Form D · Other Investment Fund
US CAPITAL GLOBAL CARDAX PREFERRED LLC
Lewes, DE · CIK 0001838333
Offering snapshot reported Dec 30, 2020 · SEC filing
- Reported sold
- $25K Offering amount: $10M
- Investors reported
- 1 Form D · investor count
- Minimum accepted
- $25K Reported outside-investor minimum
- First sale
- Dec 22, 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 |
|---|---|---|---|---|---|
| Dec 30, 2020 | Initial | $25,000 | No comparison | 1 | SEC filing |
Offering details
- Securities
- Pooled investment fund
- Exemptions
- 06c, 3C, 3C.1
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $0
- Finders' fees
- $0
- Form D file number
- 021-384859
Placement agent fees of 8% cash and 7% Warrants paid by the company
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| US Capital Global Securities LLC | 169544 |
Source: Form D, filed Dec 30, 2020. Minimum accepted may differ from a standard advertised minimum.
Fund connections
The linked fund shows its most recently reported ADV details.
Matched by reported Form D file number
US CAPITAL GLOBAL CARDAX PREFERRED, LLC
Investment adviser: US CAPITAL GLOBAL INVESTMENT MANAGEMENT LLC
- Gross asset value
- $50K
- Beneficial owners
- 2
- ADV minimum commitment
- $25K
Reported in Form ADV on Mar 30, 2021. Fund assets and beneficial owners measure different things from Form D sales and investors.
Service providers
No provider names available in this fund's imported disclosure.
Provider details
- Annual audit
- No
- Prime brokers
- No
- Custodians
- No
- Administrator other than the adviser
- No
- External marketing
- No
Filing source
Form ADV 1523928 · Mar 30, 2021 · Schedule D 7.B.(1), fund 805-8934028040
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
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 |
|---|---|
| Jeffrey Sweeney | Director, Executive |
| Charles Towle | Director, Executive, Promoter |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Lewes, DE, 19958