Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
SPARRING PARTNERS CAPITAL LLC
133780
DANA MARIE SAMUELS
6179115
SPARRING PARTNERS CAPITAL LLC
133780
DANA M. SAMUELS
6179115
SPARRING PARTNERS CAPITAL LLC
133780
DANA M. SAMUELS
6179115
Companies
Company Name
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D/A
$20,000,000.00
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.
D/A
$20,000,000.00
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.
D/A
$20,000,000.00
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.
D/A
$20,000,000.00
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.
D/A
$20,000,000.00
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.
D/A
$20,000,000.00
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.
D/A
$20,000,000.00
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.
D/A
$20,000,000.00
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.
D/A
$20,000,000.00
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.
D/A
$20,000,000.00
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.
D/A
$20,000,000.00
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.
D/A
$20,000,000.00
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.
D/A
$20,000,000.00
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.
D/A
$20,000,000.00
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.
D/A
$20,000,000.00
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.
D/A
$20,000,000.00
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.
D/A
$20,000,000.00
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.
D/A
$20,000,000.00
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.
D/A
$20,000,000.00
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.
D/A
$180,000.00
Yes
$0.00
No
A PERCENTAGE OF THE PROCEEDS WERE PAID TO SPARRING
PARTNERS CAPITAL LLC AND AFFILIATES.
D/A
$1,500,000.00
Yes
$0.00
No
THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE IN THE NEXT 12 MONTHS.
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.
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.
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.
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.
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.
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.
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.
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.
