Form D · Commercial Banking

Carpenter New York Development, LLC

Irvine, CA · CIK 0001686169

Offering snapshot reported Feb 7, 2018 · SEC filing

Reported sold
$15M
Offering amount: $15M
Investors reported
30
Form D · investor count
Minimum accepted
$250K
Reported outside-investor minimum
First sale
Dec 12, 2016
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$7.5M$15MDec 20, 2016: $3,000,000.00Dec 20, 2016Dec 19, 2017: $11,485,000.00Feb 7, 2018: $15,000,000.00Feb 7, 2018

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$11,485,000 → $15,000,000
  • Reported investors25 → 30

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Feb 7, 2018Amendment$15,000,000$3,515,000vs Dec 19, 201730SEC filing
Dec 19, 2017Amendment$11,485,000$8,485,000vs Dec 20, 201625SEC filing
Dec 20, 2016Initial$3,000,000No comparison5SEC filing

Offering details

Securities
Equity, Option to acquire
Exemptions
06b
Duration over one year
No
Business combination
No
Sales commissions
$750K
Finders' fees
$0
Form D file number
021-276672
Warrant coverage equal to a percentage of all shares issued in the offering.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Seapower Carpenter Capital, Inc.38329Seapower Carpenter Capital, Inc. · CRD 38329

Source: Form D, filed Feb 7, 2018. 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
Edward J. Carpenter Executive, Promoter
Manager Ccfw, Inc. Executive
John D. Flemming Executive, Promoter
Arthur A. Hidalgo Executive, Promoter
James B. Jones Executive, Promoter

Issuer details

Industry: Commercial Banking (See others in industry)

Address:
C/O Carpenter & Company 2 Park Plaza, Suite 550
Irvine, CA, 92614