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CAROLINA FINANCIAL SECURITIES, LLC WILL RECEIVE A CASH SUCCESS FEE FOR ACTING AS PLACEMENT AGENT FOR THE FINANCING TRANSACTION EQUALING SIX PERCENT (6%) OF THE GROSS PROCEEDS RECEIVED BY THE COMPANY.

2025-05-22

$38,700.00

$0.00

CAROLINA FINANCIAL SECURITIES, LLC WILL RECEIVE A CASH SUCCESS FEE FOR ACTING AS PLACEMENT AGENT FOR THE FINANCING TRANSACTION EQUALING FIVE PERCENT (5%) OF THE GROSS PROCEEDS RECEIVED BY THE COMPANY.

2025-01-06

$80,000.00

Yes

$0.00

CAROLINA FINANCIAL SECURITIES, LLC WILL RECEIVE A PLACEMENT FEE EQUAL TO 4% OF THE GROSS PROCEEDS RECEIVED BY THE COMPANY AS A RESULT OF THIS OFFERING.

2024-12-05

D/A

$0.00

Yes

$0.00

THE ISSUER WILL PAY THE ITS BROKER DEALER 50 BASIS POINTS FOR EACH NOTE SOLD IN THE OFFERING. PROVIDED THAT THE MAXIMUM OFFERING AMOUNT IS INDEFINITE, THE ISSUER IS UNABLE TO PROVIDE AN ESTIMATED AMOUNT OF SALES COMMISSIONS TO BE PAID AT THIS TIME.

2024-09-25

$180,000.00

Yes

$0.00

CAROLINA FINANCIAL SECURITIES, LLC WILL RECEIVE A CASH SUCCESS FEE FOR ACTING AS PLACEMENT AGENT FOR THE FINANCING TRANSACTION EQUALING SIX PERCENT (6%) OF THE GROSS PROCEEDS RECEIVED BY THE COMPANY.

2024-09-05

D/A

$78,000.00

Yes

$0.00

FOR ACTING AS PLACEMENT AGENT, CAROLINA FINANCIAL SECURITIES, LLC SHALL RECEIVE A CASH FEE EQUALING SIX PERCENT (6%) OF THE GROSS PROCEEDS RECEIVED BY THE COMPANY FOR THE FINANCING TRANSACTION.

2024-07-22

$180,000.00

Yes

$0.00

CAROLINA FINANCIAL SECURITIES, LLC WILL RECEIVE A CASH PLACEMENT FEE EQUAL TO 6% OF THE GROSS PROCEEDS RECEIVED BY THE COMPANY AS A RESULT OF THIS OFFERING.

2024-07-02

$96,000.00

Yes

$0.00

CAROLINA FINANCIAL SECURITIES, LLC WILL RECEIVE A PLACEMENT FEE EQUAL TO 6.0% OF FUNDS RAISED FROM INVESTORS.

2024-07-01

$120,000.00

Yes

$0.00

CAROLINA FINANCIAL SECURITIES, LLC WILL RECEIVE A CASH PLACEMENT FEE EQUAL TO 6% OF THE GROSS PROCEEDS RECEIVED BY THE COMPANY AS A RESULT OF THIS OFFERING.

2024-07-01

$120,000.00

Yes

$0.00

CAROLINA FINANCIAL SECURITIES, LLC WILL RECEIVE A PLACEMENT FEE EQUAL TO 4% OF THE GROSS PROCEEDS RECEIVED BY THE COMPANY AS A RESULT OF THIS OFFERING.

2024-06-11

D/A

$52,500.00

$0.00

2024-03-26

D/A

$2,500,000.00

Yes

$0.00

CAROLINA FINANCIAL SECURITIES (CFS), SHALL RECEIVE A PLACEMENT FEE EQUAL TO 5% OF THE GROSS PROCEEDS RECEIVED BY FAIRMONT BREAKERS INVESTCO, LLC. CFS MAY SHARE UP TO 50% OF SUCH PLACEMENT FEE WITH CAROFIN, LLC.

2024-03-26

D/A

$300,000.00

Yes

$0.00

CAROLINA FINANCIAL SECURITIES, LLC WILL RECEIVE A CASH SUCCESS FEE FOR ACTING AS PLACEMENT AGENT FOR THE FINANCING TRANSACTION EQUALING SIX PERCENT (6%) OF THE GROSS PROCEEDS RECEIVED BY THE COMPANY.

2024-03-14

D/A

$60,000.00

Yes

$0.00

CAROLINA FINANCIAL SECURITIES, LLC WILL RECEIVE A PLACEMENT FEE EQUAL TO 6.0% OF FUNDS RAISED FROM INVESTORS.

2024-03-12

$105,000.00

Yes

$0.00

CAROLINA FINANCIAL SECURITIES, LLC WILL RECEIVE A CASH PLACEMENT FEE EQUAL TO 6% OF THE GROSS PROCEEDS RECEIVED BY THE COMPANY AS A RESULT OF THE OFFERING.

2024-02-12

D/A

$66,000.00

Yes

$0.00

FOR ACTING AS PLACEMENT AGENT, CAROLINA FINANCIAL SECURITIES, LLC SHALL RECEIVE A CASH FEE EQUALING SIX PERCENT (6%) OF THE GROSS PROCEEDS RECEIVED BY THE COMPANY FOR THE FINANCING TRANSACTION.

2024-02-12

$2,500,000.00

Yes

$0.00

2024-01-04

$6,000.00

Yes

$0.00

CAROLINA FINANCIAL SECURITIES, LLC WILL RECEIVE A PLACEMENT FEE EQUAL TO 6.0% OF FUNDS RAISED FROM INVESTORS.

2023-11-14

D/A

$0.00

Yes

$0.00

2023-10-12

D/A

$90,000.00

Yes

$0.00

CAROLINA FINANCIAL SECURITIES, LLC SHALL RECEIVE A CASH PLACEMENT FEE EQUAL TO 6% OF THE GROSS PROCEEDS RECEIVED BY THE COMPANY. UP TO 50% OF THE FEE MAY BE SHARED WITH CAROFIN, LLC, AN AFFILIATED BROKER-DEALER, FOR ITS ASSISTANCE IN PLACEMENT.

2023-10-10

$90,000.00

Yes

$0.00

2023-08-02

D/A

$180,000.00

Yes

$0.00

CAROLINA FINANCIAL SECURITIES, LLC WILL RECEIVE A CASH SUCCESS FEE FOR ACTING AS PLACEMENT AGENT FOR THE FINANCING TRANSACTION EQUALING SIX PERCENT (6%) OF THE GROSS PROCEEDS RECEIVED BY THE COMPANY.

2023-07-27

$42,000.00

Yes

$0.00

FOR ACTING AS PLACEMENT AGENT, CAROLINA FINANCIAL SECURITIES, LLC SHALL RECEIVE A CASH FEE EQUALING SIX PERCENT (6%) OF THE GROSS PROCEEDS RECEIVED BY THE COMPANY FOR THE FINANCING TRANSACTION.

2023-07-25

$500,000.00

$0.00

FOR ACTING AS PLACEMENT AGENT, CAROLINA FINANCIAL SECURITIES, LLC WILL RECEIVE A CASH FEE EQUALLY FIVE PERCENT OF THE GROSS PROCEEDS RECEIVED BY THE COMPANY FOR THE TRANSACTION.

2023-07-18

D/A

$420,000.00

Yes

$0.00

CAROLINA FINANCIAL SECURITIES, LLC(CFS)WILL RECEIVE A CASH PLACEMENT FEE EQUAL TO 3% OF THE AGGREGATE AMOUNT OF FUNDS RAISED. CFS MAY SHARE UP TO 50% OF SUCH PLACEMENT FEE WITH CAROFIN, LLC, AN AFFILIATED ENTITY, FOR ITS ASSISTANCE IN THE PLACEMENT.

2023-07-18

D/A

$420,000.00

Yes

$0.00

2023-05-31

$97,500.00

Yes

$0.00

THE ISSUER SHALL PAY CAROLINA FINANCIAL SECURITIES, LLC, AS PLACEMENT AGENT, A PLACEMENT FEE OF FIVE PERCENT (5%) OF CAPITAL RAISED IN THIS OFFERING.

2023-05-04

D/A

$132,000.00

$0.00

2023-04-14

$210,000.00

Yes

$0.00

CAROLINA FINANCIAL SECURITIES, LLC WILL RECEIVE A PLACEMENT FEE EQUAL TO 6% OF THE GROSS PROCEEDS RECEIVED BY THE COMPANY AS A RESULT OF THE OFFERING.

2023-04-13

$180,000.00

Yes

$0.00

CAROLINA FINANCIAL SECURITIES, LLC WILL RECEIVE A CASH SUCCESS FEE FOR ACTING AS PLACEMENT AGENT FOR THE FINANCING TRANSACTION EQUALING SIX PERCENT (6%) OF THE GROSS PROCEEDS RECEIVED BY THE COMPANY.

2023-04-06

D/A

$0.00

NO COMMISSION WILL BE PAID FOR THIS OFFERING.

2023-04-04

D/A

$70,000.00

$0.00

2023-03-16

D/A

$400,000.00

Yes

$0.00

CAROLINA FINANCIAL SECURITIES, LLC WILL RECEIVE A PLACEMENT FEE EQUAL TO 8.0% OF CAPITAL RAISED.

2023-03-09

D/A

$70,000.00

$0.00

2023-03-09

$70,000.00

$0.00

2023-03-08

D/A

$283,863.00

Yes

$0.00

A PLACEMENT FEE OF 6.0% OF NEW EQUITY FUNDS RAISED TO BE PAID TO CFS.CFS WILL RECEIVE WARRANTS TO PURCHASE COMMON EQUITY OF THE COMPANY EQUAL TO 6.0% OF THE MEMBERSHIP INTERESTS. CFS MAY SHARE UP TO 50% OF ITS FEES AND WARRANTS WITH CAROFIN, LLC.

2023-02-13

D/A

$0.00

NO COMMISSION WILL BE PAID FOR THIS OFFERING.

2023-02-13

$125,000.00

Yes

$0.00

THE ISSUER SHALL PAY THE PLACEMENT AGENT A 5% CASH PLACEMENT FEE BASED ON THE AMOUNT OF CAPITAL RAISED IN THIS OFFERING.

2023-01-23

$125,000.00

Yes

$0.00

THE ISSUER SHALL PAY THE PLACEMENT AGENT A 5% CASH PLACEMENT FEE BASED ON THE AMOUNT OF THE CAPITAL RAISED IN THIS OFFERING.

2023-01-19

D/A

$250,000.00

Yes

$0.00

A CASH PLACEMENT FEE EQUALING FIVE PERCENT WILL BE PAID BY THE BORROWER TO CAROLINA FINANCIAL SECURITIES, LLC (CFS). CFS MAY SHARE UP TO 50% OF ITS FEES WITH CAROFIN, LLC, AN AFFILIATED BROKER-DEALER, FOR ITS ASSISTANCE IN THE PLACEMENT OF THE OFFERING.

2023-01-19

D/A

$250,000.00

Yes

$0.00

2023-01-17

D/A

$0.00

NO COMMISSION WILL BE PAID FOR THIS OFFERING.

2022-12-15

$0.00

NO COMMISSION WILL BE PAID FOR THIS OFFERING.

2022-09-23

D/A

$125,000.00

Yes

$0.00

2022-09-23

D/A

$125,000.00

Yes

$0.00

2022-09-06

$120,000.00

Yes

$0.00

CAROLINA FINANCIAL SECURITIES, LLC WILL RECEIVE A CASH FEE FOR ACTING AS PLACEMENT AGENT FOR THE FINANCING TRANSACTION EQUALING SIX PERCENT (6%) OF THE GROSS PROCEEDS RECEIVED BY THE COMPANY.

2022-08-08

D/A

$252,000.00

Yes

$0.00

A CASH FEE EQUALING SIX PERCENT (6.0%) OF THE FUNDS RAISED IN THE OFFERING WILL BE PAID BY THE BORROWER AS A PLACEMENT FEE TO CAROLINA FINANCIAL SECURITIES, LLC FOR ACTING AS EXCLUSIVE PLACEMENT AGENT.

2022-07-29

$625,000.00

Yes

$0.00

ESTIMATE ASSUMES SALE OF "TOTAL OFFERING AMOUNT" LISTED IN ITEM 13. ADDITIONALLY, BROKER TO BE ISSUED WARRANTS TO PURCHASE 5.0% OF SECURITIES SOLD BY ISSUER IN THIS OFFERING.

2022-07-07

$30,000.00

$0.00

2022-07-06

$300,000.00

$0.00

2022-06-27

$178,862.00

$0.00

THE ISSUER SHALL PAY CAROLINA FINANCIAL SECURITIES, LLC, AS PLACEMENT AGENT, A PLACEMENT FEE OF FIVE PERCENT (5.0%) OF CAPITAL RAISED IN THIS OFFERING.

2022-05-26

D/A

$240,000.00

Yes

$0.00

2022-05-19

$0.00

NO SALES COMMISSION OR PLACEMENT FEE WILL BE PAID FOR THIS OFFERING.

2022-04-28

D/A

$112,000.00

Yes

$0.00

2022-04-25

$0.00

$200,000.00

Yes

THE PLACEMENT FEE IS 4% OF THE GROSS PROCEED RECEIVED BY THE COMPANY FROM INVESTORS INTRODUCED BY FINDER.

2022-04-19

$180,000.00

Yes

$0.00

2022-04-01

$103,500.00

$0.00

2022-03-17

$240,000.00

Yes

$0.00

CAROLINA FINANCIAL SECURITIES, LLC WILL RECEIVE A PLACEMENT FEE EQUAL TO 8.0% OF CAPITAL RAISED.

2022-01-27

$250,000.00

Yes

$0.00

2022-01-27

$250,000.00

Yes

$0.00

2022-01-26

$115,000.00

Yes

$0.00

THE ISSUER SHALL PAY THE PLACEMENT AGENT A 5% CASH PLACEMENT FEE BASED ON THE AMOUNT OF THE CAPITAL RAISED IN THIS OFFERING.

2022-01-07

$0.00

CAROLINA FINANCIAL SECURITIES, LLC WILL NOT RECEIVE A PLACEMENT FEE FOR THE OFFERING.

2021-12-01

$112,000.00

Yes

$0.00

2021-10-27

$0.00

$75,000.00

2021-10-07

D/A

$120,000.00

Yes

$0.00

2021-09-08

$24,000.00

$0.00

CAROLINA FINANCIAL SECURITIES, LLC, AS PLACEMENT AGENT, WILL RECEIVE A CASH PLACEMENT FEE EQUAL TO 3.0% OF THE AGGREGATE AMOUNT OF FUNDS RAISED IN THIS OFFERING.

2021-08-25

D/A

$60,000.00

Yes

$0.00

CAROLINA FINANCIAL SECURITIES, LLC, AS PLACEMENT AGENT, WILL RECEIVE A CASH PLACEMENT FEE EQUAL TO 3.0% OF THE AGGREGATE AMOUNT OF FUNDS RAISED IN THIS OFFERING.

2021-08-19

$165,250.00

Yes

$0.00

THE ISSUER SHALL PAY CAROLINA FINANCIAL SECURITIES, LLC A 5.0% CASH PLACEMENT FEE BASED UPON THE AMOUNT OF CAPITAL RAISED.

2021-08-04

$45,000.00

Yes

$0.00

CAROLINA FINANCIAL SECURITIES, LLC, AS PLACEMENT AGENT, WILL RECEIVE A CASH PLACEMENT FEE EQUAL TO 3.0% OF THE AGGREGATE AMOUNT OF FUNDS RAISED IN THIS OFFERING.

2021-07-08

$138,000.00

Yes

$0.00

PLACEMENT AGENT WILL RECEIVE A CASH FEE EQUAL TO 6% OF NEW EQUITY PURCHASED AND 3% FOR CURRENT SHAREHOLDERS IN THE COMPANY.

2021-06-24

$150,000.00

Yes

$0.00

2021-06-24

$150,000.00

Yes

$0.00

2021-06-17

$50,000.00

Yes

$0.00

CFS, AS PLACEMENT AGENT, WILL RECEIVE A 5.0% CASH PLACEMENT FEE BASED ON THE AMOUNT OF CAPITAL RAISED IN THIS OFFERING.

2021-05-25

$138,000.00

Yes

$0.00

CAROLINA FINANCIAL SECURITIES (CFS), AS PLACEMENT AGENT, WILL RECEIVE 6.0% OF THE FUNDS RAISED FROM INVESTORS IDENTIFIED BY CFS AND 3.0% OF FUNDS RAISED FROM CURRENT SHAREHOLDERS OF THE COMPANY OR INVESTORS IDENTIFIED BY THE COMPANY.

2021-04-14

D/A

$37,500.00

$0.00

5.0% OF THE LOAN AMOUNT PAID BY THE BORROWER AS A PLACEMENT FEE TO CAROLINA FINANCIAL SECURITIES, LLC. UP TO 50% OF THE FEES MAY BE SHARED WITH CAROFIN, LLC FOR ITS ASSISTANCE IN THE OFFERING.

2021-01-15

D/A

$0.00

THERE IS NO SALES COMMISSION FOR THIS OFFERING.

2021-01-14

$420,000.00

Yes

$0.00

2021-01-14

$420,000.00

Yes

$0.00

2020-12-17

$7,000.00

Yes

$0.00

2020-10-01

D/A

$189,000.00

Yes

$21,000.00

Yes

MR. TOPPING WILL RECEIVE FINDER-S FEES FOR REFERRING THE ISSUER TO CAROLINA FINANCIAL SECURITIES. HE IS NOT SOLICITING OR EFFECTING TRANSACTIONS WITH INVESTORS.

2020-09-24

D/A

$120,000.00

Yes

$0.00

2020-09-04

$18,000.00

$0.00

FOR ACTING AS PLACEMENT AGENT, CFS WILL RECEIVE A CASH FEE EQUALING SIX PERCENT OF THE GROSS PROCEEDS RECEIVED BY THE COMPANY FOR THE TRANSACTION. THE FEE IS REDUCED TO THREE PERCENT FOR CURRENT SHAREHOLDERS AND INVESTORS IDENTIFIED BY THE COMPANY.

2020-09-02

D/A

$48,690.00

$0.00

CONSISTS OF A 6% SALES COMMISSION

2020-07-27

$25,000.00

Yes

$0.00

A CASH FEE OF 5.0% WILL BE PAID AS A PLACEMENT FEE TO CAROLINA FINANCIAL SECURITIES (CFS), LLC.CFS MAY SHARE UP TO 50% OF ITS FEES WITH CAROFIN, LLC, AN AFFILIATED BROKER-DEALER, FOR ITS ASSISTANCE IN THE PLACEMENT OF THE OFFERING.

2020-07-24

$122,250.00

Yes

$0.00

THE ISSUER SHALL PAY CAROLINA FINANCIAL SECURITIES, LLC A 5.0% CASH PLACEMENT FEE BASED UPON THE AMOUNT OF CAPITAL RAISED.

2020-07-10

$300,000.00

Yes

$0.00

CAROLINA FINANCIAL SECURITIES, LLC WILL RECEIVE A 6.0% CASH PLACEMENT FEE FOR ACTING AS THE PLACEMENT AGENT. FOR INVESTORS ORIGINATED BY THE ISSUER, THE FEE WILL BE DISCOUNTED 50%.

2020-05-07

$250.00

Yes

$0.00

THE BROKER-DEALER-S COMPENSATION WILL BE EQUAL TO 20% OF THE ADMINISTRATIVE FEE RECEIVED BY THE SBA LENDERS FOR THE ISSUANCE OF PPP LOANS.

2020-04-15

$37,500.00

$0.00

5.0% OF THE LOAN AMOUNT PAID BY THE BORROWER AS A PLACEMENT FEE TO CAROLINA FINANCIAL SECURITIES, LLC. UP TO 50% OF THE FEES MAY BE SHARED WITH CAROFIN, LLC FOR ITS ASSISTANCE IN THE OFFERING.

2020-03-04

$3,000.00

$0.00

6% SALES COMMISSION. RECIPIENT ALSO GRANTED RIGHT TO PURCHASE COMMON EQUITY WARRANTS IN AMOUNT = TO 1% ON FULLY-DILUTED AS-CONVERTED BASIS OF OWNERSHIP INTEREST OF ISSUER FOR EVERY $1M (OR PRORATA PORTION) RAISED IN OFFERING

2020-02-07

$9,500.00

$0.00

CONSISTS OF A 6% SALES COMMISSION AND A $3,500 NON-REFUNDABLE DUE DILIGENCE FEE

2020-01-22

D/A

$0.00

THERE IS NO SALES COMMISSION FOR THIS OFFERING.

2019-11-08

D/A

$126,020.00

$0.00

2019-10-24

D/A

$0.00

THERE IS NO SALES COMMISSION FOR THIS OFFERING.

2019-09-26

D/A

$120,000.00

Yes

$0.00

2019-08-05

D/A

$3,750.00

Yes

$0.00

2019-08-02

D/A

$180,000.00

Yes

$0.00

2.0% OF LOAN PARTICIPATION FOR INVESTORS CURRENTLY PARTICIPATING IN COMPANY INDEBTEDNESS AND 4.0% FOR PARTICIPATION BY NEW INVESTORS. UP TO 50% OF SUCH PLACEMENT FEES MAY BE PAID TO CAROFIN, LLC FOR ITS ASSISTANCE IN THE PLACEMENT OF THE NOTES.

2019-07-30

$189,000.00

Yes

$21,000.00

Yes

MR. TOPPING WILL RECEIVE FINDER?S FEES FOR REFERRING THE ISSUER TO CAROLINA FINANCIAL SECURITIES. HE IS NOT SOLICITING OR EFFECTING TRANSACTIONS WITH INVESTORS.

2019-07-05

$2,500.00

Yes

$0.00

2019-06-28

D/A

$42,000.00

$0.00

COMMISSION IS 7% OF FUNDS RAISED. ALSO CFS WILL RECEIVE COMMON MEMBERSHIP UNITS REPRESENTING 11% OF CAPITALIZATION AFTER SERIES B BUT BEFORE SERIES A.

2019-05-16

D/A

$100,000.00

$0.00

FOR ACTING AS THE PLACEMENT AGENT, CAROLINA FINANCIAL SECURITIES, LLC WILL RECEIVE A CASH FEE EQUAL TO 4.0% OF THE PROCEEDS RAISED IN THE OFFERING.

2019-05-15

$100,000.00

$0.00

FOR ACTING AS THE PLACEMENT AGENT, CAROLINA FINANCIAL SECURITIES, LLC WILL RECEIVE A CASH FEE EQUAL TO 4.0% OF THE PROCEEDS RAISED IN THE OFFERING.

2019-03-22

$50,000.00

Yes

$0.00

A FEE EQUALING 5.0% OF ANY NOTES ISSUED IN THE OFFERING WILL BE PAID BY THE BORROWER AS A PLACEMENT FEE TO CAROLINA FINANCIAL SECURITIES, LLC FOR ACTING AS EXCLUSIVE PLACEMENT AGENT FOR THE OFFERING.

2018-11-08

D/A

$126,020.00

$0.00

2018-10-18

D/A

$0.00

THERE IS NO SALES COMMISSION FOR THIS OFFERING.

2018-10-04

D/A

$150,000.00

$0.00

A 6% CASH PLACEMENT FEE OF THE AMOUNT RAISED WILL BE PAID TO THE PLACEMENT AGENT. SALES IS ON A BEST EFFORTS BASIS.

2018-09-25

D/A

$244,000.00

$0.00

A CASH PLACEMENT FEE EQUAL TO FOUR PERCENT (4%) OF THE AMOUNTS RAISED WILL BE PAID TO THE PLACEMENT AGENT FOR THIS OFFERING.

2018-09-04

$12,000.00

$0.00

2018-02-12

$39,000.00

Yes

$0.00

BASED ON FULL SUBSCRIPTION. 1.5% (COMPRISED OF 1% COMMISSIONS AND 0.5% DUE DILIGENCE REIMBURSEMENT).

2018-02-05

D/A

$22,074.00

$0.00

4% OF FUNDS RAISED FOR NEW INVESTORS; 3% FOR A A ROLL-OVER INVESTMENT. FOR INVESTMENT EXCHANGE TO THE NEW FINANCING STRUCTURE, COMMISSION IS 3.0% OF INVESTMENT IF THE REMAINING MATURITY IS LESS THAN OR EQUAL TO 6 MONTHS AND 2.0% IF GREATER THAN 6 MONTHS.

2017-11-09

D/A

$61,000.00

$0.00

3% PLACEMENT FEE WILL BE PAID FOR ALL PREFERRED INTEREST ISSUED FROM THE CONVERSION OF OUTSTANDING CONVERTIBLE NOTES AND 6% FOR NEW INVESTORS. CFS WILL RECEIVE WARRANTS TO PURCHASE COMMON EQUITY REPRESENTING 1% OF THE POST-MONEY EQUITY CAPITALIZATION.

2017-09-26

$7,500.00

$0.00

2017-08-10

$266,000.00

Yes

$0.00

BASED ON FULL SUBSCRIPTION. 7% (COMPRISED OF 6% COMMISSIONS AND 1% DUE DILIGENCE REIMBURSEMENT).

2017-08-03

$400,000.00

Yes

$0.00

BASED ON FULL SUBSCRIPTION. 4% (COMPRISED OF 3% COMMISSIONS AND 1% DUE DILIGENCE REIMBURSEMENT).

2017-07-13

D/A

$322,500.00

Yes

$0.00

BASED ON FULL SUBSCRIPTION. 5% (COMPRISED OF 4% COMMISSIONS AND 1% DUE DILIGENCE REIMBURSEMENT).

2017-06-26

$97,500.00

$0.00

BASED ON FULL SUBSCRIPTION. 5% (COMPRISED OF 4% COMMISSIONS AND 1% DUE DILIGENCE REIMBURSEMENT).

2017-06-22

D/A

$223,500.00

$0.00

2017-06-15

$0.00

NO FEES WILL BE PAID FOR THE ISSUANCE OF SERIES B PREFERRED.

2017-06-15

D/A

$42,000.00

$0.00

COMMISSION IS 7% OF FUNDS RAISED. ALSO CFS WILL RECEIVE COMMON MEMBERSHIP UNITS REPRESENTING 11% OF CAPITALIZATION AFTER SERIES B BUT BEFORE SERIES A.

2017-06-12

$42,000.00

$0.00

COMMISSION IS 7% OF FUNDS RAISED. ALSO CFS WILL RECEIVE COMMON MEMBERSHIP UNITS REPRESENTING 11% OF CAPITALIZATION AFTER SERIES B BUT BEFORE SERIES A.

2017-05-03

$150,000.00

$0.00

BASED ON 6% COMMISSION ASSUMING THE OFFERING IS FULLY SUBSCRIBED

2017-03-02

D/A

$427,920.00

Yes

$0.00

COMMISSION IS 4% OF FUNDS RAISED.

2017-03-02

$322,500.00

$0.00

BASED ON FULL SUBSCRIPTION. 5% (COMPRISED OF 4% COMMISSIONS AND 1% DUE DILIGENCE REIMBURSEMENT).

2017-02-24

D/A

$400,000.00

Yes

$0.00

BASED ON FULL SUBSCRIPTION. 5% (COMPRISED OF 4% COMMISSIONS AND 1% DUE DILIGENCE REIMBURSEMENT).

2017-01-18

$175,000.00

$0.00

3.5% OF THE LOAN AMOUNT PAID BY THE BORROWER AS A PLACEMENT FEE TO CAROLINA FINANCIAL SECURITIES, LLC

2017-01-04

$400,000.00

Yes

$0.00

BASED ON FULL SUBSCRIPTION. 5% (COMPRISED OF 4% COMMISSIONS AND 1% DUE DILIGENCE REIMBURSEMENT).

2017-01-04

$223,500.00

$0.00

2016-11-21

$6,000.00

$0.00

2016-10-26

D/A

$280,000.00

$0.00

5.0% OF FUNDS RAISED. CAROLINA FINANCIAL SECURITIES, LLC (CFS) WILL BE ENTITLED TO WARRANTS TO PURCHASE COMMON STOCK EQUAL TO 5% OF CFS INVESTORS- INTERESTS AT THE TIME OF CFS INVESTOR INTEREST CONVERSION.

2016-10-11

$3,000.00

$0.00

SALES COMMISSION IS 3.0% OF FUNDS RAISED

2016-09-12

$38,756.00

$0.00

SALES COMMISSION IS 2.925% OF FUNDS RAISED

2016-05-31

$82,000.00

$0.00

4% OF CAPITAL RAISED TO DATE

2016-05-31

$82,000.00

$0.00

4% OF CAPITAL RAISED TO DATE

2016-05-18

$250,000.00

$0.00

2016-04-11

$14,000.00

$0.00

2016-04-06

D/A

$99,400.00

$0.00

7% OF NEW EQUITY FUNDS RAISED

2016-03-14

D/A

$145,702.00

Yes

$0.00

2016-03-04

D/A

$314,520.00

Yes

$0.00

COMMISSION IS 4% OF FUNDS RAISED.

2016-02-19

D/A

$120,000.00

$0.00

4% OF THE LOAN AMOUNT, LESS $12,000 WILL BE PAID BY THE BORROWER AS A PLACEMENT FEE TO CAROLINA FINANCIAL SECURITIES, LLC

2016-01-07

$3,200.00

$0.00

COMMISSION PAID IS 2% OF AMOUNT RAISED

2015-10-27

D/A

$39,750.00

$0.00

3% OF THE GROSS LOAN AMOUNTS

2015-09-30

$10,000.00

$0.00

2015-09-24

$288,000.00

$0.00

2015-09-24

D/A

$288,000.00

$0.00

2015-09-04

$200,000.00

$0.00

COMMISSION IS 4% OF FUNDS RAISED

2015-08-17

D/A

$190,000.00

$0.00

5% OF CAPITAL RAISED

2015-08-14

$90,000.00

Yes

$0.00

CAROLINA FINANCIAL SECURITIES, LLC WILL ALSO RECEIVE WARRANTS FOR 1% OF THE ISSUER FOR EACH $500,000 RAISED UP TO A MAXIMUM OF 4%.

2015-07-28

$150,000.00

$0.00

BASED ON 6% COMMISSION AND ASSUMING THE OFFERING IS FULLY SUBSCRIBED

2015-07-13

$599,045.00

Yes

$0.00

THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.

2015-07-09

D/A

$187,740.00

$0.00

4% OF THE GROSS LOAN AMOUNTS WILL BE PAID UPON FUNDING OF EACH TRANCHE

2015-07-06

$105,762.00

Yes

$0.00

2015-06-18

$0.00

$162,000.00

2015-04-09

D/A

$48,300.00

$0.00

7% OF NEW EQUITY FUNDS RAISED

2015-03-10

$175,500.00

$0.00

2015-03-05

D/A

$280,000.00

Yes

$0.00

COMMISSION IS 4% OF FUNDS RAISED, AND THE OFFERING IS BEING SOLD ON A BEST EFFORTS BASIS. SO THE TOTAL POSSIBLE COMMISSION IS $280,000 BUT COULD END UP BEING LESS IF THE OFFERINGS ISN-T FULLY SUBSCRIBED.

2015-03-04

D/A

$93,000.00

Yes

$0.00

5% SALES COMMISSION ON AMOUNTS RAISED. $93,000 EARNED TO DATE.

2015-03-03

D/A

$50,000.00

Yes

$0.00

COMMISSIONS YET TO BE EARNED AND AMOUNT TO BE PAID DEPENDS ON AMOUNT SOLD BY EACH BROKER AND THE AGREEMENT WITH EACH BROKER.

2014-12-23

D/A

$1,500,000.00

Yes

$0.00

2014-12-23

D/A

$1,500,000.00

Yes

$0.00

2014-12-23

D/A

$1,500,000.00

Yes

$0.00

2014-12-23

D/A

$1,500,000.00

Yes

$0.00

2014-12-23

D/A

$1,500,000.00

Yes

$0.00

2014-12-23

D/A

$1,500,000.00

Yes

$0.00

2014-12-23

D/A

$1,500,000.00

Yes

$0.00

2014-12-23

D/A

$1,500,000.00

Yes

$0.00

2014-12-23

D/A

$1,500,000.00

Yes

$0.00

2014-12-23

D/A

$1,500,000.00

Yes

$0.00

2014-12-23

D/A

$1,500,000.00

Yes

$0.00

2014-12-15

$0.00

2014-12-01

D/A

$500,400.00

$0.00

2014-11-21

D/A

$439,518.00

$0.00

2014-11-21

D/A

$228,462.00

$0.00

2014-11-14

$7,500.00

$0.00

5% OF CAPITAL RAISED

2014-11-14

$1,500,000.00

Yes

$0.00

2014-11-14

$1,500,000.00

Yes

$0.00

2014-11-14

$1,500,000.00

Yes

$0.00

2014-11-14

$1,500,000.00

Yes

$0.00

2014-11-14

$1,500,000.00

Yes

$0.00

2014-11-14

$1,500,000.00

Yes

$0.00

2014-11-14

$1,500,000.00

Yes

$0.00

2014-11-14

$1,500,000.00

Yes

$0.00

2014-11-14

$1,500,000.00

Yes

$0.00

2014-11-14

$1,500,000.00

Yes

$0.00

2014-11-14

$1,500,000.00

Yes

$0.00

2014-11-06

D/A

$2,875,000.00

Yes

$0.00

2014-11-05

$229,706.00

$0.00

2014-11-05

$439,517.00

$0.00

2014-10-31

$2,220.00

$0.00

3% OF THE GROSS LOAN AMOUNTS

2014-10-02

$565,396.00

$0.00

2014-09-26

$50,000.00

Yes

$0.00

COMMISSIONS YET TO BE EARNED AND AMOUNT TO BE PAID DEPENDS ON AMOUNT SOLD BY EACH BROKER AND THE AGREEMENT WITH EACH BROKER.

2014-08-25

$12,187.00

$0.00

2.5% OF AMOUNTS RAISED

2014-07-31

$2,450.00

$0.00

7% OF NEW EQUITY FUNDS RAISED

2014-06-20

D/A

$77,500.00

Yes

$0.00

5% SALES COMMISSION ON AMOUNTS RAISED. $63,250 EARNED TO DATE.

2014-06-11

D/A

$65,000.00

Yes

$0.00

2014-05-30

$10,000.00

$0.00

4% OF THE GROSS LOAN AMOUNTS WILL BE PAID UPON FUNDING OF EACH TRANCHE

2014-05-22

$32,000.00

$0.00

$32,000 OF THE OFFERING AMOUNT IS BEING RETAINED BY ISSUER TO PAY THE PLACEMENT FEE (4% OF FUNDS RAISED) FOR ARRANGING THE FINANCING.

2014-05-22

$99,000.00

$0.00

4% OF THE LOAN AMOUNT, LESS $12,000 WILL BE PAID BY THE BORROWER AS A PLACEMENT FEE TO CAROLINA FINANCIAL SECURITIES, LLC

2014-05-19

$1,500.00

$0.00

6% FUNDS RAISED

2014-05-14

$75,000.00

Yes

$0.00

5% SALES COMMISSION ON AMOUNTS RAISED. SECURITIES SOLD ON A BEST EFFORTS BASIS, SO MAXIMUM $75,000 COMMISSION MIGHT NOT BE ACHIEVED. $1,150,000 SOLD TO DATE, FOR $57,500 OF COMMISSION.

2014-04-25

$36,000.00

$0.00

ALL SALES COMMISSIONS ASSOCIATED WITH THIS SALE ARE BEING PAID TO CAROLINA FINANCIAL SECURITIES. NO SALES COMMISSION IS BEING PAID TO MICHAEL SCOTT RICKARD.

2014-03-25

D/A

$1,400,000.00

Yes

$0.00

*IF TOTAL OFFERING IS SOLD OUT, $1,191,250 EARNED TO DATE.

2014-03-25

D/A

$1,400,000.00

Yes

$0.00

*IF TOTAL OFFERING IS SOLD OUT, $1,191,250 EARNED TO DATE.

2014-03-25

D/A

$1,400,000.00

Yes

$0.00

*IF TOTAL OFFERING IS SOLD OUT. $1,191,250 EARNED TO DATE.

2014-03-25

D/A

$1,400,000.00

Yes

$0.00

*IF TOTAL OFFERING IS SOLD OUT. $1,191,250 EARNED TO DATE.

2014-02-28

$98,000.00

$0.00

$98,000 OF THE OFFERING AMOUNT IS BEING RETAINED BY THE ISSUER TO PAY THE PLACEMENT FEE (4% OF FUNDS RAISED) FOR ARRANGING THE FINANCING

2014-01-31

D/A

$242,000.00

Yes

$0.00

ACQUISITION FEE AND NON-ACCOUNTABLE EXPENSE ALLOWANCE

2014-01-30

$242,000.00

Yes

$0.00

ACQUISITION FEE AND NON-ACCOUNTABLE EXPENSE ALLOWANCE

2014-01-06

D/A

$1,000,000.00

Yes

$0.00

COMMISSIONS YET TO BE EARNED AND AMOUNT DEPENDS ON AMOUNT SOLD BY EACH BROKER THROUGHOUT THE PLACEMENT.

2013-11-15

D/A

$1,000,000.00

Yes

$0.00

COMMISSIONS YET TO BE EARNED AND AMOUNT DEPENDS ON AMOUNT SOLD BY EACH BROKER THROUGHOUT THE PLACEMENT.

2013-11-08

D/A

$60,000.00

Yes

$0.00

2013-10-31

$250,000.00

Yes

$0.00

COMMISSION IS 5% OF FUNDS RAISED. IT IS ANTICIPATED THAT THE FULL $5MM WILL BE RAISED, SO $250,000 WILL BE PAID IN COMMISSIONS. THE OFFERING IS ON A BEST EFFORTS BASIS, SO TOTAL COMMISSIONS COULD BE LESS.

2013-09-24

$60,000.00

Yes

$0.00

5% SALES COMMISSION ON AMOUNTS RAISED. $46,125 EARNED TO DATE.

2013-09-06

D/A

$1,000,000.00

Yes

$0.00

COMMISSIONS YET TO BE EARNED AND AMOUNT DEPENDS ON AMOUNT SOLD BY EACH BROKER THROUGHOUT THE PLACEMENT.

2013-09-06

$39,000.00

$0.00

2013-08-29

$0.00

THIS IS A PASS THROUGH ENTITY THAT WON-T PAY FEES FOR AMOUNTS RAISED. FUNDS WILL BE AGGREGATED AND AN INVESTMENT MADE IN CALAYST RESOURCES, LLC. CATALYST RESOURCES, LLC WILL PAY THE SALES COMMISSION AND WILL FILE A SEPARATE FORM D THAT WILL REFLECT FEES

2013-08-27

$7,000,000.00

Yes

$0.00

*IF TOTAL OFFERING IS SOLD OUT. $37,500 EARNED TO DATE.

2013-08-27

$7,000,000.00

Yes

$0.00

*IF TOTAL OFFERING IS SOLD OUT. $37,500 EARNED TO DATE.

2013-08-27

$700,000.00

Yes

$0.00

*IF TOTAL OFFERING IS SOLD OUT, $37,500 EARNED TO DATE.

2013-08-27

$700,000.00

Yes

$0.00

*IF TOTAL OFFERING IS SOLD OUT, $37,500 EARNED TO DATE.

2013-08-23

$160,000.00

Yes

$0.00

COMMISSION IS 4% OF FUNDS RAISED, AND THE OFFERING IS BEING SOLD ON A BEST EFFORTS BASIS. SO THE TOTAL POSSIBLE COMMISSION IS $160,000 BUT COULD END UP BEING LESS IF THE OFFERINGS ISN-T FULLY SUBSCRIBED.

2013-08-21

$50,000.00

$0.00

ALL SALES COMMISSIONS ASSOCIATED WITH THIS SALE ARE BEING PAID TO CAROLINA FINANCIAL SECURITIES. NO SALES COMMISSION IS BEING PAID TO SCOTT RICKARD.

2013-08-19

$180,720.00

$0.00

ALSO GRANTED, AS ADDITIONAL SALES COMMISSION, A WARRANT TO PURCHASE COMMON UNITS OF MEMBERSHIP INTEREST OF THE ISSUER AT A PREMIUM TO THE PURCHASE PRICE PAID BY INVESTORS IN THE OFFERING + REPRESENTING 3% OF THE POST-MONEY EQUITY CAPITALIZATION OF ISSUER.

2013-07-31

$0.00

THIS TRANSACTION WAS FOR THE SALE OF MEMBERSHIP UNITS OF THE FIRM TO ITS CHAIRMAN. THERE WERE NO FEES PAID TO ANY PARTY FOR THIS TRANSACTION.

2013-06-17

$35,000.00

$0.00

SALES COMMISSION IS 5% OF FUNDS RAISED. ONLY $22,500 HAS BEEN PAID OUT TO DATE.

2013-05-03

$0.00

2013-04-29

D/A

$149,425.00

$0.00

M. SCOTT RICKARD IS NOT RECEIVING ANY SALES COMMISSIONS. THE SALES COMMISSIONS ASSOCIATED WITH HIS SALES ARE BEING PAID TO CAROLINA FINANCIAL SECURITIES.

2013-02-26

D/A

$0.00

$45,000.00

2013-02-25

$120,000.00

$0.00

$120,000 OF COMMISSION FOR THE FULL $3,000,000 RAISED. $21,000 FOR AMOUNTS TO DATE.

2013-01-10

$627,000.00

$0.00

2012-11-29

D/A

$296,460.00

Yes

$0.00

SCOTT RICKARD IS NOT RECEIVING ANY SALES COMMISSIONS. THE SALES COMMISSIONS ASSOCIATED WITH HIS SALES ARE BEING PAID TO CAROLINA FINANCIAL SECURITIES.

2012-11-27

$8,550.00

$0.00

ALL COMPENSATION TO BROKER DEALER

2012-11-23

$25,000.00

$0.00

2012-09-27

$56,850.00

Yes

$0.00

SCOTT RICKARD IS NOT RECEIVING ANY SALES COMMISSIONS. THE SALES COMMISSIONS ASSOCIATED WITH HIS SALES ARE BEING PAID TO CAROLINA FINANCIAL SECURITIES.

2012-09-25

$0.00

THIS ENTITY IS NOT PAYING ANY SALES COMMISSIONS OR FINDERS FEES.

2012-09-19

$5,000.00

$0.00

ALL COMPENSATION WENT TO BROKER DEALER.

2012-09-11

$0.00

2012-08-17

$0.00

NO FEES HAVE BEEN OR WILL BE PAID FOR THIS TRANSACTION.

2012-08-09

D/A

$120,000.00

Yes

$0.00

ASSUMES TOTAL OFFERING AMOUNT IS SOLD; ACTUAL FEE IS 8% OF AMOUNT SOLD IN OFFERING

2012-06-29

$360,000.00

Yes

$0.00

THE SALES COMMISSION IS 3% OF FUNDS RAISED. $18,450 HAS BEEN PAID OUT ON THE $615,000 RAISED TO DATE. THE MAXIMUM $12MM OFFERING AMOUNT IS BEING SOLD ON A BEST EFFORTS BASIS, SO THE GROSS SALES COMMISSION WILL BE DETERMINED BY THE ACTUAL AMOUNT SOLD.

2012-06-25

$0.00

$20,000.00

FEES PAYABLE OVER A TWO YEAR PERIOD

2012-06-08

$120,000.00

Yes

$0.00

ASSUMES TOTAL OFFERING AMOUNT IS SOLD; ACTUAL FEE IS 8% OF AMOUNT SOLD IN OFFERING

2012-05-16

D/A

$212,000.00

Yes

$0.00

2012-04-26

D/A

$92,000.00

Yes

$0.00

2012-04-26

$92,000.00

Yes

$0.00

2012-04-25

$150,000.00

$0.00

THE SALES COMMISSION AND FINDER-S FEES FIGURES REPRESENT THE MAXIMUM AMOUNT EXPECTED TO BE PAID BY THE END OF THE OFFERING. AT THE TIME OF THIS FILING, $38,500 HAS BEEN PAID IN TOTAL.

2012-04-03

$10,000.00

$0.00

ALL COMPENSATION WENT TO BROKER DEALER.

2012-03-19

$62,500.00

$0.00

2012-03-05

$10,000.00

$0.00

ALL COMPENSATION WENT TO BROKER DEALER.

2010-12-13