Form Ds provide information on individual, unregistered securities offerings.
Search by Recipient Name or Primary Issuer:
| Recipient | CRD | Primary Issuer | CIK | Filing Date | Form Type | Total Offering Amount | Total Amount Sold |
|---|---|---|---|---|---|---|---|
| UBS SECURITIES LLC | 7654 | Pacific Brands Ltd | 1288893 | 05/26/2009 | D | $24,424,363 | $24,424,363 |
| UBS SECURITIES LLC | 7654 | Silverleaf Finance X, LLC | 1521063 | 05/19/2011 | D | $23,786,000 | $23,786,000 |
| UBS SECURITIES LLC | 7654 | CV OW Opportunity Zone Fund, LP | 1793113 | 11/12/2020 | D | Indefinite | $23,354,494 |
| UBS SECURITIES LLC | 7654 | CIVC PARTNERS FUND IV-A, L.P. | 1435278 | 02/24/2010 | D/A | $325,945,030 | $23,196,781 |
| UBS SECURITIES LLC | 7654 | BORAL LTD /FI | 1113696 | 07/28/2010 | D | $22,398,576 | $22,398,576 |
| UBS SECURITIES LLC | 7654 | Eos Energy Storage LLC | 1468658 | 10/27/2016 | D | $55,000,000 | $22,228,503 |
| UBS SECURITIES LLC | 7654 | Progreso Financiero Holdings, Inc. | 1538716 | 07/03/2012 | D | $36,000,000 | $20,786,897 |
| UBS SECURITIES LLC | 7654 | Applied Therapeutics Inc. | 1697532 | 11/21/2019 | D | $20,014,988 | $20,014,988 |
| UBS SECURITIES LLC | 7654 | IVANHOE AUSTRALIA LTD | 1443506 | 09/01/2010 | D | $19,326,836 | $19,326,836 |
| UBS SECURITIES LLC | 7654 | Progreso Financiero Holdings, Inc. | 1538716 | 01/09/2012 | D | $40,000,000 | $18,399,995 |