Form D · Venture Capital Fund
AEI Sezmi Investments IV, LLC
Chicago, IL · CIK 0001488776
Offering snapshot reported Sep 13, 2010 · SEC filing
- Reported sold
- $1.62M Indefinite offering
- Investors reported
- 22 Form D · investor count
- Minimum accepted
- $106K Reported outside-investor minimum
- First sale
- Mar 26, 2010 As reported in this filing
Fundraising history
Reported soldDates are filing dates, not cash receipt dates. Decreases are reported revisions, not evidence of withdrawals. Separate offering histories are not added together.
What changed?
Latest filing versus its linked predecessor, where available.
- Reported sold$1,036,000 → $1,624,000
- Reported investors13 → 22
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Sep 13, 2010 | Amendment | $1,624,000 | $588,000vs Aug 9, 2010 | 22 | SEC filing |
| Aug 9, 2010 | Amendment | $1,036,000 | $315,000vs May 12, 2010 | 13 | SEC filing |
| May 12, 2010 | Amendment | $721,000 | $33,000vs Apr 28, 2010 | 9 | SEC filing |
| Apr 28, 2010 | Amendment | $688,000 | $425,000vs Apr 9, 2010 | 8 | SEC filing |
| Apr 9, 2010 | Initial | $263,000 | No comparison | 3 | SEC filing |
Offering details
- Securities
- Equity, Pooled investment fund
- Exemptions
- 06
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $91.9K
- Finders' fees
- $0
- Form D file number
- 021-140353
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Dudley Probert | 1466335 | First Allied Securities Inc. · CRD 32444 |
| William Pederson | 2586686 | Advanced Equities Inc. · CRD 35545 |
| Tom Tang | 5518409 | Advanced Equities Inc. · CRD 35545 |
| Eric Richardson | 3182616 | Advanced Equities Inc. · CRD 35545 |
| James Duncan | 1781313 | Advanced Equities Inc. · CRD 35545 |
| Kevin Graetz | 1935982 | Advanced Equities Inc. · CRD 35545 |
| Joe Hede | 2389098 | Advanced Equities Inc. · CRD 35545 |
| William Metz | 808295 | Advanced Equities Inc. · CRD 35545 |
| Ryan Metz | 5609347 | Advanced Equities Inc. · CRD 35545 |
| Staci Scharadin | 3202644 | First Allied Securities · CRD 32444 |
| Scott Kyle | 2703722 | Advanced Equities Inc. · CRD 35545 |
| Gary Saccaro | 1806863 | Advanced Equities Inc. · CRD 35545 |
| Jordan Berlin | 821934 | Advanced Equities Inc. · CRD 35545 |
| Michael Anton | 5520781 | Advanced Equities Inc. · CRD 35545 |
| Patrick Thurman | 825773 | First Allied Securities Inc. · CRD 32444 |
| Wesley Gordon | 5000607 | Advanced Equities Inc. · CRD 35545 |
Source: Form D, filed Sep 13, 2010. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| N/A Advanced Equities Sezmi Management Corp. | Director |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Chicago, IL, 60606