EFDID: 73102EFD: View Filing

Issuer: RiverRock Investment Fund IV, LP (0001561747) - D/A

Accession: 0001561747-14-000001 (XMLRaw Data) (EDGAREDGAR Files) (Form DForm D)

EDGAR: Issuer Information
  • CIK:
    0001561747
  • Entity Name:
    RiverRock Investment Fund IV, LP
  • Entity Type:
    Limited Partnership
  • Jurisdiction:
    DELAWARE
  • Year of Inc:
    Within 5 years (2012)
  • Address:
    3200 SOUTHWEST FREEWAY
    SUITE 3120
    HOUSTON, TX 77027
  • Persons:
    Related Persons 4
    General Partner RiverRock Investment Management IV, LLC
    Executive OfficerPromoter
    Sole Owner RiverRock Trust, LLC
    Promoter
    James T Hickey
    Executive OfficerDirectorPromoter
    Jay Jackson
    DirectorPromoter
EDGAR: Offering Information
  • Accession Date:
    01/06/2014
  • First Sale Date:
    04/16/2013
  • Offering Amount:
    $100,000,000
  • Amount Sold:
    $7,925,000
  • Amount Remaining:
    $92,075,000
  • Exemptions:
    Section 3(c)(1) , Investment Company Act Section 3(c) , Rule 506
  • Security Type(s):
    Equity, Pooled Investment Fund
EFD: Current State Notices

No State Notices found in EFD

EDGAR: Sales Compensation Recipient Information
RecipientCRDBroker DealerBD CRDStates
Frank J. Marrone 4960685 Sunbelt Securities, Inc. 42180 CA, CO, GA, TX
Sunbelt Securities, Inc. 42180 Sunbelt Securities, Inc. 42180 AL, AZ, AR, CA, CO, CT, DE, FL, GA, IL, IN, IA, KS, KY, LA, MD, MA, MI, MN, MS, MO, NE, NV, NJ, NM, NY, NC, ND, OH, OK, OR, PA, SC, SD, TN, TX, UT, VA, WA, WV, WI, WY
Matthew C. Knauss 5967992 Sunbelt Securities, Inc. 42180 CA, FL, TX
Charles W. Bingham 4877997 Sunbelt Securities, Inc. 42180 IL, KY, LA, MN, TX
Catherine L. Hicks 5945027 Carolina Financial Securities, LLC 41970 AL, CT, DC, GA, IN, KY, MD, MI, NJ, NC, OH, PA, SC, TX, VA
Carolina Financial Securities, LLC 41970 Carolina Financial Securities, LLC 41970 AL, AZ, AR, CA, CO, CT, DE, DC, FL, GA, IL, IN, KY, MD, MA, MI, MO, NV, NJ, NM, NY, NC, OH, OR, PA, SC, TN, TX, UT, VA, WA, WI
RiverRock Securities, LLC 153178 RiverRock Securities, LLC 153178 AZ, CA, CO, CT, FL, GA, MD, MA, NV, NY, NC, OR, PA, TX, VA
EDGAR: Signatures
IssuerSignatureSigner NameTitleSignatureDate
RiverRock Investment Fund IV, LPJames T. HickeyJames T. HickeyManager of General Partner of Issuer2014-01-06
Related EDGAR Submissions
Type Edgar Date EFD: Accession
D/A Jan. 06, 2014 73102: 0001561747-14-000001 RiverRock Investment Fund IV, LP
Offer Amount: $100,000,000
Amount Sold: $7,925,000
Remaining: $92,075,000
D/A Nov. 15, 2013 73102: 0001561747-13-000004 RiverRock Investment Fund IV, LP
Offer Amount: $100,000,000
Amount Sold: $1,865,000
Remaining: $98,135,000
D/A Sep. 06, 2013 73102: 0001561747-13-000003 RiverRock Investment Fund IV, LP
Offer Amount: $100,000,000
Amount Sold: $715,000
Remaining: $99,285,000
D/A Jun. 03, 2013 73102: 0001561747-13-000002 RiverRock Investment Fund IV, LP
Offer Amount: $100,000,000
Amount Sold: $590,000
Remaining: $99,410,000
D Apr. 18, 2013 73102: 0001561747-13-000001 RiverRock Investment Fund IV, LP
Offer Amount: $100,000,000
Amount Sold: $50,000
Remaining: $99,950,000