Form D · Investing
Earthstone Investors IV, LP
Los Angeles, CA · CIK 0001467046
Offering snapshot reported Nov 12, 2009 · SEC filing
- Reported sold
- $660K Offering amount: $660K
- Investors reported
- 2 Form D · investor count
- Minimum accepted
- $60K Reported outside-investor minimum
- First sale
- Jan 8, 2008 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 |
|---|---|---|---|---|---|
| Nov 12, 2009 | Initial | $660,000 | No comparison | 2 | SEC filing |
Offering details
- Securities
- Not reported
- Exemptions
- 06, 3C, 3C.1
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $9.9K
- Finders' fees
- $0
- Form D file number
- 021-136016
This commission was paid to a broker which is related to the issuer. See Item 12.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Triton Pacific Securities, LLC | 139919 |
Source: Form D, filed Nov 12, 2009. 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 |
|---|---|
| Michael L. Carroll | Executive |
| Craig J. Faggen | Executive |
| Ivan None Faggen | Executive |
| None None Tpcp Investment Xix, Llc | Director, Executive |
| None None Triton Pacific Capital Partners, Llc | Promoter |
Issuer details
Industry: Investing (See others in industry)
Address:
10877 Wilshire Blvd 12 Th Floor
Los Angeles, CA, 90024
Los Angeles, CA, 90024