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 | 08/29/2011 | D/A | $10,935,180 | $5,855,015 |
| UBS FINANCIAL SERVICES INC. | 8174 | Beldore Capital Fund LLC | 1404013 | 11/08/2018 | D/A | Indefinite | $5,818,932 |
| UBS FINANCIAL SERVICES INC. | 8174 | Beldore Capital Fund LLC | 1404013 | 11/08/2019 | D/A | Indefinite | $5,818,932 |
| UBS FINANCIAL SERVICES INC. | 8174 | Beldore Capital Fund LLC | 1404013 | 11/13/2020 | D/A | Indefinite | $5,818,932 |
| UBS FINANCIAL SERVICES INC. | 8174 | Beldore Capital Fund LLC | 1404013 | 11/18/2021 | D/A | Indefinite | $5,818,932 |
| UBS FINANCIAL SERVICES INC. | 8174 | DFP SLV, L.P. | 1487129 | 03/24/2010 | D | Indefinite | $5,536,532 |
| UBS FINANCIAL SERVICES INC. | 8174 | DFP SLV, L.P. | 1487129 | 12/05/2011 | D/A | $5,536,532 | $5,536,532 |
| UBS FINANCIAL SERVICES INC. | 8174 | Robertson Opportunity Master LP | 1405016 | 02/26/2019 | D/A | Indefinite | $5,400,000 |
| UBS FINANCIAL SERVICES INC. | 8174 | Robertson Opportunity Master LP | 1405016 | 02/25/2020 | D/A | Indefinite | $5,400,000 |
| UBS FINANCIAL SERVICES INC. | 8174 | Robertson Opportunity Master LP | 1405016 | 02/23/2021 | D/A | Indefinite | $5,400,000 |