Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

BNP PARIBAS SECURITIES CORP.
15794
N/A
NONE
NONE
NONE
BNP PARIBAS SECURITIES CORP.
15794
NONE
NONE
BNP PARIBAS SECURITIES CORP.
15794
BNP PARIBAS SECURITIES CORP.
15794
NONE
NONE
BNP PARIBAS SECURITIES CORP.
15794
BNP PARIBAS SECURITIES CORP.
NONE
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2019-03-04
D
$1,400,000.00
No
$0.00
No
2018-01-10
D
$219,999.00
No
$0.00
No
2014-07-10
D
$1,250,000.00
Yes
$0.00
No
2013-02-26
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.
2012-02-29
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.
2011-10-04
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.
2011-01-26
D
$2,250,000.00
No
$0.00
No
2010-10-06
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.
2010-07-08
D
$5,800,000.00
No
$0.00
No
2010-01-25
D/A
$1,013,000.00
Yes
$0.00
Yes
ITEMS 12, 15 REFLECT ONLY PLACEMENT AGENTS AND ESTIMATED COMPENSATION IN 2009 AND ANTICIPATED FOR 2010. OTHER PLACEMENT AGENTS PRIOR TO 2009 MAY NO LONGER BE INVOLVED IN THE OFFERING AND/OR MAY HAVE CEASED TO OPERATE OR MERGED WITH OTHER ENTITIES.