Form D · Investment Banking
CAIN BROTHERS & CO INC
New York, NY · CIK 0001377070
Offering snapshot reported Oct 13, 2011 · SEC filing
- Reported sold
- $1.42M Offering amount: $2.15M
- Investors reported
- 15 Form D · investor count
- Minimum accepted
- $50K Reported outside-investor minimum
- First sale
- Sep 30, 2011 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Oct 13, 2011 | Initial | $1,424,797 | No comparison | 15 | SEC filing |
| Nov 17, 2008 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Jul 14, 2006 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Equity, Option to acquire, Security to be acquired
- Exemptions
- 06
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $0
- Finders' fees
- $0
- Form D file number
- 021-167162
Source: Form D, filed Oct 13, 2011. 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 |
|---|---|
| Carsten Beith | Director |
| Daniel M. Cain | Director |
| James E. Cain | Director |
| Robert, Jr. J. Fraiman | Director, Executive |
| James M. Moloney | Director |
| Scott D. Smith | Director |
| Rhett D. Thurman | Director, Executive |
Issuer details
Industry: Investment Banking (See others in industry)
Address:
360 Madison Ave 5 Th Fl
New York, NY, 10017
New York, NY, 10017