Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

TRANSPACIFIC GROUP LLC
143869
SIMON PAUL DUNN
5875393
TRANSPACIFIC GROUP (ASIA) LTD.
NONE
SIMON PAUL DUNN
5875393
TRANSPACIFIC GROUP LLC
143869
SIMON DUNN
5875393
TRANSPACIFIC GROUP (ASIA) LTD.
NONE
SIMON DUNN
5875393
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2017-07-17
D
$12,000,000.00
Yes
$0.00
No
THE COMMISSION ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR THE ISSUER-S PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.
2017-07-17
D
$12,000,000.00
Yes
$0.00
No
THE COMMISSION ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR THE ISSUER-S PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.
2017-07-17
D
$12,000,000.00
No
$0.00
No
THE COMMISSION ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR THE ISSUER-S PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.
2015-06-19
D/A
$6,000,000.00
Yes
$0.00
Yes
2015-06-08
D/A
$6,000,000.00
Yes
$0.00
Yes
2015-05-08
D
$7,500,000.00
Yes
$0.00
No
THE COMMISSION ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR THE ISSUER-S PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.
2015-05-08
D
$7,500,000.00
Yes
$0.00
No
THE COMMISSION ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR THE ISSUER-S PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.
2015-05-08
D
$7,500,000.00
No
$0.00
No
THE COMMISSION ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR THE ISSUER-S PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.
2015-02-17
D/A
$6,000,000.00
Yes
$0.00
Yes
2015-01-07
D
$10,000,000.00
Yes
$0.00
No
THE COMMISSION ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR THE ISSUER-S PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.
2015-01-07
D
$10,000,000.00
Yes
$0.00
No
THE COMMISSION ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR THE ISSUER-S PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.