Nuwave

Bankruptcy case: Wolfe v. Kattan Diamonds & Jewelry Inc — filed Jan 12, 1999 · Bankruptcy case: American Express Centurion Bank v. Kattan — filed Mar 15, 2002 · Bankruptcy case: Elggren v. Kattan Diamonds & Jewelry, Inc — filed Mar 13, 2000 · Bankruptcy case: Kattan Diamonds And Jewelry, Inc. v. Silverman Jewelers Consultants, Inc. — filed Feb 18, 1997 · Bankruptcy case: Karl T Anderson v. Kattan Brothers — filed Oct 4, 1994

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

The filing says the first sale was Mar 1, 2017. The Form D was filed Mar 30, 2017 — 29 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 14 days past that.

What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.

No amendment in the last 12 months on an offering that may still be open — Arion Alpha Strategies SPC - Arion Copper Arbitrage Strategy SP (latest filing Sep 4, 2025) · No amendment in the last 12 months on an offering that may still be open — Arion Alpha Strategies SPC - Arion Oil Products Trading SP (latest filing Feb 14, 2025) · No amendment in the last 12 months on an offering that may still be open — Arion Alpha Strategies SPC - Arion Commodity Spread Trading SP (latest filing Jun 12, 2024) · No amendment in the last 12 months on an offering that may still be open — Arion Alpha Strategies SPC - Arion Commodity Spread Trading SP (latest filing Jun 13, 2022) · No amendment in the last 12 months on an offering that may still be open — NUWAVE INVESTMENT PARTNERS LP (latest filing Mar 2, 2022) · and 5 more

What this means SEC rules expect a yearly amendment while an offering is still going. Ask the sponsor which of these raises have closed.

Troy Wayne Buckner's role changed at NUWAVE OFFSHORE FUND LTD: director → executive officer, director · Troy Wayne Buckner's role changed at NUWAVE LONG/SHORT FEEDER FUND LTD.: director → executive officer, director · Troy Wayne Buckner's role changed at NUWAVE LONG/SHORT PORTFOLIO FUND LP: promoter → executive officer · Troy Wayne Buckner's role changed at NUWAVE INVESTMENT PARTNERS LP: promoter → executive officer

What this means Roles on Form D are self-reported. Ask who runs the company today.

The Mar 21, 2017 filing lists a minimum of $50,000; the Mar 20, 2018 Form D/A lists $100,000.

What this means A different minimum usually means the offering terms changed. Check which terms apply to you.

The Sep 9, 2015 filing lists a minimum of $500,000; the Sep 9, 2016 Form D/A lists $250,000.

What this means A different minimum usually means the offering terms changed. Check which terms apply to you.

listed as "Troy Wayne Buckner" on 55 filings (from Mar 13, 2009), and "Troy Buckner" on the Mar 30, 2017 filing.

What this means Same person, written differently — a middle name or suffix left off, or spelled another way. It is normal, but check that the full legal name matches your subscription documents.

Address moved from Parsippany, NJ to Grand Cayman, Cayman Islands (as filed: E9) — NUWAVE LONG/SHORT FEEDER FUND LTD. · Address moved from Parsippany, NJ to Grand Cayman, Cayman Islands (as filed: E9) — NUWAVE OFFSHORE FUND LTD · Address moved from Morristown, NJ to Parsippany, NJ — NUWAVE INVESTMENT PARTNERS LP · Address moved from Morristown, NJ to Parsippany, NJ — NUWAVE LONG/SHORT PORTFOLIO FUND LP · Address moved from Bedminster, NJ to Parsippany, NJ — NUWAVE LONG/SHORT FEEDER FUND LTD. · and 1 more

What this means Businesses move. If you were told one city and the forms say another, ask which is current.

The latest filing lists C/O Campbells Corporate Services Limited, 4th Floor, Willow House, Cricket Square, Grand Cayman, Cayman Islands (as filed: E9). That address is used by 4 issuers in our index (registered agent / corporate services / fund administrator).

What this means Many small companies use a registered agent's address — it is legal and common. It means the Form D address is not where the team works. Ask where the business operates and who runs it day to day.

Cayman Islands (6), Delaware (4) — out of 10 member issuers. The odd ones out: NUWAVE LONG/SHORT PORTFOLIO FUND LP (Delaware); NUWAVE INVESTMENT PARTNERS LP (Delaware); NuWave Equity Enhanced Fund LP (Delaware); NuWave Large Cap Active Alpha L.P. (Delaware).

What this means Sponsors often form each deal company in Delaware or Wyoming no matter where the property is. A mix is common; it just tells you which state's rules each company lives under.

Cayman Islands (as filed: E9) (5), NJ (5). 1 member uses a registered-agent or shared-office address: NUWAVE OFFSHORE FUND LTD (C/O Campbells Corporate Services Limited, 4th Floor, Willow House, Cricket Square, Grand Cayman, Cayman Islands (as filed: E9)).

What this means A registered agent's address is a mailbox, not where the team works. The other address is more likely the real office — ask which one is.

SEC records list prior names for this filer: Arion Alpha Strategies SPC - Copper Arbitrage Strategy SP; Arion Alpha Strategies SPC - Cooper Arbitrage Strategy SP. The current name on file is "Arion Alpha Strategies SPC - Arion Copper Arbitrage Strategy SP".

What this means A name change is normal, but your documents may show the old name. Match the CIK, not just the name.

SEC records list prior names for this filer: NUWAVE LONG/SHORT FEEDER FUND LP. The current name on file is "NUWAVE LONG/SHORT PORTFOLIO FUND LP".

What this means A name change is normal, but your documents may show the old name. Match the CIK, not just the name.