Form D · Oil and Gas
UNDERGROUND ENERGY, INC.
Santa Barbara, CA · CIK 0001526382
Offering snapshot reported Jul 21, 2011 · SEC filing
- Reported sold
- $25.5M Offering amount: $25.5M
- Investors reported
- 8 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Jul 5, 2011 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 21, 2011 | Initial | $25,499,300 | No comparison | 8 | SEC filing |
Offering details
- Securities
- Equity, Option to acquire
- Exemptions
- 06
- Duration over one year
- No
- Business combination
- Yes
- Sales commissions
- $1.53M
- Finders' fees
- $0
- Form D file number
- 021-163278
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| RAYMOND JAMES LTD. | None | RAYMOND JAMES (USA) LTD. · CRD 25853 |
| HAYWOOD SECURITIES INC. | None | HAYWOOD (USA) SECURITIES INC. · CRD 42072 |
| STIFEL NICOLAUS CANADA LTD | None |
Source: Form D, filed Jul 21, 2011. 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 |
|---|---|
| Randolph Aldridge | Director |
| Peter M Ballachey | Executive |
| Harland Johnson | Director |
| Michael Kobler | Director, Executive |
| Andrew Squires | Director |
| Douglas Urch | Director |
Issuer details
Industry: Oil and Gas (See others in industry)
Address:
7 West Figueroa Street Third Floor
Santa Barbara, CA, 93101
Santa Barbara, CA, 93101