ACT AS SELLING AGENTS AND ARE NO LONGER PAID COMMISSIONS.
D/A
$0.00
No
$0.00
No
SHAREHOLDERS MAY BE CHARGED A FEE OF UP TO 1% OF THE INVESTMENT AMOUNT WHICH MAY BE ADJUSTED OR WAIVED AT THE DISCRETION OF THE DIRECTORS. NO FRONT END FEE IS CHARGED AT THE MASTER FUND LEVEL.
D/A
$0.00
No
$0.00
No
SHAREHOLDERS MAY BE CHARGED A FEE OF UP TO 1% OF THE INVESTMENT AMOUNT WHICH MAY BE ADJUSTED OR WAIVED AT THE DISCRETION OF THE DIRECTORS. NO FRONT END FEE IS CHARGED AT THE MASTER FUND LEVEL.
D/A
$0.00
No
$0.00
No
SHAREHOLDERS MAY BE CHARGED A FEE OF UP TO 1% OF THE INVESTMENT AMOUNT WHICH MAY BE ADJUSTED OR WAIVED AT THE DISCRETION OF THE DIRECTORS. NO FRONT END FEE IS CHARGED AT THE MASTER FUND LEVEL.
D/A
$0.00
No
$0.00
No
SHAREHOLDERS MAY BE CHARGED A FEE OF UP TO 1% OF THE INVESTMENT AMOUNT WHICH MAY BE ADJUSTED OR WAIVED AT THE DISCRETION OF THE DIRECTORS. NO FRONT END FEE IS CHARGED AT THE MASTER FUND LEVEL.
D/A
$0.00
No
$0.00
No
SHAREHOLDERS MAY BE CHARGED A FEE OF UP TO 1% OF THE INVESTMENT AMOUNT WHICH MAY BE ADJUSTED OR WAIVED AT THE DISCRETION OF THE DIRECTORS. NO FRONT END FEE IS CHARGED AT THE MASTER FUND LEVEL.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION. NO PAYMENTS MADE TO DATE.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION. NO PAYMENTS MADE TO DATE.
D/A
$0.00
Yes
$913.00
Yes
THE ENTITIES LISTED IN ITEM 12 ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT.
D/A
$0.00
No
$0.00
No
CLARIFICATION TO ITEM 12 - CERTAIN ENTITIES LISTED ARE NO LONGER IN A MARKETING AGREEMENT WITH THE ISSUER IN CONNECTION WITH SALES OF SECURITIES IN THE OFFERING.
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT.
D/A
$0.00
No
$0.00
No
SALES COMMISSIONS ARE PAID AS A PERCENTAGE OF THE MANAGEMENT FEE AND INCENTIVE ALLOCATION PAID TO THE INVESTMENT MANAGER AND GENERAL PARTNER. THEY ARE NOT PAID DIRECTLY FROM THE ISSUER.
D/A
$0.00
No
$0.00
No
SALES COMMISSIONS ARE PAID AS A PERCENTAGE OF THE MANAGEMENT FEE AND INCENTIVE ALLOCATION PAID TO THE INVESTMENT MANAGER. THEY ARE NOT PAID DIRECTLY FROM THE ISSUER.
D/A
$4,082,212.00
Yes
$0.00
No
NORFOLK MARKETS, LLC, AND FRONTIER SOLUTIONS, LLC NO LONGER ACT AS SELLING AGENTS FOR THE ISSUER AND ARE NO LONGER PAID COMMISSIONS.
D/A
$1,265,196.00
Yes
$0.00
No
NORFOLK MARKETS, LLC, AND FRONTIER SOLUTIONS, LLC NO LONGER ACT AS SELLING AGENTS FOR THE ISSUER AND ARE NO LONGER PAID COMMISSIONS.
D/A
$3,539,260.00
Yes
$0.00
No
NORFOLK MARKETS, LLC AND FRONTIER SOLUTIONS, LLC NO LONGER ACT AS SELLING AGENTS AND ARE NO LONGER PAID COMMISSIONS.
D/A
$908,748.00
Yes
$0.00
No
NORFOLK MARKETS, LLC AND FRONTIER SOLUTIONS, LLC NO LONGER ACT AS SELLING AGENTS AND ARE NO LONGER PAID COMMISSIONS.
D/A
$0.00
No
$0.00
No
SHAREHOLDERS MAY BE CHARGED A FEE OF UP TO 1% OF THE INVESTMENT AMOUNT WHICH MAY BE ADJUSTED OR WAIVED AT THE DISCRETION OF THE DIRECTORS. NO FRONT END FEE IS CHARGED AT THE MASTER FUND LEVEL.
D/A
$0.00
No
$0.00
No
SHAREHOLDERS MAY BE CHARGED A FEE OF UP TO 1% OF THE INVESTMENT AMOUNT WHICH MAY BE ADJUSTED OR WAIVED AT THE DISCRETION OF THE DIRECTORS. NO FRONT END FEE IS CHARGED AT THE MASTER FUND LEVEL.
D/A
$0.00
No
$0.00
No
SHAREHOLDERS MAY BE CHARGED A FEE OF UP TO 1% OF THE INVESTMENT AMOUNT WHICH MAY BE ADJUSTED OR WAIVED AT THE DISCRETION OF THE DIRECTORS. NO FRONT END FEE IS CHARGED AT THE MASTER FUND LEVEL.
D/A
$0.00
No
$0.00
No
SHAREHOLDERS MAY BE CHARGED A FEE OF UP TO 1% OF THE INVESTMENT AMOUNT WHICH MAY BE ADJUSTED OR WAIVED AT THE DISCRETION OF THE DIRECTORS. NO FRONT END FEE IS CHARGED AT THE MASTER FUND LEVEL.
D/A
$0.00
No
$0.00
No
SHAREHOLDERS MAY BE CHARGED A FEE OF UP TO 1% OF THE INVESTMENT AMOUNT WHICH MAY BE ADJUSTED OR WAIVED AT THE DISCRETION OF THE DIRECTORS. NO FRONT END FEE IS CHARGED AT THE MASTER FUND LEVEL.
D/A
$0.00
No
$0.00
No
SHAREHOLDERS MAY BE CHARGED A FEE OF UP TO 1% OF THE INVESTMENT AMOUNT WHICH MAY BE ADJUSTED OR WAIVED AT THE DISCRETION OF THE DIRECTORS. NO FRONT END FEE IS CHARGED AT THE MASTER FUND LEVEL.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT.
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT.
D/A
$470,000.00
No
$0.00
No
SUCH FEES, IF ANY, INCLUDE RETAINERS AND OTHER FEES THAT WILL ONLY BE PAID UPON THE SALE OF INTERESTS TO CERTAIN INVESTORS AND SUCH AMOUNTS TO BE DETERMINED BASED UPON THE COMMITMENT AMOUNTS OF SUCH INVESTORS.
D/A
$80,000.00
No
$0.00
No
SUCH FEES, IF ANY, INCLUDE RETAINERS AND OTHER FEES THAT WILL ONLY BE PAID UPON THE SALE OF INTERESTS TO CERTAIN INVESTORS AND SUCH AMOUNTS TO BE DETERMINED BASED UPON THE COMMITMENT AMOUNTS OF SUCH INVESTORS.
D
$0.00
No
$0.00
No
SALES COMMISSIONS ARE PAID AS A PERCENTAGE OF THE MANAGEMENT FEE AND INCENTIVE ALLOCATION PAID TO THE INVESTMENT MANAGER AND GENERAL
PARTNER. THEY ARE NOT PAID DIRECTLY FROM THE ISSUER.
D
$0.00
No
$0.00
No
SALES COMMISSIONS ARE PAID AS A PERCENTAGE OF THE MANAGEMENT FEE AND INCENTIVE ALLOCATION PAID TO THE INVESTMENT MANAGER AND GENERAL
PARTNER. THEY ARE NOT PAID DIRECTLY FROM THE ISSUER.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$80,000.00
No
$0.00
No
SUCH FEES, IF ANY, INCLUDE RETAINERS AND OTHER FEES THAT WILL ONLY BE PAID UPON THE SALE OF INTERESTS TO CERTAIN INVESTORS AND SUCH AMOUNTS TO BE DETERMINED BASED UPON THE COMMITMENT AMOUNTS OF SUCH INVESTORS.
D/A
$470,000.00
No
$0.00
No
SUCH FEES, IF ANY, INCLUDE RETAINERS AND OTHER FEES THAT WILL ONLY BE PAID UPON THE SALE OF INTERESTS TO CERTAIN INVESTORS AND SUCH AMOUNTS TO BE DETERMINED BASED UPON THE COMMITMENT AMOUNTS OF SUCH INVESTORS.
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT.
D/A
$37,000.00
No
$0.00
No
THIS AMOUNT REFLECTS THE COMMISSION PAID OUT ON THE FIRST $15,400,000 OF FUNDING. NO COMMISSION HAS OR WILL BE PAID FOR THE SECOND, THIRD, OR FOURTH ROUNDS OF FUNDING.
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT.
D/A
$0.00
No
$0.00
No
SALES COMMISSIONS ARE PAID AS A PERCENTAGE OF THE MANAGEMENT FEE AND INCENTIVE FEE PAID TO THE INVESTMENT MANAGER AND GENERAL PARTNER. THEY ARE NOT PAID DIRECTLY FROM THE ISSUER.
D/A
$0.00
No
$0.00
No
SALES COMMISSIONS ARE PAID AS A PERCENTAGE OF THE MANAGEMENT FEE AND INCENTIVE FEE PAID TO THE INVESTMENT MANAGER. THEY ARE NOT PAID DIRECTLY FROM THE ISSUER.
D/A
$37,000.00
No
$0.00
No
THIS AMOUNT REFLECTS THE COMMISSION PAID OUT ON THE FIRST $15,400,000 OF FUNDING. NO COMMISSION HAS OR WILL BE PAID FOR THE SECOND OR THIRD ROUNDS OF FUNDING.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT.
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT.
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT.
D/A
$0.00
No
$0.00
Yes
FINDERS RECEIVE A PERCENTAGE OF MANAGEMENT AND PERFORMANCE FEES RECEIVED BY THE INVESTMENT MANAGER.
D/A
$0.00
No
$0.00
Yes
FINDERS RECEIVE A PERCENTAGE OF MANAGEMENT FEES AND INCENTIVE ALLOCATIONS RECEIVED BY THE GENERAL PARTNERS.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT.
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT.
D/A
$0.00
No
$0.00
No
SALES COMMISSIONS ARE PAID AS A PERCENTAGE OF THE MANAGEMENT FEE AND INCENTIVE FEE PAID TO THE INVESTMENT MANAGER AND GENERAL PARTNER. THEY ARE NOT PAID DIRECTLY FROM THE ISSUER.
D/A
$0.00
No
$0.00
No
SALES COMMISSIONS ARE PAID AS A PERCENTAGE OF THE MANAGEMENT FEE AND INCENTIVE FEE PAID TO THE INVESTMENT MANAGER. THEY ARE NOT PAID DIRECTLY FROM THE ISSUER.
D/A
$0.00
No
$0.00
Yes
FINDERS RECEIVE A PERCENTAGE OF MANAGEMENT FEES AND INCENTIVE ALLOCATIONS RECEIVED BY THE GENERAL PARTNERS.
D/A
$0.00
No
$0.00
Yes
FINDERS RECEIVE A PERCENTAGE OF MANAGEMENT AND PERFORMANCE FEES RECEIVED BY THE INVESTMENT MANAGER.
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENT LISTED IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT.
D/A
$0.00
No
$0.00
No
SALES COMMISSIONS ARE PAID AS A PERCENTAGE OF THE MANAGEMENT FEE AND INCENTIVE FEE PAID TO THE INVESTMENT MANAGER AND GENERAL PARTNER. THEY ARE NOT PAID DIRECTLY FROM THE ISSUER.
D/A
$0.00
No
$0.00
No
SALES COMMISSIONS ARE PAID AS A PERCENTAGE OF THE MANAGEMENT FEE AND INCENTIVE FEE PAID TO THE INVESTMENT MANAGER. THEY ARE NOT PAID DIRECTLY FROM THE ISSUER.
D/A
$0.00
No
$0.00
Yes
FINDERS RECEIVE A PERCENTAGE OF MANAGEMENT AND PERFORMANCE FEES RECEIVED BY THE INVESTMENT MANAGER.
D/A
$0.00
No
$0.00
Yes
FINDERS RECEIVE A PERCENTAGE OF MANAGEMENT FEES AND INCENTIVE ALLOCATIONS RECEIVED BY THE GENERAL PARTNERS.
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT.
D/A
$0.00
No
$0.00
No
SALES COMMISSIONS WILL BE 50% OF THE MANAGEMENT FEE AND INCENTIVE FEE PAID THE THE INVESTMENT MANAGER AND GENERAL PARTNER PURSUANT TO THE OFFERING MEMORANDUM. IT WILL NOT BE PAID DIRECTLY FROM THE ISSUER.
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT.
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 IS PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT.
D/A
$0.00
No
$0.00
No
SALES COMMISSIONS ARE PAID AS A PERCENTAGE OF THE MANAGEMENT FEE AND INCENTIVE FEE PAID TO THE INVESTMENT MANAGER AND GENERAL PARTNER. THEY ARE NOT PAID DIRECTLY FROM THE ISSUER.
D/A
$0.00
No
$0.00
No
SALES COMMISSIONS ARE PAID AS A PERCENTAGE OF THE MANAGEMENT FEE AND INCENTIVE FEE PAID TO THE INVESTMENT MANAGER. THEY ARE NOT PAID DIRECTLY FROM THE ISSUER.
D/A
$0.00
No
$0.00
Yes
FINDERS RECEIVE A PERCENTAGE OF MANAGEMENT FEES AND INCENTIVE ALLOCATIONS RECEIVED BY THE GENERAL PARTNERS.
D/A
$0.00
No
$0.00
Yes
FINDERS RECEIVE A PERCENTAGE OF MANAGEMENT AND PERFORMANCE FEES RECEIVED BY THE INVESTMENT MANAGER.
D/A
$0.00
No
$0.00
No
SALES COMMISSIONS WILL BE 50% OF THE MANAGEMENT FEE AND INCENTIVE FEE PAID THE THE INVESTMENT MANAGER AND GENERAL PARTNER PURSUANT TO THE OFFERING MEMORANDUM. IT WILL NOT BE PAID DIRECTLY FROM THE ISSUER.
D
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT.
D
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 IS PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT.
D
$0.00
No
$0.00
No
SALES COMMISSIONS ARE PAID AS A PERCENTAGE OF THE MANAGEMENT FEE AND INCENTIVE FEE PAID TO THE INVESTMENT MANAGER. THEY ARE NOT PAID DIRECTLY FROM THE ISSUER.
D/A
$0.00
No
$0.00
No
SALES COMMISSIONS ARE PAID AS A PERCENTAGE OF THE MANAGEMENT FEE AND INCENTIVE FEE PAID TO THE INVESTMENT MANAGER AND GENERAL PARTNER. THEY ARE NOT PAID DIRECTLY FROM THE ISSUER.
D/A
$0.00
No
$0.00
Yes
FINDERS RECEIVE A PERCENTAGE OF MANAGEMENT FEES AND INCENTIVE ALLOCATIONS RECEIVED BY THE GENERAL PARTNERS.
D/A
$0.00
No
$0.00
Yes
FINDERS RECEIVE A PERCENTAGE OF MANAGEMENT AND PERFORMANCE FEES RECEIVED BY THE INVESTMENT MANAGER.
D/A
$0.00
Yes
$0.00
Yes
THE ENTITY LISTED IN ITEM 12 IS PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT.
D/A
$0.00
Yes
$0.00
Yes
THE ENTITY LISTED IN ITEM 12 IS PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT.
D
$0.00
Yes
$0.00
Yes
THE ENTITY LISTED IN ITEM 12 IS PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GENERAL PARTNER FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
No
$0.00
No
SALES COMMISSIONS WILL BE 50% OF THE MANAGEMENT FEE AND INCENTIVE FEE PAID THE THE INVESTMENT MANAGER AND GENERAL PARTNER PURSUANT TO THE OFFERING MEMORANDUM. IT WILL NOT BE PAID DIRECTLY FROM THE ISSUER.
D/A
$0.00
No
$0.00
No
SALES COMMISSIONS ARE PAID AS A PERCENTAGE OF THE MANAGEMENT FEE AND INCENTIVE FEE PAID TO THE INVESTMENT MANAGER AND GENERAL PARTNER. THEY ARE NOT PAID DIRECTLY FROM THE ISSUER.
D/A
$0.00
No
$0.00
No
SALES COMMISSIONS ARE PAID AS A PERCENTAGE OF THE MANAGEMENT FEE AND INCENTIVE FEE PAID TO THE INVESTMENT MANAGER AND GENERAL PARTNER. THEY ARE NOT PAID DIRECTLY FROM THE ISSUER.
D/A
$0.00
No
$0.00
No
SALES COMMISSIONS ARE PAID AS A PERCENTAGE OF THE MANAGEMENT FEE AND INCENTIVE FEE PAID TO THE INVESTMENT MANAGER AND GENERAL PARTNER. THEY ARE NOT PAID DIRECTLY FROM THE ISSUER.
D/A
$0.00
No
$0.00
No
THE ENTITY LISTED IN SECTION 12 ABOVE IS PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GP OR ITS AFFILIATE FROM THE ASSESTS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
No
$0.00
Yes
FINDERS RECEIVE A PERCENTAGE OF MANAGEMENT AND PERFORMANCE FEES RECEIVED BY THE INVESTMENT MANAGER.
D/A
$0.00
No
$0.00
Yes
FINDERS RECEIVE A PERCENTAGE OF MANAGEMENT FEES AND INCENTIVE ALLOCATIONS RECEIVED BY THE GENERAL PARTNERS.
D
$0.00
No
$0.00
No
SALES COMMISSIONS WILL BE 50% OF THE MANAGEMENT FEE AND INCENTIVE FEE PAID THE THE INVESTMENT MANAGER AND GENERAL PARTNER PURSUANT TO THE OFFERING MEMORANDUM. IT WILL NOT BE PAID DIRECTLY FROM THE ISSUER.
D/A
$0.00
No
$0.00
No
AMOUNT TO BE PAID DETERMINED AT CLOSING BASED ON A PERCENTAGE OF CAPITAL RAISED.
D/A
$0.00
Yes
$0.00
Yes
AMOUNT TO BE PAID DETERMINED AT CLOSING BASED ON A PERCENTAGE OF CAPITAL RAISED.
D/A
$0.00
Yes
$0.00
Yes
AMOUNT TO BE PAID DETERMINED AT CLOSING BASED ON A PERCENTAGE OF CAPITAL RAISED.
D/A
$0.00
No
$0.00
Yes
FINDERS RECEIVE A PERCENTAGE OF MANAGEMENT AND PERFORMANCE FEES RECEIVED BY INVESTMENT MANAGER.
D/A
$0.00
No
$0.00
Yes
FINDERS RECEIVE A PERCENTAGE OF MANAGEMENT FEES AND INCENTIVE ALLOCATIONS RECEIVED BY THE GENERAL PARTNERS.
D/A
$0.00
Yes
$0.00
Yes
AMOUNT TO BE PAID DETERMINED AT CLOSING BASED ON A PERCENTAGE OF CAPITAL RAISED.
D/A
$0.00
Yes
$0.00
Yes
AMOUNT TO BE PAID DETERMINED AT CLOSING BASED ON A PERCENTAGE OF CAPITAL RAISED.
D/A
$0.00
Yes
$0.00
Yes
AMOUNT TO BE PAID DETERMINED AT CLOSING BASED ON A PERCENTAGE OF CAPITAL RAISED.
D
$274,000.00
Yes
$0.00
No
IN ADDITION, GILFORD SECURITIES INCORPORATED WAS ISSUED WARRANTS FOR 41,700 SHARES OF COMMON STOCK AT A EXERCISE PRICE OF $5.00 PER SHARE.
D/A
$0.00
No
$1,639,174.00
Yes
ESTIMATE IS AMOUNT PAID TO DATE. FINDERS RECEIVE A PERCENTAGE OF MANAGEMENT FEES AND INCENTIVE ALLOCATIONS RECEIVED BY THE GENERAL PARTNERS.
D/A
$0.00
No
$3,978,322.00
Yes
ESTIMATE IS AMOUNT PAID TO DATE. FINDERS RECEIVE A PERCENTAGE OF MANAGEMENT AND PERFORMANCE FEES RECEIVED BY INVESTMENT MANAGER.
