Form D · Investment Banking

CSA Biotechnology Fund II, LLC

Birmingham, AL · CIK 0001477399

Offering snapshot reported Nov 24, 2009 · SEC filing

Reported sold: $8.55M
Investors reported: 58
Minimum accepted: $25K
First sale: Feb 28, 2008

Fundraising history

Reported sold

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$0 → $8,550,000

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Nov 24, 2009	Amendment	$8,550,000	$8,550,000vs Jan 2, 2008	58	SEC filing
Jan 2, 2008	Initial	$0	No comparison	Not reported	SEC filing

Offering details

Securities: Not reported
Exemptions: 06
Duration over one year: No
Business combination: No

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-136347

This offering is closed. 263 units sold in Alabama, 10 units in California, 8 units in Georgia, 2 units in Mississippi, 4 units in Nevada, 17 units in Tennessee, 5 units in Texas, 5 units in Virginia, 8 units in Virgin Islands, 20 units in Wisconsin.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Brookline Investments, Inc.	None	Sterne Agee & Leach, Inc. · CRD 791

Source: Form D, filed Nov 24, 2009. Minimum accepted may differ from a standard advertised minimum.

Fund connections

The linked fund shows its most recently reported ADV details.

Matched by reported Form D file number

CSA BIOTECHNOLOGY FUND II, LLC

Investment adviser: BROOKLINE INVESTMENTS, INC.

Gross asset value: $238K
Beneficial owners: 59
ADV minimum commitment: $125K

Reported in Form ADV on Feb 22, 2024. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Auditor DIPIAZZA LAROCCA HEETER & CO., LLC MOUNTAIN BROOK, Alabama, United States

Custodian SERVISFIRST BANK BIRMINGHAM, Alabama, United States Related to adviser: No

Custodian STIFEL, NICOLAUS & COMPANY, INCORPORATED BIRMINGHAM, Alabama, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: No
External marketing: No

DIPIAZZA LAROCCA HEETER & CO., LLC
PCAOB 5903

STIFEL, NICOLAUS & COMPANY, INCORPORATED
SEC 8-1447

Filing source

Form ADV 1831354 · Feb 22, 2024 · Schedule D 7.B.(1), fund 805-6800314319

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

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
Name	Reported role
Hollis Gieger	Executive
Madding King Iii	Executive
J. Rainer Twiford	Executive
J. Rainer Twiford	Executive

Issuer details

Industry: Investment Banking (See others in industry)

Address:

2501 Twentieth Place South Suite 275
Birmingham, AL, 35223