Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

TGP SECURITIES, INC.
159008
KEVIN P. MURPHY
1680861
TGP SECURITIES, INC.
159008
RICHARD LANDSBERGER
871581
TGP SECURITIES INC.
159008
RICHARD LANDSBERGER
871581
NONE
NONE
TGP SECURITIES, INC.
159008
NONE
NONE
TPG SECURITIES
159008
NONE
NONE
TGP SECURITIES
159008
RICHARD BRUCE LANDSBERGER
871581
TGP SECURITIES, INC.
159008
NONE
NONE
TGP SECURITIES INC
159008
TGP SECURITIES INC.
159008
RICHARD LANDSBERGER
871581
NONE
NONE
TGP SECURITIES INC.
159008
TGP SECURITIES, INC.
159008
TGP SECURITIES, INC.
159008
RICHARD LANDSBERGER
871581
TGP SECURITIES, INC
159008
NONE
NONE
TGP SECURITIES, INC
159008
NONE
NONE
RGP SECURITIES, INC.
159008
TGP SECURITIES INC.
159008
RICHARD LANDSBERGER
871581
TGP SECURITIES, INC.
159008
NONE
NONE
People
Name
ERIC K. OLSON
MAX LINK
SONNY BAL
JAY M. MOYES
KARL FARNSWORTH
DAVID TRUETZEL
BRYAN J. MCENTIRE
KEVIN ONTIVEROS
KEVIN DAVIS
GREGG R. HONIGBLUM
ROHIT PATEL
GEORGE SINGER
JAY R. PETSCHEK
STEVEN MAJOR
KAREN WRIGHT-LUNDIN
LEANNE GOLDING
AGNE MILLER
ANNE-MARIE LEADBETTER
MICHELLE MORGAN
GREGORY BENNETT
ROBERT C HAIN
ANDREW WILLIAMS
DAVID BEATTY
MICHAEL STEIN
JOHN HOLLIHAN
TAMMY W SEYMOUR
ROGER H HANSON
LALIT AGGARWAL
JON S DELLANDREA
STEVE BROSNAN
ROBERT HAIN
MEREDITH CARTWRIGHT
JACK HOLLIHAN
TAMMY SEYMOUR
ROGER HANSON
JON DELLANDREA
DAVID LEVITAN
PETER BREWER
WARWICK NORTON
GREGORY S. BENNETT
GARY LINFORD
JENNIFER THOMSON
N/A CONVERIUM CAPITAL INC.
N/A CONVERIUM CAPITAL GP LTD.
CHARLES I LEONE
TAMMY JENNISSEN
SCOTT DAKERS
JEAN-PIERRE R. BOURTIN
N/A HIGHCREST CAPITAL, LLC
- EC II GP, L.L.C.
WAYNE K. GOLDSTEIN
BRADLEY E. MANEELY
WILLIAM PAPPAS
MICHAEL A. CHINN
- ENDICOTT CAPITAL MANAGEMENT, L.L.C.
N/A ARISTIDES CAPITAL LLC
CHRISTOPHER BROWN
DANIEL C. NALL
STEVAN ROSENBERG
. MARNELL CAPITAL LLC
. MARNELL MANAGEMENT LLC
ADAM BRENNER
GREG BRENNER
MIKAL PATEL
JENNIFER COLLINS
J.P. R. BOURTIN
- HEADLANDS CAPITAL SECONDARY MANAGEMENT III, LLC
- HEADLANDS CAPITAL, LLC
DAVID EUGENE PARK, III
N/A HEADLANDS CAPITAL SECONDARY MANAGEMENT II, LLC
BRIAN KIM
-- APERIOS PARTNERS GENERAL PARTNER (CAYMAN) LIMITED
-- APERIOS PARTNERS CAYMAN LP
-- APERIOS PARTNERS INVESTMENT MANAGEMENT LLP
GORDON EICHHORST
JOHN SISKA
CONNY KULLMAN
MICHAEL MCDONALD
GARY BUTLER
-- WELTON INVESTMENT PARTNERS LLC
DAVID S. NOWLIN
PAUL STEVENSON
JAMES KEYES
GUILLAUME DETRAIT
MARC RUBENSTEIN
S CLAYTON BAIN
LAWRENCE D. BAIN
DAVID E. SMITH
JAY WOLF
KJERSTIN HATCH
BASIA TERRELL
N/A POLAR ASSET MANAGEMENT PARTNERS INC.
JOHN P. SABOURIN
RICHARD G. LEMAICH
RICHARD S. PUMA
ADAM BLOCK
. BEARTOWN CAPITAL PARTNERS, LLC
THOMAS J. SABOURIN
RICHARD VAUGHAN
HERMAN S. GILL
JEFFREY HORING
BLAIR FLICKER
DEVEN PAREKH
MARK LESSING
ANDREW PRODROMOS
PAUL H. STEVENSON
JAMES M. KEYES
GUILLAUME P. DETRAIT
- EGE GP, L.L.C.
ROBERT I. USDAN
MICHAEL CHINN
- ENDICOTT GROWTH EQUITY MANAGEMENT, L.L.C.
N/A NEWGEN ASSET MANAGEMENT LIMITED
DAVID DATTELS
IAN BURNS
VICTOR MURRAY
STEVEN J. MUSUMECI
KIMBERLY MELEN
BENOIT SANSOUCY
N/A SOLEUS CAPITAL MANAGEMENT, L.P.
N/A SOLEUS CAPITAL, LLC
GUY LEVY
N/A SOLEUS PRIVATE EQUITY GP III, LLC
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2026-04-01
D/A
$0.00
No
$0.00
No
SALES COMMISSIONS OR FINDERS FEES ARE PAID BY THE INVESTMENT MANAGER OF THE ISSUER (AND NOT THE ISSUER).
2026-04-01
D/A
$0.00
No
$0.00
No
SALES COMMISSIONS OR FINDERS FEES ARE PAID BY THE INVESTMENT MANAGER OF THE ISSUER (AND NOT THE ISSUER).
2026-03-23
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2026-03-23
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2026-03-23
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2026-03-23
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2026-03-23
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2026-03-23
D/A
$0.00
No
$0.00
Yes
THE PERSONS AND/OR FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEE AND/OR PERFORMANCE ALLOCATIONS.
2025-10-21
D/A
$8,656,409.00
Yes
$0.00
No
INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D. ISSUER HAS TERMINATED ITS AGREEMENT WITH EQUITYBEE SECURITIES, LLC (PREV. HAMILTON MILLER INVESTMENTS, LLC), MODERN CAPITAL GROUP LTD. AND TGP SECURITIES, INC.
2025-09-15
D/A
$849,718.00
No
$0.00
No
THE PERSONS NAMED IN ITEM 12 ARE ENGAGED AS PLACEMENT AGENTS FOR THE ISSUER-S SECURITIES.
2025-09-15
D/A
$635,017.00
No
$0.00
No
THE PERSONS NAMES IN ITEM 12 ARE ENGAGED AS PLACEMENT AGENTS FOR THE ISSUER-S SECURITIES.
2025-08-26
D/A
$0.00
No
$0.00
No
2025-08-07
D/A
$849,718.00
No
$0.00
No
THE PERSONS NAMED IN ITEM 12 ARE ENGAGED AS PLACEMENT AGENTS FOR THE ISSUER-S SECURITIES.
2025-08-07
D/A
$635,017.00
No
$0.00
No
THE PERSONS NAMES IN ITEM 12 ARE ENGAGED AS PLACEMENT AGENTS FOR THE ISSUER-S SECURITIES.
2025-04-01
D/A
$0.00
No
$0.00
No
SALES COMMISSIONS OR FINDERS FEES ARE PAID BY THE INVESTMENT MANAGER OF THE ISSUER (AND NOT THE ISSUER).
2025-04-01
D/A
$0.00
No
$0.00
No
SALES COMMISSIONS OR FINDERS FEES ARE PAID BY THE INVESTMENT MANAGER OF THE ISSUER (AND NOT THE ISSUER).
2025-03-21
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2025-03-21
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2025-03-21
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2025-03-21
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2025-03-21
D/A
$0.00
No
$0.00
Yes
THE PERSONS AND/OR FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEE AND/OR PERFORMANCE ALLOCATIONS.
2025-03-21
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2024-10-21
D/A
$7,474,824.00
Yes
$0.00
No
INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D. ISSUER HAS TERMINATED ITS AGREEMENT WITH EQUITYBEE SECURITIES, LLC (PREV. HAMILTON MILLER INVESTMENTS, LLC) AND MODERN CAPITAL GROUP LTD.
2024-08-28
D/A
$0.00
No
$0.00
No
2024-08-08
D/A
$349,532.00
No
$0.00
No
THE PERSONS NAMES IN ITEM 12 ARE ENGAGED AS PLACEMENT AGENTS FOR THE ISSUER-S SECURITIES.
2024-08-08
D/A
$581,592.00
No
$0.00
No
THE PERSONS NAMED IN ITEM 12 ARE ENGAGED AS PLACEMENT AGENTS FOR THE ISSUER-S SECURITIES.
2024-04-01
D/A
$0.00
No
$0.00
No
SALES COMMISSIONS OR FINDERS FEES ARE PAID BY THE INVESTMENT MANAGER OF THE ISSUER (AND NOT THE ISSUER).
2024-04-01
D/A
$0.00
No
$0.00
No
SALES COMMISSIONS OR FINDERS FEES ARE PAID BY THE INVESTMENT MANAGER OF THE ISSUER (AND NOT THE ISSUER).
2024-03-21
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2024-03-21
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2024-03-21
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2024-03-21
D/A
$0.00
No
$0.00
Yes
THE PERSONS AND/OR FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEE AND/OR PERFORMANCE ALLOCATIONS.
2024-03-21
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2024-03-21
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2024-02-27
D/A
$185,853.00
Yes
$0.00
No
TGP SECURITIES, INC. CEASED ACTING AS A PLACEMENT AGENT FOR THE ISSUER IN DECEMBER OF 2023.
2024-02-23
D/A
$598,227.00
Yes
$0.00
Yes
THE RECIPIENTS 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.
2023-12-29
D/A
$0.00
No
$0.00
No
THE SALES AGENT LISTED IN ITEM 12 RECEIVES A PERCENTAGE OF THE MANAGEMENT FEE AND/OR INCENTIVE ALLOCATION PAID BY INVESTORS INTRODUCED BY THE SALES AGENT.
2023-10-19
D/A
$6,012,036.00
Yes
$0.00
No
INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D. ISSUER HAS TERMINATED ITS AGREEMENT WITH EQUITYBEE SECURITIES, LLC (PREV. HAMILTON MILLER INVESTMENTS, LLC) AND MODERN CAPITAL GROUP LTD.
2023-08-29
D/A
$0.00
No
$0.00
No
2023-08-07
D/A
$145,966.00
No
$0.00
No
THE PERSONS NAMES IN ITEM 12 ARE ENGAGED AS PLACEMENT AGENTS FOR THE ISSUER-S SECURITIES.
2023-08-07
D/A
$329,063.00
No
$0.00
No
THE PERSONS NAMED IN ITEM 12 ARE ENGAGED AS PLACEMENT AGENTS FOR THE ISSUER-S SECURITIES.
2023-07-24
D/A
$1,449,583.00
Yes
$0.00
Yes
2023-06-29
D/A
$0.00
No
$0.00
No
2023-05-11
D
$393,438.00
No
$0.00
No
THE GENERAL PARTNER WILL PAY TO THE BROKER BETWEEN 5% AND 10% OF THE INCENTIVE FEES DUE THE GENERAL PARTNER AND ATTRIBUTABLE TO INVESTORS INTRODUCED BY THE BROKER, PAYABLE IF AND WHEN SUCH INCENTIVE FEES ARE PAYABLE TO THE GENERAL PARTNER.
2023-04-18
D/A
$0.00
Yes
$0.00
Yes
2023-03-30
D/A
$0.00
No
$0.00
No
2023-03-30
D/A
$0.00
No
$0.00
No
2023-03-21
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2023-03-21
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2023-03-21
D/A
$0.00
No
$0.00
Yes
THE PERSONS AND/OR FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEE AND/OR PERFORMANCE ALLOCATIONS.
2023-03-21
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2023-03-21
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2023-03-21
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2023-03-20
D/A
$0.00
Yes
$0.00
Yes
2023-03-20
D/A
$0.00
Yes
$0.00
Yes
2023-02-23
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS 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.
2023-01-06
D/A
$8,800.00
No
$0.00
No
2022-12-29
D/A
$0.00
No
$0.00
No
THE SALES AGENT LISTED IN ITEM 12 RECEIVES A PERCENTAGE OF THE MANAGEMENT FEE AND/OR INCENTIVE ALLOCATION PAID BY INVESTORS INTRODUCED BY THE SALES AGENT.
2022-12-29
D/A
$0.00
No
$0.00
No
THE SALES AGENT LISTED IN ITEM 12 RECEIVES A PERCENTAGE OF THE MANAGEMENT FEE AND/OR INCENTIVE ALLOCATION PAID BY INVESTORS INTRODUCED BY THE SALES AGENT.
2022-10-19
D/A
$5,139,736.00
No
$0.00
No
INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D. ISSUER HAS TERMINATED ITS AGREEMENT WITH HAMILTON MILLER INVESTMENTS, LLC AND MODERN CAPITAL GROUP LTD.
2022-08-29
D/A
$0.00
No
$0.00
No
2022-07-28
D/A
$1,051,873.00
Yes
$0.00
Yes
2022-07-01
D
$0.00
No
$0.00
No
2022-04-18
D/A
$0.00
Yes
$0.00
Yes
2022-03-30
D/A
$0.00
No
$0.00
No
2022-03-30
D/A
$0.00
No
$0.00
No
2022-03-21
D/A
$0.00
No
$0.00
Yes
THE PERSONS AND/OR FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEE AND/OR PERFORMANCE ALLOCATIONS.
2022-03-21
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2022-03-21
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2022-03-21
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2022-03-21
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2022-03-21
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2022-03-15
D/A
$0.00
Yes
$0.00
Yes
2022-03-15
D/A
$0.00
Yes
$0.00
Yes
2022-02-23
D/A
$625,951.00
No
$0.00
No
2022-01-07
D/A
$1,100.00
Yes
$0.00
No
2022-01-05
D
$18,860.00
No
$0.00
No
2021-12-29
D/A
$27,527.00
Yes
$0.00
No
2021-12-29
D/A
$2,717.00
Yes
$0.00
No
2021-10-25
D/A
$0.00
Yes
$0.00
Yes
2021-10-19
D/A
$5,126,103.00
No
$0.00
No
INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D. ISSUER HAS TERMINATED ITS AGREEMENT WITH HAMILTON MILLER INVESTMENTS, LLC AND MODERN CAPITAL GROUP LTD.
2021-07-28
D/A
$777,456.00
Yes
$0.00
Yes
2021-07-23
D/A
$500,000.00
Yes
$0.00
No
PLACEMENT AGENT FEES ARE TO BE PAID ON AN ESTABLISHED FEE ARRANGEMENT.
2021-07-23
D/A
$500,000.00
Yes
$0.00
No
PLACEMENT AGENT FEES ARE TO BE PAID ON AN ESTABLISHED FEE ARRANGEMENT.
2021-03-19
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2021-03-19
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2021-03-19
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2021-03-19
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2021-03-19
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2021-03-19
D/A
$0.00
No
$0.00
Yes
THE PERSONS AND/OR FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEE AND/OR PERFORMANCE ALLOCATIONS.
2021-03-15
D/A
$0.00
Yes
$0.00
Yes
2021-02-25
D/A
$603,114.00
No
$0.00
No
2020-12-30
D/A
$150.00
Yes
$0.00
No
2020-12-30
D/A
$150.00
Yes
$0.00
No
2020-12-21
D/A
$2,548,042.00
No
$0.00
No
INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D.
2020-12-11
D/A
$215,164.00
Yes
$0.00
No
2020-11-30
D/A
$985,000.00
No
$0.00
No
THE PLACEMENT AGENT WILL ALSO RECEIVE APPROXIMATELY 10% OF THE INCENTIVE FEES THAT WOULD OTHERWISE BE PAYABLE TO THE GENERAL PARTNER OF THE ISSUER.
2020-11-03
D/A
$1,040,000.00
Yes
$0.00
No
ESTIMATE INCLUDES FEES THAT MAY BE PAID OVER THE NEXT 12 MONTHS.
2020-11-03
D/A
$1,105,000.00
Yes
$0.00
No
ESTIMATE INCLUDES FEES THAT MAY BE PAID OVER THE NEXT 12 MONTHS.
2020-10-23
D/A
$0.00
Yes
$0.00
Yes
2020-10-23
D/A
$35,285.00
Yes
$0.00
No
2020-07-23
D/A
$500,000.00
Yes
$0.00
No
PLACEMENT AGENT FEES ARE TO BE PAID ON AN ESTABLISHED FEE ARRANGEMENT.
2020-07-23
D/A
$500,000.00
Yes
$0.00
No
PLACEMENT AGENT FEES ARE TO BE PAID ON AN ESTABLISHED FEE ARRANGEMENT.
2020-03-19
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2020-03-19
D/A
$0.00
No
$0.00
Yes
THE PERSONS AND/OR FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEE AND/OR PERFORMANCE ALLOCATIONS.
2020-03-19
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2020-03-19
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2020-03-19
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2020-03-19
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2020-03-13
D/A
$0.00
Yes
$0.00
Yes
2019-12-30
D/A
$0.00
No
$0.00
No
2019-12-13
D/A
$215,164.00
Yes
$0.00
No
2019-11-20
D/A
$134,715.00
Yes
$0.00
Yes
2019-10-25
D/A
$35,285.00
Yes
$0.00
No
2019-10-23
D/A
$0.00
Yes
$0.00
Yes
2019-05-02
D
$130,000.00
Yes
$0.00
No
INCLUDES VALUE OF UNITS ISSUED AS COMPENSATION
2019-03-19
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2019-03-19
D/A
$0.00
No
$0.00
Yes
THE PERSONS AND/OR FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEE AND/OR PERFORMANCE ALLOCATIONS.
2019-03-19
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2019-03-19
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2019-03-19
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2019-03-19
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2019-03-13
D/A
$0.00
Yes
$0.00
Yes
2018-12-13
D/A
$215,164.00
Yes
$0.00
No
2018-10-26
D/A
$35,285.00
Yes
$0.00
No
2018-10-23
D/A
$0.00
Yes
$0.00
Yes
2018-07-13
D/A
$328,750.00
No
$0.00
No
THE PLACEMENT AGENT WILL ALSO RECEIVE 10% OF THE INCENTIVE FEES THAT WOULD OTHERWISE BE PAYABLE TO THE GENERAL PARTNER OF THE ISSUER.
2018-03-19
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2018-03-19
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2018-03-19
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2018-03-19
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2018-03-19
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2018-03-19
D/A
$0.00
No
$0.00
Yes
THE PERSONS AND/OR FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEE AND/OR PERFORMANCE ALLOCATIONS.
2018-03-13
D/A
$0.00
Yes
$0.00
Yes
2017-12-14
D/A
$183,837.00
No
$0.00
No
2017-11-06
D/A
$128,095.00
No
$0.00
No
INCLUDES VALUE OF SERIES C PREFERRED UNITS ISSUED AS PART OF COMPENSATION.
2017-10-27
D/A
$25,671.00
No
$0.00
No
2017-10-23
D/A
$0.00
Yes
$0.00
Yes
2017-03-17
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2017-03-17
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2017-03-17
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2017-03-17
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2017-03-17
D/A
$0.00
No
$0.00
Yes
THE PERSONS AND/OR FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEE AND/OR PERFORMANCE ALLOCATIONS.
2017-03-17
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2017-03-16
D/A
$6,209,624.00
No
$0.00
No
PREVIOUS AMOUNT WAS $6,098,928
2017-03-10
D/A
$1,718,239.00
No
$0.00
No
AMOUNT AS OF 3/01/2016 WAS $1,563,512
2016-12-20
D/A
$50,000.00
Yes
$0.00
No
2016-10-28
D
$40,000.00
Yes
$0.00
No
2016-10-05
D/A
$153,550.00
No
$0.00
No
2016-03-31
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2016-03-31
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2016-03-17
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2016-03-17
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2016-03-17
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2016-03-17
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2016-03-17
D/A
$0.00
No
$0.00
Yes
THE PERSONS AND/OR FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEE AND/OR PERFORMANCE ALLOCATIONS.
2016-03-17
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.
2016-03-11
D/A
$6,098,928.00
No
$0.00
No
AS OF 8/27/2015, $3,742,326
2016-03-09
D/A
$1,563,512.00
No
$0.00
No
AS OF 8/27/2015, $773,810
2016-02-03
D/A
$0.00
No
$0.00
Yes
THE PERSON AND/OR FIRM LISTED IN ITEM 12 RECEIVES A PERCENTAGE OF THE MANAGEMENT FEE AND PERFORMANCE ALLOCATIONS.
2016-01-12
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ABOVE ARE 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.
2015-03-17
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE A PERCENTAGE OF THE MANAGEMENT FEES AND PERFORMANCE ALLOCATIONS.
2015-03-17
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE A PERCENTAGE OF THE MANAGEMENT FEES AND PERFORMANCE ALLOCATIONS.
2015-03-17
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE A PERCENTAGE OF THE MANAGEMENT FEES AND PERFORMANCE ALLOCATIONS.
2015-03-17
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE A PERCENTAGE OF THE MANAGEMENT FEES AND PERFORMANCE ALLOCATIONS.
2015-03-17
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE A PERCENTAGE OF THE MANAGEMENT FEES AND PERFORMANCE ALLOCATIONS.
2015-02-03
D/A
$0.00
No
$0.00
Yes
THE PERSON AND/OR FIRM LISTED IN ITEM 12 RECEIVES A PERCENTAGE OF THE MANAGEMENT FEE AND PERFORMANCE ALLOCATIONS.
2015-01-12
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ABOVE ARE 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.
2014-12-23
D/A
$0.00
Yes
$0.00
Yes
THE ENTITY LISTED IN ITEM 12 ABOVE 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.
2014-08-28
D/A
$324,172.00
No
$0.00
No
2014-08-28
D/A
$2,722,208.00
No
$0.00
No
2014-03-17
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE A PERCENTAGE OF THE MANAGEMENT FEES AND PERFORMANCE ALLOCATIONS.
2014-03-17
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE A PERCENTAGE OF THE MANAGEMENT FEES AND PERFORMANCE ALLOCATIONS.
2014-03-17
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE A PERCENTAGE OF THE MANAGEMENT FEES AND PERFORMANCE ALLOCATIONS.
2014-03-17
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE A PERCENTAGE OF THE MANAGEMENT FEES AND PERFORMANCE ALLOCATIONS.
2014-03-17
D/A
$0.00
No
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE A PERCENTAGE OF THE MANAGEMENT FEES AND PERFORMANCE ALLOCATIONS.
2013-10-04
D/A
$480,000.00
No
$0.00
No
TGP SECURITIES, INC. RECEIVED $480,000 AND WARRANTS TO PURCHASE 240,000 SHARES OF COMMON STOCK, EXERCISABLE FOR $2.20 PER SHARE, EXPIRING IN FIVE YEARS.
2013-09-13
D
$364,000.00
No
$0.00
No
TGP SECURITIES, INC. RECEIVED $364,000 AND WARRANTS TO PURCHASE 182,000 SHARES OF COMMON STOCK, EXERCISABLE FOR $2.20 PER SHARE, EXPIRING IN FIVE YEARS.