Form D · Other Technology

AS GROUP #3 LP

Bangor, ME · CIK 0001352645

Offering snapshot reported Mar 18, 2010 · SEC filing

Reported sold
$5.7M
Offering amount: $8.77M
Investors reported
205
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Jan 18, 2006
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$2.85M$5.7MMay 19, 2009: $4,845,819.00May 19, 2009Mar 18, 2010: $5,702,270.00Mar 18, 2010

Dates 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$4,845,819 → $5,702,270

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Mar 18, 2010Amendment$5,702,270$856,451vs May 19, 2009205SEC filing
May 19, 2009Amendment$4,845,819No comparisonNot reportedSEC filing
Feb 2, 2006PaperNot reportedNo comparisonNot reportedSEC filing

Offering details

Securities
Not reported
Exemptions
06, 46
Duration over one year
Yes
Business combination
No
Sales commissions
$841K (estimated)
Finders' fees
$0
Form D file number
021-85995
Sales commission are (i) actual to date plus (ii) 10.2% of remaining offering size. Issuer reserves right to make some sales by finders in lieu of broker-dealer, at a lesser percentage compensation.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Commonwealth Financial Network8032Richard W. Preston · CRD 2396186

Source: Form D, filed Mar 18, 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.

People and organizations reported in Form D filings
NameReported role
Thatcher M. Adams, Jr. Executive, Promoter
John Hochstein Director, Executive
Scott Johnson Director, Executive
Douglas E. Kozlay Director, Executive
Alan Kozlay Director
James Mc Leod Director
Richard Prout Director
Andrew Sherman Director
Clark Sigsbee Director

Issuer details

Industry: Other Technology (See others in industry)

Address:
26 Columbia Street
Bangor, ME, 04401