Form D · Other Banking and Financial Services
NYPPEX HOLDINGS, LLC
Rye Brook, NY · CIK 0001300785
Offering snapshot reported Sep 29, 2010 · SEC filing
- Reported sold
- $513K Indefinite offering
- Investors reported
- 10 Form D · investor count
- Minimum accepted
- $12.5K Reported outside-investor minimum
- First sale
- Sep 27, 2010 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 |
|---|---|---|---|---|---|
| Sep 29, 2010 | Initial | $513,000 | No comparison | 10 | SEC filing |
| Apr 6, 2010 | Initial | $501,000 | No comparison | 10 | SEC filing |
| Apr 5, 2010 | Initial | $313,948 | No comparison | 8 | SEC filing |
| May 5, 2009 | Initial | $992,414 | No comparison | Not reported | SEC filing |
| Jun 30, 2008 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Mar 27, 2006 | Paper | Not reported | No comparison | Not reported |
Offering details
- Securities
- Equity
- Exemptions
- 06
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $51.3K (estimated)
- Finders' fees
- $0
- Form D file number
- 021-148308
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| NYPPEX, LLC | 47654 | NYPPEX, LLC · CRD 47654 |
Source: Form D, filed Sep 29, 2010. 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 |
|---|---|
| Laurence G. Allen | Executive |
| Dexter B. Blake Iii | Executive |
| Craig K. Blitz | Executive |
| John J. De Martino | Executive |
| Kevin T. Duffy, Jr. | Executive |
| Reinhardt J. Lange | Executive |
| Michael J. Portera | Executive |
| Michael J. Schunk | Executive |
| Allan P. Shenoy | Executive |
Issuer details
Industry: Other Banking and Financial Services (See others in industry)
Address:
800 Westchester Avenue
Rye Brook, NY, 10573
Rye Brook, NY, 10573