Form D · Other
RUBICON LTD
Auckland, Q2 · CIK 0001287873
Offering snapshot reported Jul 20, 2012 · SEC filing
- Reported sold
- $15.7M Offering amount: $15.7M
- Investors reported
- 1,772 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Jul 6, 2012 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 20, 2012 | Initial | $15,700,000 | No comparison | 1,772 | SEC filing |
| Apr 13, 2010 | Initial | $14,700,000 | No comparison | 3,076 | SEC filing |
Offering details
- Securities
- Equity
- Exemptions
- 06
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $397K
- Finders' fees
- $0
- Form D file number
- 021-181573
NZ$20.9 million of securities were offered, which equates to approx. US$15.7 million at the NZ$:US$ exchange rate of 0.7514 used for this offer. Only US$61,000 of this amount represents purchases by accredited investors in the U.S. pusuant to Rule 506.
A sales commission comprising NZ$225,000 and US$228,000 is estimated to be paid, which equates to a total of approximately US$397,065 at the NZ$:US$ exchange rate of 0.7514 used for the offer. This sales commission represents approx. 2.5% of the offering.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| First NZ Capital Securities Limited | None |
Source: Form D, filed Jul 20, 2012. 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 |
|---|---|
| Hugh Alasdair Fletcher | Director |
| William Albert Hasler | Director |
| George Karaplis | Director |
| Stephen Garfield Kasnet | Director |
| David Mabon Knott | Director |
| Simon Luke Moriarty | Director, Executive |
Issuer details
Industry: Other (See others in industry)
Address:
Level 3 7 9 Fanshawe Street
Auckland, Q2, 1145
Auckland, Q2, 1145