1 | Form D Search Regulatory Filings - Littlebanc | |||||||||
|---|---|---|---|---|---|---|---|---|---|---|
2 | Name | Date Filed | Industry | Amount Sold * | Total Amount Sold | Form | Security Types | Related People | Location | Entity Type |
3 | LB-Alpha LLC | 1/14/2022 | Investing | $4,100,000 | $4,100,000 | D | Equity | Michael Margolies | Naples, FL | Limited Liability Company |
4 | AlphaTrAI Funds, Inc. | 01-11-2022 | Other Technology | $3,849,998 | $3,849,998 | D | Equity | Bruce Lavine, Andreas Roell, Michael Margolies | Tiburon, CA | Corporation |
5 | UNHEDGED, INC. | 11/17/2021 | Other Technology | $1,124,978 | $5,529,722 | D/A | Equity, Option to Acquire, Security to be Acquired | CHRISTOPHER SOMMERS, JAMES BILLINGER, MICHAEL MARGOLIES | Hays, KS | Corporation |
6 | LB-Insight LLC | 9/17/2021 | Investment Banking | $720,000 | $720,000 | D | Equity | Michael Margolies | Naples, FL | Limited Liability Company |
7 | LB-Unhedged LLC | 3/29/2021 | Private Equity Fund | $2,135,000 | $2,135,000 | D | Pooled Investment Fund | Michael Margolies | Delray Beach, FL | Limited Liability Company |
8 | UNHEDGED, INC. | 3/24/2021 | Other Technology | $4,404,744 | $4,404,744 | D | Equity, Option to Acquire, Security to be Acquired | CHRISTOPHER SOMMERS, JAMES BILLINGER, MICHAEL MARGOLIES | Hays, KS | Corporation |
9 | LB-Arca Investors LLC | 5/15/2020 | Other | $2,100,000 | $2,100,000 | D | Equity | Michael Margolies | Delray Beach, FL | Limited Liability Company |
10 | PF MANAGEMENT SERVICES, LLC | 10/24/2019 | Other | $500,000 | $1,600,000 | D/A | Debt, Other | Dennis L. Smith, Michael Margolies, David DeCarlo | Naples, FL | Limited Liability Company |
11 | PF MANAGEMENT SERVICES, LLC | 3/21/2019 | Other | $1,100,000 | $1,100,000 | D | Debt, Other | Dennis L. Smith, Michael Margolies, David DeCarlo | Naples, FL | Limited Liability Company |
12 | LB Merchant HC-6, LLC | 2/25/2019 | Investing | $1,125,000 | $1,125,000 | D | Equity | Michael Margolies, Ian Beadle | Delray Beach, FL | Limited Liability Company |
13 | HICONVERSION, INC. | 12/19/2017 | Other Technology | $3,525,457 | $3,525,457 | D | Equity, Option to Acquire | ZIJAD AGANOVIC, TRAVER GRUEN-KENNEDY, JEREMY S OFFICE, DAVID HENRICKSON, MICHAEL MARGOLIES | Boca Raton, FL | Corporation |
14 | LB Merchant HC-5, LLC | 12/14/2017 | Investing | $1,560,457 | $1,560,457 | D | Equity | Michael Margolies, Ian Beadle | Delray Beach, FL | Limited Liability Company |
15 | Journey Fund I, LP | 10-10-2017 | Private Equity Fund | $0 | $19,175,000 | D/A | Equity | Michael Margolies | Delray Beach, FL | Limited Partnership |
16 | LB Merchant AA-4, LLC | 9/19/2017 | Investing | $1,500,000 | $1,500,000 | D | Equity | Michael Margolies, Ian Beadle | Delray Beach, FL | Limited Liability Company |
17 | Adams Arms, LLC | 9/14/2017 | Manufacturing | $1,475,000 | $1,475,000 | D | Equity | Paul Miller, James Granger, Ian Beadle, Michael Margolies | Odessa, FL | Limited Liability Company |
18 | LB Merchant AA-3, LLC | 3/20/2017 | Investing | $2,575,000 | $2,575,000 | D | Equity | Michael Margolies, Ian Beadle | Delray Beach, FL | Limited Liability Company |
19 | Adams Arms, LLC | 3/17/2017 | Manufacturing | $2,550,000 | $2,550,000 | D | Equity | Paul Miller, James Granger, Ian Beadle, Michael Margolies | Odessa, FL | Limited Liability Company |
20 | LB Merchant AA-2, LLC | 10/19/2016 | Investing | $2,000,000 | $3,525,000 | D/A | Equity | Michael Margolies, Ian Beadle | Delray Beach, FL | Limited Liability Company |
21 | Journey Fund I, LP | 10-04-2016 | Private Equity Fund | $19,175,000 | $19,175,000 | D | Equity | Michael Margolies | Delray Beach, FL | Limited Partnership |
22 | LB Merchant HC-4, LLC | 09-12-2016 | Investing | $903,886 | $903,886 | D | Equity | Michael Margolies, Ian Beadle | Delray Beach, FL | Limited Liability Company |
23 | Adams Arms, LLC | 05-02-2016 | Manufacturing | $6,523,369 | $6,523,369 | D | Equity, Option to Acquire | Michael K Froning, James Granger, Darrell Smith, Raymond E Purcell, Michael Starcher, Michael Margolies | Odessa, FL | Limited Liability Company |
24 | LB Merchant AA-2, LLC | 4/28/2016 | Investing | $1,525,000 | $1,525,000 | D | Equity | Michael Margolies, Ian Beadle | Delray Beach, FL | Limited Liability Company |
25 | LB Merchant PSMH-4, LLC | 4/14/2016 | Investing | $535,000 | $535,000 | D | Equity | Michael Margolies, Ian Beadle | Delray Beach, FL | Limited Liability Company |
26 | PSM HOLDINGS INC | 2/25/2016 | Other Banking & Financial Services | $350,000 | $350,000 | D | Equity, Option to Acquire, Security to be Acquired, Other | Kevin Gadawski, Michael Margolies, James Miller | Edmond, OK | Corporation |
27 | PSM HOLDINGS INC | 02-09-2016 | Other Banking & Financial Services | $250,000 | $250,000 | D | Debt, Option to Acquire, Security to be Acquired, Other | Kevin Gadawski, James Miller, Michael Margolies | Edmond, OK | Corporation |
28 | PSM HOLDINGS INC | 02-04-2016 | Other Banking & Financial Services | $250,000 | $250,000 | D | Option to Acquire, Security to be Acquired, Other | Kevin Gadawski, James Miller, Michael Margolies | Edmond, OK | Corporation |
29 | HICONVERSION, INC. | 11-10-2015 | Other Technology | $280,000 | $280,000 | D | Debt, Option to Acquire, Security to be Acquired | ZIJAD AGANOVIC, TRAVER GRUEN-KENNEDY, JEREMY OFFICE, DAVID HENRICKSON, MICHAEL MARGOLIES | Boca Raton, FL | Corporation |
30 | PF MANAGEMENT SERVICES, LLC | 10/23/2015 | Other | $7,311,862 | $7,311,862 | D | Equity | BARRY BEDFORD, TROY CENTAZZO, MICHAEL MARGOLIES, ROBYN GARCIA | Indianapolis, IN | Limited Liability Company |
31 | LB Merchant PFMG-2, LLC | 10-08-2015 | Investing | $4,475,000 | $4,475,000 | D | Equity | Michael Margolies, Kevin Gadawski | Delray Beach, FL | Limited Liability Company |
32 | LB Merchant PSMH-3, LLC | 12-04-2014 | Investing | $612,500 | $612,500 | D | Equity | Michael Margolies, Kevin Gadawski | Delray Beach, FL | Limited Liability Company |
33 | HICONVERSION, INC. | 09-02-2014 | Other Technology | $0 | $0 | D | Equity | ZIJAD AGANOVIC, TRAVER GRUEN-KENNEDY, JEREMY OFFICE, MICHAEL MARGOLIES | Boca Raton, FL | Corporation |
34 | Powers Medical Devices, LLC | 7/29/2014 | Other Health Care | $350,000 | $350,000 | D | Equity | Patricia D. Palmer, Michael Margolies, Kevin Gadawski, Marc Mazer | Delray Beach, FL | Limited Liability Company |
35 | LB MERCHANT PDT-2, LLC | 7/14/2014 | Other | $150,000 | $150,000 | D | Equity | MICHAEL MARGOLIES | Delray Beach, FL | Limited Liability Company |
36 | LB Merchant PSMH-2, LLC | 04-09-2014 | Investing | $1,800,000 | $1,800,000 | D | Equity | Michael Margolies, Kevin Gadawski | Delray Beach, FL | Limited Liability Company |
37 | PSM HOLDINGS INC | 04-09-2014 | Other | $3,200,000 | $3,200,000 | D | Equity, Option to Acquire, Security to be Acquired, Other | Kevin Gadawski, Jeffrey R. Smith, Michael Margolies, James Miller | Oklahoma City, OK | Corporation |
38 | PSM HOLDINGS INC | 2/28/2014 | Other | $385,000 | $385,000 | D | Debt, Other | Kevin Gadawski, Jeffey R. Smith, Michael Margolies, Jim MIller | Oklahoma City, OK | Corporation |
39 | LB Merchant HC-3, LLC | 02-11-2014 | Investing | $2,650,000 | $2,650,000 | D | Equity | Michael Margolies | Delray Beach, FL | Limited Liability Company |
40 | HICONVERSION, INC. | 02-07-2014 | Other Technology | $2,625,000 | $2,625,000 | D | Debt | Zijad Aganovic, TRAVER GRUEN-KENNEDY, JEREMY S OFFICE, MICHAEL MARGOLIES | Boca Raton, FL | Corporation |
41 | PF MANAGEMENT SERVICES, LLC | 11/29/2013 | Other | $2,500,000 | $2,500,000 | D | Debt | BARRY BEDFORD, TROY CENTAZZO, MICHAEL MARGOLIES | Indianapolis, IN | Limited Liability Company |
42 | LB Merchant PFMG, LLC | 11/25/2013 | Investing | $2,525,000 | $2,525,000 | D | Pooled Investment Fund | Michael Margolies, Kevin Gadawski | Delray Beach, FL | Limited Liability Company |
43 | LB Merchant PSMH-1, LLC | 2/14/2013 | Investing | $3,750,000 | $3,750,000 | D | Equity, Pooled Investment Fund | Michael Margolies, E. Harold Gassenheimer | Boca Raton, FL | Limited Liability Company |
44 | PSM HOLDINGS INC | 02-07-2013 | Other | $5,700,000 | $5,700,000 | D | Equity, Option to Acquire, Security to be Acquired | Ron Hanna, Jeffrey R. Smith, James C. Miller, Michael Margolies, Kevin Gadawski | Oklahoma City, OK | Corporation |
45 | Adams Arms, LLC | 09-12-2012 | Manufacturing | $7,047,206 | $7,047,206 | D | Equity | Michael K Froning, James Granger, Darrell C Smith, Raymond E Purcell, Michael Starcher, Michael Margolies | Palm Harbor, FL | Limited Liability Company |
46 | LB Merchant HC-2, LLC | 8/21/2012 | Investing | $1,325,000 | $1,325,000 | D | Equity, Pooled Investment Fund | Michael Margolies, Earl Harold Gassenheimer | Boca Raton, FL | Limited Liability Company |
47 | HICONVERSION, INC. | 8/16/2012 | Other Technology | $1,300,000 | $1,300,000 | D | Equity | Zijad Aganovic, TRAVER GRUEN-KENNEDY, JERRY MACHI, EDWARD IACOBUCCI, MICHAEL MARGOLIES | Boca Raton, FL | Corporation |
48 | LB Merchant AA-1, LLC | 7/23/2012 | Investing | $2,400,000 | $2,400,000 | D | Equity, Option to Acquire, Pooled Investment Fund | Michael Margolies, Earl Harold Gassenheimer | Boca Raton, FL | Limited Liability Company |
49 | SkyShop Logistics, Inc. | 5/25/2011 | Other | $3,050,000 | $3,050,000 | D | Debt, Option to Acquire | ALBERT P. HERNANDEZ, A.J. HERNANDEZ, MICHAEL MARGOLIES, E. HAL GASSENHEIMER, JOHN NOLAN, MENACHEM KRANZ | Miami, FL | Corporation |
50 | Powers Device Technologies, Inc. | 4/22/2011 | Other Health Care | $1,500,000 | $1,500,000 | D | Equity | P. Kathleen Lovell, Michael Margolies, Hal Gassenheimer, Menachem Kranz, Jack Sullivan | St. Johns, FL | Corporation |
51 | LB MERCHANT II, LLLP | 02-09-2011 | Other Investment Fund | $1,500,000 | $1,500,000 | D | Equity | MICHAEL MARGOLIES | Boca Raton, FL | Limited Partnership |
52 | Lb Merchant, LLLP | 11/29/2010 | Other | $1,350,000 | $1,350,000 | D | Equity | Michael Margolies | Boca Raton, FL | Other |