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 FINANCIAL SERVICES INC. | 8174 | NATIONWIDE PRIVATE PLACEMENT VARIABLE ACCOUNT | 1135856 | 04/02/2012 | D/A | $8,019,019 | $5,090,644 |
| UBS FINANCIAL SERVICES INC. | 8174 | NB Crossroads 2010 Fund - A Asset Allocation LP | 1490901 | 06/10/2010 | D/A | $1,000,000,000 | $5,000,000 |
| UBS FINANCIAL SERVICES INC. | 8174 | NB Crossroads 2010 Fund - Institutional Asset Allocation LP | 1496180 | 07/08/2010 | D | $1,000,000,000 | $5,000,000 |
| UBS FINANCIAL SERVICES INC. | 8174 | Lombard International Life Assurance Co Separate Account VA107 | 1580565 | 04/19/2022 | D/A | Indefinite | $5,000,000 |
| UBS FINANCIAL SERVICES INC. | 8174 | KKR North America Fund XIII Private Investors (Electing) L.P. | 1854219 | 02/08/2022 | D/A | Indefinite | $5,000,000 |