Form D · Other Banking and Financial Services
ES Bancshares, Inc.
Newburgh, NY · CIK 0001358254
Offering snapshot reported Nov 3, 2020 · SEC filing
- Reported sold
- $14M Offering amount: $14M
- Investors reported
- 14 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Oct 28, 2020 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 3, 2020 | Initial | $14,000,000 | No comparison | 14 | SEC filing |
| Oct 28, 2019 | Initial | $10,489,984 | No comparison | 14 | SEC filing |
| Jan 3, 2019 | Initial | $1,325,777 | No comparison | 6 | SEC filing |
| Dec 29, 2017 | Initial | $2,732,504 | No comparison | 53 | SEC filing |
| Jan 13, 2014 | Amendment | $2,000,000 | $905,000vs Apr 26, 2013 | 28 | SEC filing |
| Apr 26, 2013 | Initial | $1,095,000 | No comparison | 13 | SEC filing |
| Jan 12, 2010 | Initial | $1,076,608 | No comparison | 12 | SEC filing |
Offering details
- Securities
- Debt
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $280K
- Finders' fees
- $0
- Form D file number
- 021-379586
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Raymond James & Associates, Inc. | 705 | |
| FinPro Capital Advisors, Inc. | 157816 |
Source: Form D, filed Nov 3, 2020. 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 |
|---|---|
| Penda Aiken | Director |
| Anthony P. Costa | Director, Executive |
| Walter Daszkowski | Director |
| William W. Davenport | Director |
| Peter B. Ferrante | Director |
| Andrew Finkelstein | Director |
| Andrew G. Finklestein | Director |
| Gale Foster | Director |
| David Freer, Jr. | Director |
| Branca Gatto | Executive |
| Philip Guarnieri | Director, Executive |
| Harold L. Kahn | Director |
| Joseph Macchia | Executive |
| Michael Menicucci | Director |
| David N. Mesches | Director |
| David Mesches, M.D. | Director |
| Emil Mian | Executive |
| Michael O'brien | Director |
| Michael Ostrow | Director |
| Albert Pagano | Director |
| Peter Savago | Director |
| Thomas Sperzel | Director, Executive |
| Thomas Weddell | Director |
| Kelly Zhong | Director |
Issuer details
Industry: Other Banking and Financial Services (See others in industry)
Address:
68 North Plank Road
Newburgh, NY, 12550
Newburgh, NY, 12550