Form D Raw Data - Electronic Filing Depository

EFDID: 10393EFD: Raw Data

Issuer: AIS FUTURES FUND IV LP (0001023453) - D/A

Accession: 0001266576-10-000010 () (EDGAR Files) (Form D)

Edgar Posted: Mar. 10, 2010
EFD Posted: Aug. 7, 2014

- < edgarSubmission >

< schemaVersion > X0603 </ schemaVersion >

< submissionType > D/A </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001023453 </ cik >

< entityName > AIS FUTURES FUND IV LP </ entityName >

- < issuerAddress >

< street1 > 187 DANBURY ROAD, SUITE 201 </ street1 >

< city > WILTON </ city >

< stateOrCountry > CT </ stateOrCountry >

< zipCode > 06897 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > 203-563-1180 </ issuerPhoneNumber >

< jurisdictionOfInc > DELAWARE </ jurisdictionOfInc >

- < issuerPreviousNameList >

< value > None </ value >

</ issuerPreviousNameList >

- < edgarPreviousNameList >

< value > None </ value >

</ edgarPreviousNameList >

< entityType > Limited Partnership </ entityType >

- < yearOfInc >

< overFiveYears > true </ overFiveYears >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > n/a </ firstName >

< lastName > AIS Capital Management LLC </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 187 Danbury Road, Suite 201 </ street1 >

< city > Wilton </ city >

< stateOrCountry > CT </ stateOrCountry >

< zipCode > 06897 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > General Partner </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > John </ firstName >

< middleName > R </ middleName >

< lastName > Hummel </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > c/o AIS Capital Management LLC </ street1 >

< street2 > 187 Danbury Road, Suite 201 </ street2 >

< city > Wilton </ city >

< stateOrCountry > CT </ stateOrCountry >

< zipCode > 06897 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Bradley </ firstName >

< middleName > C </ middleName >

< lastName > Stern </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > c/o AIS Capital Management LLC </ street1 >

< street2 > 187 Danbury Road, Suite 201 </ street2 >

< city > Wilton </ city >

< stateOrCountry > CT </ stateOrCountry >

< zipCode > 06897 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

</ relatedPersonsList >

- < offeringData >

- < industryGroup >

< industryGroupType > Pooled Investment Fund </ industryGroupType >

- < investmentFundInfo >

< investmentFundType > Hedge Fund </ investmentFundType >

< is40Act > false </ is40Act >

</ investmentFundInfo >

</ industryGroup >

- < issuerSize >

< aggregateNetAssetValueRange > Decline to Disclose </ aggregateNetAssetValueRange >

</ issuerSize >

- < federalExemptionsExclusions >

< item > 06 </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > true </ isAmendment >

< previousAccessionNumber > 9999999997-09-013311 </ previousAccessionNumber >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 1996-08-01 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > true </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isPooledInvestmentFundType > true </ isPooledInvestmentFundType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 25000 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > Wachovia Securities, Inc. </ recipientName >

< recipientCRDNumber > 19616 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1 North Jefferson Avenue </ street1 >

< city > St. Louis </ city >

< stateOrCountry > MO </ stateOrCountry >

< zipCode > 63103 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Avisen Securities, Inc. </ recipientName >

< recipientCRDNumber > 125977 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3626 Fair Oaks Boulevard </ street1 >

< street2 > Suite 300 </ street2 >

< city > Sacramento </ city >

< stateOrCountry > CA </ stateOrCountry >

< zipCode > 95864 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > AZ </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > FL </ state >

< state > GA </ state >

< state > HI </ state >

< state > ID </ state >

< state > IA </ state >

< state > KS </ state >

< state > KY </ state >

< state > LA </ state >

< state > MD </ state >

< state > MA </ state >

< state > MN </ state >

< state > MS </ state >

< state > MO </ state >

< state > MT </ state >

< state > NE </ state >

< state > NV </ state >

< state > NJ </ state >

< state > NM </ state >

< state > NY </ state >

< state > NC </ state >

< state > OH </ state >

< state > OR </ state >

< state > PA </ state >

< state > SD </ state >

< state > TX </ state >

< state > UT </ state >

< state > WA </ state >

< state > WY </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Wedbush Morgan Securities, Inc. </ recipientName >

< recipientCRDNumber > 877 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1000 Wilshire Boulevard, Suite 900 </ street1 >

< city > Los Angeles </ city >

< stateOrCountry > CA </ stateOrCountry >

< zipCode > 90017 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > AK </ state >

< state > AZ </ state >

< state > AR </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > DE </ state >

< state > DC </ state >

< state > FL </ state >

< state > GA </ state >

< state > HI </ state >

< state > ID </ state >

< state > IL </ state >

< state > IN </ state >

< state > IA </ state >

< state > KS </ state >

< state > KY </ state >

< state > LA </ state >

< state > ME </ state >

< state > MD </ state >

< state > MA </ state >

< state > MI </ state >

< state > MN </ state >

< state > MS </ state >

< state > MO </ state >

< state > MT </ state >

< state > NE </ state >

< state > NV </ state >

< state > NH </ state >

< state > NJ </ state >

< state > NM </ state >

< state > NY </ state >

< state > NC </ state >

< state > ND </ state >

< state > OH </ state >

< state > OK </ state >

< state > OR </ state >

< state > PA </ state >

< state > PR </ state >

< state > RI </ state >

< state > SC </ state >

< state > SD </ state >

< state > TX </ state >

< state > UT </ state >

< state > VT </ state >

< state > VA </ state >

< state > WA </ state >

< state > WV </ state >

< state > WI </ state >

< state > WY </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > UBS Financial Services, Inc. </ recipientName >

< recipientCRDNumber > 8174 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1200 Harbor Boulevard </ street1 >

< city > Weehawken </ city >

< stateOrCountry > NJ </ stateOrCountry >

< zipCode > 07086 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Capital Management Partners, Inc. </ recipientName >

< recipientCRDNumber > 21973 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1100 North 4th Street, Suite 141 </ street1 >

< city > Fairfield </ city >

< stateOrCountry > IA </ stateOrCountry >

< zipCode > 52556 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > AZ </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > FL </ state >

< state > GA </ state >

< state > IL </ state >

< state > IA </ state >

< state > KS </ state >

< state > MD </ state >

< state > MA </ state >

< state > MI </ state >

< state > MN </ state >

< state > MO </ state >

< state > NH </ state >

< state > NY </ state >

< state > NC </ state >

< state > OH </ state >

< state > OK </ state >

< state > OR </ state >

< state > TX </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Next Financial Group, Inc. </ recipientName >

< recipientCRDNumber > 46214 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2500 Wilcrest Drive, Suite 620 </ street1 >

< city > Houston </ city >

< stateOrCountry > TX </ stateOrCountry >

< zipCode > 77042 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > First Financial Equity Corporation </ recipientName >

< recipientCRDNumber > 16507 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 7373 North Scottsdale Road </ street1 >

< street2 > Suite D120 </ street2 >

< city > Scottsdale </ city >

< stateOrCountry > AZ </ stateOrCountry >

< zipCode > 85253 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > AK </ state >

< state > AZ </ state >

< state > AR </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > DE </ state >

< state > DC </ state >

< state > FL </ state >

< state > GA </ state >

< state > HI </ state >

< state > ID </ state >

< state > IL </ state >

< state > IN </ state >

< state > IA </ state >

< state > KS </ state >

< state > KY </ state >

< state > LA </ state >

< state > MD </ state >

< state > MA </ state >

< state > MI </ state >

< state > MN </ state >

< state > MS </ state >

< state > MO </ state >

< state > MT </ state >

< state > NE </ state >

< state > NV </ state >

< state > NH </ state >

< state > NJ </ state >

< state > NM </ state >

< state > NY </ state >

< state > NC </ state >

< state > ND </ state >

< state > OH </ state >

< state > OK </ state >

< state > OR </ state >

< state > PA </ state >

< state > RI </ state >

< state > SC </ state >

< state > SD </ state >

< state > TN </ state >

< state > TX </ state >

< state > UT </ state >

< state > VT </ state >

< state > VA </ state >

< state > WA </ state >

< state > WV </ state >

< state > WI </ state >

< state > WY </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Crowell, Weedon & Co. </ recipientName >

< recipientCRDNumber > 193 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 624 South Grand Avenue </ street1 >

< city > Los Angeles </ city >

< stateOrCountry > CA </ stateOrCountry >

< zipCode > 90017 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > AK </ state >

< state > AZ </ state >

< state > AR </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > DE </ state >

< state > DC </ state >

< state > FL </ state >

< state > GA </ state >

< state > HI </ state >

< state > ID </ state >

< state > IL </ state >

< state > IN </ state >

< state > IA </ state >

< state > KS </ state >

< state > KY </ state >

< state > LA </ state >

< state > ME </ state >

< state > MD </ state >

< state > MA </ state >

< state > MI </ state >

< state > MN </ state >

< state > MS </ state >

< state > MO </ state >

< state > MT </ state >

< state > NE </ state >

< state > NV </ state >

< state > NH </ state >

< state > NJ </ state >

< state > NM </ state >

< state > NY </ state >

< state > NC </ state >

< state > ND </ state >

< state > OH </ state >

< state > OK </ state >

< state > OR </ state >

< state > PA </ state >

< state > RI </ state >

< state > SC </ state >

< state > SD </ state >

< state > TN </ state >

< state > TX </ state >

< state > UT </ state >

< state > VT </ state >

< state > VA </ state >

< state > WA </ state >

< state > WV </ state >

< state > WI </ state >

< state > WY </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Stifel, Nicolaus & Company, Incorporated </ recipientName >

< recipientCRDNumber > 793 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 501 North Broadway </ street1 >

< city > St. Louis </ city >

< stateOrCountry > MO </ stateOrCountry >

< zipCode > 63102 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > Indefinite </ totalOfferingAmount >

< totalAmountSold > 143820068 </ totalAmountSold >

< totalRemaining > Indefinite </ totalRemaining >

< clarificationOfResponse />

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > true </ hasNonAccreditedInvestors >

< numberNonAccreditedInvestors > 7 </ numberNonAccreditedInvestors >

< totalNumberAlreadyInvested > 1850 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 1410082 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ salesCommissions >

- < findersFees >

< dollarAmount > 200 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ findersFees >

< clarificationOfResponse > A selling commission of up to 2% of the subscription amount and a service fee of up to 4% of NAV may be paid to the selling agents. The current offering commenced prior to 3/15/09; Item 15 reflects the requested information commencing from such date. </ clarificationOfResponse >

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 0 </ dollarAmount >

</ grossProceedsUsed >

< clarificationOfResponse />

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > AIS FUTURES FUND IV LP </ issuerName >

< signatureName > John Hummel </ signatureName >

< nameOfSigner > John Hummel </ nameOfSigner >

< signatureTitle > President of the General Partner </ signatureTitle >

< signatureDate > 2010-03-10 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >