Form D · Other Banking and Financial Services
Northern Plains 1, LLC
Mahwah, NJ · CIK 0001582066
Offering snapshot reported Jul 29, 2013 · SEC filing
- Reported sold
- $400K Offering amount: $5M
- Investors reported
- 2 Form D · investor count
- Minimum accepted
- $50K Reported outside-investor minimum
- First sale
- Jul 2, 2013 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 |
|---|---|---|---|---|---|
| Jul 29, 2013 | Initial | $400,000 | No comparison | 2 | SEC filing |
Offering details
- Securities
- Equity
- Exemptions
- 06
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $0
- Finders' fees
- $0
- Form D file number
- 021-200412
79 Capital Securities, LLC is entitled to a fee on a quarterly basis equal to the product of 5.0% per annum and the aggregate outstanding amount of the Loans. No fees have been paid as of the date hereof.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Jonathan Kane | 145511 | 79 Capital Securities, LLC · CRD 2270230 |
Source: Form D, filed Jul 29, 2013. 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 |
|---|---|
| N/A Arb Risk Management, Llc | Executive, Promoter |
| Stanley Chao | Executive |
Issuer details
Industry: Other Banking and Financial Services (See others in industry)
Address:
C/O Arb Risk Management, Llc One Lethbridge Plaza, Suite 10
Mahwah, NJ, 07430
Mahwah, NJ, 07430