Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NONE
NONE
VICTORY PARK SECURITIES, LLC
147796
NONE
NONE
VICTORY PARK SECURITIES, LLC
147796
NONE
NONE
VICTORY PARK SECURITIES, LLC
147796
NONE
NONE
VICTORY PARK SECURITIES
147796
ARMORY SECURITIES, LLC
147796
ARMORY SECURITIES, LLC
147796
NONE
NONE
ARMORY SECURITIES, LLC
147796
NONE
NONE
THE COSINE GROUP
147796
NONE
NONE
ARMORY SECURITIES, LLC
147796
NONE
NONE
ARMORY SECURITIES, LLC
147796
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2022-12-05
D
$600,000.00
No
$0.00
No
2021-01-15
D
$80,000.00
No
$0.00
No
2018-03-01
D/A
$525,000.00
No
$75,000.00
No
EXCLUDES THE VALUE OF WARRANTS TO PURCHASE UP TO 20,675 SHARES OF COMMON STOCK OF THE ISSUER.
2017-04-13
D
$525,000.00
No
$75,000.00
No
2017-03-21
D
$2,180,000.00
Yes
$0.00
No
$180,000 IN SALES COMMISSIONS FOR ARMORY SECURITIES; $2,000,000 IN ESTIMATED SALES COMMISSIONS FOR MORGAN STANLEY
2015-09-23
D
$873,766.00
No
$0.00
No
2014-04-08
D
$250,000.00
No
$0.00
No
2014-02-25
D
$21,381.00
No
$31,250.00
No
THE SALES COMMISSIONS PAID TO VICTORY PARK SECURITIES INCLUDES APPROXIMATELY (I) $17,500.00 OF COMMISSIONS AND (II) $3,881.42 OF REIMBURSEMENT TO VICTORY PARK SECURITIES FOR OUT-OF-POCKET EXPENSES RELATED TO THE OFFERING.
2013-05-03
D
$0.00
No
$425,000.00
No
2011-07-15
D/A
$738,325.00
No
$0.00
No