Sponsor Check › Person
Related person on Form D filings · address state as listed: MN · listed Mar 16, 2009 → Feb 23, 2024
Data last updated: Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 23, 2026, 11:56 PM ET · SEC enforcement last checked: not yet
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Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not yet searched. PACER: not searched (RECAP only). · Last checked Oct 23, 2026, 11:56 PM ET.
State courts: not yet searched. No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.
Comparisons are made for sponsors and sponsor groups, not individual people.
10 of 26 offerings report sales commissions totalling $3,016,632; 0 report finder's fees; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)
| Source | Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it |
|---|---|---|---|---|---|
| EDGAR ↗ | Feb 23, 2024 D/A File 021-388501 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Feb 23, 2024 D/A File 021-434596 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Feb 9, 2022 D File 021-432982 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Feb 7, 2022 D File 021-432590 | $0 | $0 | $0 | Wells Fargo Securities LLC BrokerCheck CRD 126292 ↗ via Wells Fargo Securities LLC (CRD 126292 ↗) |
| EDGAR ↗ | Feb 7, 2022 D File 021-432628 | $0 | $0 | $0 | Wells Fargo Securities BrokerCheck CRD 126292 ↗ via Wells Fargo Securities (CRD 126292 ↗) |
| EDGAR ↗ | Jul 22, 2015 D/A File 021-130416 | $201,795 (est.) | $0 | $0 | Emergent Financial Group, Inc. BrokerCheck CRD 37891 ↗ |
| EDGAR ↗ | Jul 22, 2015 D/A File 021-130415 | $161,502 (est.) | $0 | $0 | Emergent Financial Group, Inc. BrokerCheck CRD 37891 ↗ |
| EDGAR ↗ | Jul 22, 2015 D/A File 021-130412 | $1,059,671 (est.) | $0 | $0 | Emergent Financial Group, Inc. BrokerCheck CRD 37891 ↗ |
| EDGAR ↗ | Jul 22, 2015 D/A File 021-130417 | $738,329 (est.) | $0 | $0 | Emergent Financial Group, Inc. BrokerCheck CRD 37891 ↗ |
| EDGAR ↗ | Jul 22, 2015 D/A File 021-130411 | $301,251 (est.) | $0 | $0 | Emergent Financial Group, Inc. BrokerCheck CRD 37891 ↗ |
| EDGAR ↗ | Jul 22, 2015 D/A File 021-130413 | $35,602 | $0 | $0 | Emergent Financial Group, Inc. BrokerCheck CRD 37891 ↗ |
| EDGAR ↗ | Jul 22, 2015 D/A File 021-140390 | $65,649 (est.) | $0 | $0 | Emergent Financial Group, Inc. BrokerCheck CRD 37891 ↗ |
| EDGAR ↗ | Jul 22, 2015 D/A File 021-140395 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jun 24, 2015 D/A File 021-162730 | $186,963 (est.) | $0 | $0 | Emergent Financial Group, Inc. BrokerCheck CRD 37891 ↗ |
| EDGAR ↗ | May 20, 2015 D/A File 021-178750 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Mar 6, 2015 D/A File 021-58591 | $96,797 (est.) | $0 | $0 | Emergent Financial Group, Inc. BrokerCheck CRD 37891 ↗ |
| EDGAR ↗ | Mar 6, 2015 D/A File 021-127939 | $169,073 (est.) | $0 | $0 | Emergent Financial Group, Inc. BrokerCheck CRD 37891 ↗ |
| EDGAR ↗ | May 15, 2012 D/A File 021-127922 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | May 15, 2012 D/A File 021-67223 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Mar 6, 2012 D/A File 021-108184 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Mar 6, 2012 D/A File 021-114253 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Feb 9, 2012 D File 021-173152 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Aug 10, 2011 D File 021-164235 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Mar 12, 2010 D/A File 021-128000 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Mar 12, 2010 D/A File 021-128026 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Mar 16, 2009 D/A File 021-102489 | $0 | $0 | $0 | None listed on this filing |
As reported by the issuer on Form D (Items 12–15), latest filing per offering (one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.
Counted across every filing this person is listed on (latest filing per offering, per issuer).
| Source | Issuer | Role | Filed | Form | Offering | Sold | Investors | Min. investment |
|---|---|---|---|---|---|---|---|---|
| EDGAR ↗ | X3 Higher Moment Offshore Fund LP group: Whitebox | Executive Officer Manager of General Partner of the Issuer | Feb 23, 2024 | D/A | $34,000,000 similar: $763,000–$10,000,000 | $34,000,000 | 1 similar: 4–23 | $5,000,000 similar: $10,000–$78,388 |
| EDGAR ↗ | X 3 Higher Moment Fund LLC group: Whitebox | Executive Officer Manager of Managing Member of Issuer | Feb 23, 2024 | D/A | $63,500,000 similar: $763,000–$10,000,000 | $63,500,000 | 7 similar: 4–23 | $5,000,000 similar: $10,000–$78,388 |
| EDGAR ↗ | X3 Higher Moment Offshore Fund LP group: Whitebox | Executive Officer Manager of General Partner of the Issuer | Mar 24, 2023 | D/A | $34,000,000 similar: $763,000–$10,000,000 | $34,000,000 | 1 similar: 4–23 | $5,000,000 similar: $10,000–$78,388 |
| EDGAR ↗ | X 3 Higher Moment Fund LLC group: Whitebox | Executive Officer Manager of Managing Member of Issuer | Mar 2, 2023 | D/A | $63,500,000 similar: $763,000–$10,000,000 | $63,500,000 | 7 similar: 4–23 | $5,000,000 similar: $10,000–$78,388 |
| EDGAR ↗ | X3 Higher Moment Offshore Fund LP group: Whitebox | Executive Officer Manager of General Partner of the Issuer | Feb 23, 2022 | D | $20,000,000 similar: $763,000–$10,000,000 | $20,000,000 | 1 similar: 4–23 | $5,000,000 similar: $10,000–$78,388 |
| EDGAR ↗ | X3 Higher Moment Offshore Fund LP group: Whitebox | Executive Officer Manager of General Partner of the Issuer | Feb 9, 2022 | D | $20,000,000 similar: $763,000–$10,000,000 | $20,000,000 | 1 similar: 4–23 | $5,000,000 similar: $10,000–$78,388 |
| EDGAR ↗ | X3 Higher Moment Offshore Fund LP group: Whitebox | Executive Officer | Feb 7, 2022 | D | Indefinite similar: $500,000–$16,420,250 | $15,000,000 | 1 similar: 2–28 | $5,000,000 similar: $5,000–$100,000 |
| EDGAR ↗ | Highpeak Investment LP group: Whitebox | Executive Officer | Feb 7, 2022 | D | Indefinite similar: $155,000–$5,250,000 | $15,000,000 | 1 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | X 3 Higher Moment Fund LLC group: Whitebox | Executive Officer Manager of Managing Member of Issuer | Feb 3, 2022 | D/A | $44,000,000 similar: $763,000–$10,000,000 | $44,000,000 | 4 similar: 4–23 | $5,000,000 similar: $10,000–$78,388 |
| EDGAR ↗ | X 3 Higher Moment Fund LLC group: Whitebox | Executive Officer Manager of Managing Member of Issuer | Feb 4, 2021 | D | $15,000,000 similar: $763,000–$10,000,000 | $15,000,000 | 2 similar: 4–23 | No minimum reported similar: $10,000–$78,388 |
| EDGAR ↗ | Whitebox Asymmetric Opportunities Fund, Ltd group: Whitebox | Executive Officer Founding Partner of the Issuer's Investment Manager | Jul 22, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $311,035,294 | 35 similar: 4–27 | $1,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Asymmetric Opportunities Fund, LP group: Whitebox | Executive Officer Founding Partner of the Issuer's Investment Manager | Jul 22, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $277,085,367 | 52 similar: 4–27 | $1,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Relative Value Fund, Ltd. group: Whitebox | Executive Officer Founding Partner of the Issuer's Investment Manager | Jul 22, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $137,188,638 | 28 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Multi-Strategy Fund, Ltd. group: Whitebox | Executive Officer Founding Partner of the Issuer's Investment Manager | Jul 22, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $655,118,142 | 164 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Credit Fund, LP group: Whitebox | Executive Officer Founding Partner of the Issuer's Investment Manager | Jul 22, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $120,734,385 | 45 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Multi-Strategy Fund, LP group: Whitebox | Executive Officer Founding Partner of the Issuer's Investment Manager | Jul 22, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $988,081,249 | 379 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Relative Value Fund, LP group: Whitebox | Executive Officer Founding Partner of the Issuer's Investment Manager | Jul 22, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $89,689,056 | 30 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Credit Fund, Ltd. group: Whitebox | Executive Officer Founding Partner of the Issuer's Investment Manager | Jul 22, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $122,259,721 | 32 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Special Opportunities Fund, LP - Series O group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Jun 24, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $156,323,228 | 67 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | WHITEBOX INSTITUTIONAL PARTNERS, LP group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | May 20, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $186,000,000 | 2 similar: 4–27 | No minimum reported similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Relative Value Fund, Ltd. group: Whitebox | Executive Officer Chief Operating Officer of the Issuer's Investment Manager | Mar 6, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $137,188,638 | 26 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Multi-Strategy Fund, Ltd. group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's Investment Manager | Mar 6, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $567,695,893 | 139 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Multi-Strategy Fund, LP group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Mar 6, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $863,704,946 | 342 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Asymmetric Opportunities Fund, Ltd group: Whitebox | Executive Officer Chief Executive Officer of the Investment Manager | Mar 6, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $212,320,802 | 26 similar: 4–27 | $1,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Asymmetric Opportunities Fund, LP group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Mar 6, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $240,817,206 | 44 similar: 4–27 | $1,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Pandora Select Fund, L.P. group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Mar 6, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $254,593,641 | 47 similar: 4–27 | $10,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | PANDORA SELECT FUND LTD group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's Investment Manager | Mar 6, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $236,499,271 | 28 similar: 4–27 | $10,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Relative Value Fund, LP group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Mar 6, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $89,689,056 | 28 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Credit Fund, Ltd. group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's Investment Manager | Mar 6, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $122,259,721 | 30 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Credit Fund, Ltd. group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's Investment Manager | Mar 6, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $122,259,721 | 30 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Special Opportunities Fund, LP - Series O group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Jun 27, 2014 | D/A | Indefinite similar: $155,000–$5,250,000 | $154,406,943 | 67 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | WHITEBOX INSTITUTIONAL PARTNERS, LP group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | May 23, 2014 | D/A | Indefinite similar: $155,000–$5,250,000 | $186,000,000 | 2 similar: 4–27 | No minimum reported similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Relative Value Fund, LP group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Apr 11, 2014 | D/A | Indefinite similar: $155,000–$5,250,000 | $84,900,273 | 25 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Credit Fund, LP group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Apr 11, 2014 | D/A | Indefinite similar: $155,000–$5,250,000 | $116,429,787 | 40 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Credit Fund, Ltd. group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's Investment Manager | Apr 11, 2014 | D/A | Indefinite similar: $155,000–$5,250,000 | $119,783,811 | 29 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Multi-Strategy Fund, LP group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Apr 11, 2014 | D/A | Indefinite similar: $155,000–$5,250,000 | $713,614,590 | 258 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Multi-Strategy Fund, Ltd. group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's Investment Manager | Apr 11, 2014 | D/A | Indefinite similar: $155,000–$5,250,000 | $396,087,810 | 98 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Relative Value Fund, Ltd. group: Whitebox | Executive Officer Chief Operating Officer of the Issuer's Investment Manager | Apr 11, 2014 | D/A | Indefinite similar: $155,000–$5,250,000 | $127,847,022 | 24 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Asymmetric Opportunities Fund, LP group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Mar 31, 2014 | D/A | Indefinite similar: $155,000–$5,250,000 | $174,955,855 | 41 similar: 4–27 | $1,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Asymmetric Opportunities Fund, Ltd group: Whitebox | Executive Officer Chief Executive Officer of the Investment Manager | Mar 31, 2014 | D/A | Indefinite similar: $155,000–$5,250,000 | $99,668,404 | 17 similar: 4–27 | $1,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | PANDORA SELECT FUND LTD group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's Investment Manager | Mar 6, 2014 | D/A | Indefinite similar: $155,000–$5,250,000 | $230,194,244 | 27 similar: 4–27 | $10,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Pandora Select Fund, L.P. group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Mar 6, 2014 | D/A | Indefinite similar: $155,000–$5,250,000 | $236,769,565 | 41 similar: 4–27 | $10,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Special Opportunities Fund, LP - Series O group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Jun 27, 2013 | D/A | Indefinite similar: $155,000–$5,250,000 | $147,209,128 | 67 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | WHITEBOX INSTITUTIONAL PARTNERS, LP group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | May 23, 2013 | D/A | Indefinite similar: $155,000–$5,250,000 | $150,000,000 | 2 similar: 4–27 | No minimum reported similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Relative Value Fund, LP group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Apr 11, 2013 | D/A | Indefinite similar: $155,000–$5,250,000 | $132,091,423 | 80 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Credit Fund, Ltd. group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's Investment Manager | Apr 11, 2013 | D/A | Indefinite similar: $155,000–$5,250,000 | $117,943,982 | 62 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Credit Fund, LP group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Apr 11, 2013 | D/A | Indefinite similar: $155,000–$5,250,000 | $112,579,787 | 98 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Multi-Strategy Fund, LP group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Apr 11, 2013 | D/A | Indefinite similar: $155,000–$5,250,000 | $599,957,980 | 283 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Multi-Strategy Fund, Ltd. group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's Investment Manager | Apr 11, 2013 | D/A | Indefinite similar: $155,000–$5,250,000 | $333,914,007 | 135 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Relative Value Fund, Ltd. group: Whitebox | Executive Officer Chief Operating Officer of the Issuer's Investment Manager | Apr 10, 2013 | D/A | Indefinite similar: $155,000–$5,250,000 | $246,150,881 | 57 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Asymmetric Opportunities Fund, Ltd group: Whitebox | Executive Officer Chief Executive Officer of the Investment Manager | Apr 4, 2013 | D/A | Indefinite similar: $155,000–$5,250,000 | $18,373,384 | 9 similar: 4–27 | $1,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Asymmetric Opportunities Fund, LP group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Apr 4, 2013 | D/A | Indefinite similar: $155,000–$5,250,000 | $135,717,855 | 28 similar: 4–27 | $1,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Pandora Select Fund, L.P. group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Mar 6, 2013 | D/A | Indefinite similar: $155,000–$5,250,000 | $181,547,160 | 41 similar: 4–27 | No minimum reported similar: $1,000–$100,000 |
| EDGAR ↗ | PANDORA SELECT FUND LTD group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's Investment Manager | Mar 6, 2013 | D/A | Indefinite similar: $155,000–$5,250,000 | $215,021,169 | 27 similar: 4–27 | $100,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Special Opportunities Fund, LP - Series O group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Jun 29, 2012 | D/A | Indefinite similar: $155,000–$5,250,000 | $128,419,663 | 66 similar: 4–27 | No minimum reported similar: $1,000–$100,000 |
| EDGAR ↗ | WHITEBOX INSTITUTIONAL PARTNERS, LP group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | May 24, 2012 | D | Indefinite similar: $155,000–$5,250,000 | $50,000,000 | 1 similar: 4–27 | $1,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | WHITEBOX L/S EQUITY FUND, L.P. group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | May 15, 2012 | D/A | Indefinite similar: $155,000–$5,250,000 | $60,706,769 | 53 similar: 4–27 | No minimum reported similar: $1,000–$100,000 |
| EDGAR ↗ | WHITEBOX L/S EQUITY FUND, LTD group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's Investment Manager | May 15, 2012 | D/A | Indefinite similar: $155,000–$5,250,000 | $67,370,294 | 35 similar: 4–27 | $100,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Multi-Strategy Fund, Ltd. group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's Investment Manager | Apr 12, 2012 | D/A | Indefinite similar: $155,000–$5,250,000 | $299,801,791 | 117 similar: 4–27 | $100,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Multi-Strategy Fund, LP group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Apr 11, 2012 | D/A | Indefinite similar: $155,000–$5,250,000 | $567,516,187 | 243 similar: 4–27 | No minimum reported similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Credit Fund, LP group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Apr 11, 2012 | D/A | Indefinite similar: $155,000–$5,250,000 | $128,010,406 | 98 similar: 4–27 | No minimum reported similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Credit Fund, Ltd. group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's Investment Manager | Apr 11, 2012 | D/A | Indefinite similar: $155,000–$5,250,000 | $126,660,333 | 65 similar: 4–27 | $100,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Relative Value Fund, LP group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Apr 11, 2012 | D/A | Indefinite similar: $155,000–$5,250,000 | $82,081,794 | 77 similar: 4–27 | No minimum reported similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Relative Value Fund, Ltd. group: Whitebox | Executive Officer Chief Operating Officer of the Issuer's Investment Manager | Apr 11, 2012 | D/A | Indefinite similar: $155,000–$5,250,000 | $121,441,659 | 54 similar: 4–27 | $100,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Asymmetric Opportunities Fund, LP group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Apr 5, 2012 | D/A | Indefinite similar: $155,000–$5,250,000 | $102,556,646 | 23 similar: 4–27 | No minimum reported similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Asymmetric Opportunities Fund, Ltd group: Whitebox | Executive Officer Chief Executive Officer of the Investment Manager | Apr 5, 2012 | D/A | Indefinite similar: $155,000–$5,250,000 | $8,103,384 | 5 similar: 4–27 | $100,000 similar: $1,000–$100,000 |
| EDGAR ↗ | WHITEBOX SPECIAL OPPORTUNITIES FUND SPC LTD - SEGREGATED PORTFOLIO B group: Whitebox | Executive Officer, Director Chief Executive Officer of the Issuer's Investment Manager | Mar 6, 2012 | D/A | Indefinite similar: $155,000–$5,250,000 | $7,500,000 | 5 similar: 4–27 | $100,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Pandora Select Fund, L.P. group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Mar 6, 2012 | D/A | Indefinite similar: $155,000–$5,250,000 | $177,860,329 | 37 similar: 4–27 | No minimum reported similar: $1,000–$100,000 |
| EDGAR ↗ | PANDORA SELECT FUND LTD group: Whitebox | Executive Officer, Director Chief Executive Officer of the Issuer's Investment Manager | Mar 6, 2012 | D/A | Indefinite similar: $155,000–$5,250,000 | $184,976,694 | 22 similar: 4–27 | $100,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Special Opportunities Fund LP Series B group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Mar 6, 2012 | D/A | Indefinite similar: $155,000–$5,250,000 | $25,632,050 | 23 similar: 4–27 | No minimum reported similar: $1,000–$100,000 |
| EDGAR ↗ | Ready Credit Corp | Director | Feb 9, 2012 | D | $2,046,200 similar: $2,144,500–$20,220,000 | $2,046,200 | 44 similar: 2–24 | $1,950 similar: $10,000–$100,000 |
| EDGAR ↗ | Whitebox Options Fund (Offshore) I, Segregated Portfolio O of Whitebox Special Opportunities Fund SPC, Ltd. group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's Investment Manager | Aug 10, 2011 | D | Indefinite similar: $155,000–$5,250,000 | $7,323,630 | 5 similar: 4–27 | $100,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Special Opportunities Fund, LP - Series O group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Jul 12, 2011 | D | Indefinite similar: $155,000–$5,250,000 | $81,835,550 | 25 similar: 4–27 | No minimum reported similar: $1,000–$100,000 |
| EDGAR ↗ | WHITEBOX L/S EQUITY FUND, LTD group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's Investment Manager | May 25, 2011 | D/A | Indefinite similar: $155,000–$5,250,000 | $67,748,294 | 34 similar: 4–27 | $100,000 similar: $1,000–$100,000 |
| EDGAR ↗ | WHITEBOX L/S EQUITY FUND, L.P. group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | May 25, 2011 | D/A | Indefinite similar: $155,000–$5,250,000 | $60,310,828 | 52 similar: 4–27 | No minimum reported similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Credit Fund, LP group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Apr 15, 2011 | D/A | Indefinite similar: $155,000–$5,250,000 | $115,413,051 | 92 similar: 4–27 | No minimum reported similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Credit Fund, Ltd. group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's Investment Manager | Apr 15, 2011 | D/A | Indefinite similar: $155,000–$5,250,000 | $100,464,263 | 61 similar: 4–27 | $100,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Relative Value Fund, LP group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Apr 15, 2011 | D/A | Indefinite similar: $155,000–$5,250,000 | $78,061,978 | 73 similar: 4–27 | No minimum reported similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Relative Value Fund, Ltd. group: Whitebox | Executive Officer Chief Operating Officer of the Issuer's Investment Manager | Apr 15, 2011 | D/A | Indefinite similar: $155,000–$5,250,000 | $116,191,659 | 52 similar: 4–27 | $100,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Multi-Strategy Fund, Ltd. group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's Investment Manager | Apr 15, 2011 | D/A | Indefinite similar: $155,000–$5,250,000 | $284,842,323 | 99 similar: 4–27 | $100,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Multi-Strategy Fund, LP group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Apr 15, 2011 | D/A | Indefinite similar: $155,000–$5,250,000 | $546,131,742 | 207 similar: 4–27 | No minimum reported similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Asymmetric Opportunities Fund, Ltd group: Whitebox | Executive Officer Chief Executive Officer of the Investment Manager | Apr 6, 2011 | D/A | Indefinite similar: $155,000–$5,250,000 | $6,150,000 | 4 similar: 4–27 | $100,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Asymmetric Opportunities Fund, LP group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Apr 6, 2011 | D/A | Indefinite similar: $155,000–$5,250,000 | $91,306,646 | 19 similar: 4–27 | No minimum reported similar: $1,000–$100,000 |
| EDGAR ↗ | PANDORA SELECT FUND LTD group: Whitebox | Executive Officer, Director Chief Executive Officer of the Issuer's Investment Manager | Mar 11, 2011 | D/A | Indefinite similar: $155,000–$5,250,000 | $169,282,594 | 21 similar: 4–27 | $100,000 similar: $1,000–$100,000 |
| EDGAR ↗ | WHITEBOX SPECIAL OPPORTUNITIES FUND SPC LTD - SEGREGATED PORTFOLIO B group: Whitebox | Executive Officer, Director Chief Executive Officer of the Issuer's Investment Manager | Mar 11, 2011 | D/A | Indefinite similar: $155,000–$5,250,000 | $7,500,000 | 5 similar: 4–27 | $100,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Special Opportunities Fund LP Series B group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Mar 11, 2011 | D/A | Indefinite similar: $155,000–$5,250,000 | $25,632,050 | 23 similar: 4–27 | No minimum reported similar: $1,000–$100,000 |
| EDGAR ↗ | Pandora Select Fund, L.P. group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Mar 11, 2011 | D/A | Indefinite similar: $155,000–$5,250,000 | $142,940,698 | 34 similar: 4–27 | No minimum reported similar: $1,000–$100,000 |
| EDGAR ↗ | WHITEBOX L/S EQUITY FUND, L.P. group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | May 26, 2010 | D/A | Indefinite similar: $155,000–$5,250,000 | $59,081,096 | 50 similar: 4–27 | $1,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | WHITEBOX L/S EQUITY FUND, LTD group: Whitebox | Executive Officer, Director Chief Executive Officer of the Issuer's Investment Manager and Director of the Issuer | May 26, 2010 | D/A | Indefinite similar: $155,000–$5,250,000 | $66,748,294 | 33 similar: 4–27 | $1,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Relative Value Fund, LP group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Apr 21, 2010 | D/A | Indefinite similar: $155,000–$5,250,000 | $69,849,381 | 64 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Relative Value Fund, Ltd. group: Whitebox | Executive Officer, Director Director of the Issuer and Chief Operating Officer of the Issuer's Investment Manager | Apr 21, 2010 | D/A | Indefinite similar: $155,000–$5,250,000 | $108,091,659 | 40 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Multi-Strategy Fund, Ltd. group: Whitebox | Executive Officer, Director Director of the Issuer and Chief Executive Officer of the Issuer's Investment Manager | Apr 21, 2010 | D/A | Indefinite similar: $155,000–$5,250,000 | $244,111,527 | 84 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Multi-Strategy Fund, LP group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Apr 21, 2010 | D/A | Indefinite similar: $155,000–$5,250,000 | $469,203,966 | 169 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Credit Fund, LP group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Apr 21, 2010 | D/A | Indefinite similar: $155,000–$5,250,000 | $86,015,635 | 73 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Credit Fund, Ltd. group: Whitebox | Executive Officer, Director Director of the Issuer and Chief Executive Officer of the Issuer's Investment Manager | Apr 21, 2010 | D/A | Indefinite similar: $155,000–$5,250,000 | $78,416,225 | 44 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Asymmetric Opportunities Fund, Ltd group: Whitebox | Executive Officer Chief Executive Officer of the Investment Manager | Apr 12, 2010 | D | Indefinite similar: $155,000–$5,250,000 | $2,250,000 | 2 similar: 4–27 | $1,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Asymmetric Opportunities Fund, LP group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Apr 12, 2010 | D | Indefinite similar: $155,000–$5,250,000 | $79,511,480 | 12 similar: 4–27 | $1,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Diversified Convertible Arbitrage Fund, L.P. group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Mar 12, 2010 | D/A | Indefinite similar: $155,000–$5,250,000 | $238,914,978 | 66 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Diversified Convertible Arbitrage Fund, Ltd. group: Whitebox | Executive Officer, Director Chief Executive Officer of the Issuer's Investment Manager & Director of the Issuer | Mar 12, 2010 | D/A | Indefinite similar: $155,000–$5,250,000 | $511,448,600 | 86 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Special Opportunities Fund LP Series B group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Mar 12, 2010 | D/A | Indefinite similar: $155,000–$5,250,000 | $25,582,050 | 23 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | WHITEBOX L/S EQUITY FUND, LTD group: Whitebox | Executive Officer, Director Chief Executive Officer of the Issuer's Investment Manager and Director of the Issuer | Mar 12, 2010 | D/A | Indefinite similar: $155,000–$5,250,000 | $66,748,294 | 33 similar: 4–27 | $1,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | WHITEBOX SPECIAL OPPORTUNITIES FUND SPC LTD - SEGREGATED PORTFOLIO B group: Whitebox | Executive Officer, Director Chief Executive Officer of the Issuer's Investment Manager and Director of the Issuer | Mar 12, 2010 | D/A | Indefinite similar: $155,000–$5,250,000 | $7,500,000 | 5 similar: 4–27 | $1,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Pandora Select Fund, L.P. group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Mar 12, 2010 | D/A | Indefinite similar: $155,000–$5,250,000 | $134,373,865 | 25 similar: 4–27 | $10,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | PANDORA SELECT FUND LTD group: Whitebox | Executive Officer, Director Chief Executive Officer of the Issuer's Investment Manager and Director of the Issuer | Mar 12, 2010 | D/A | Indefinite similar: $155,000–$5,250,000 | $141,252,069 | 16 similar: 4–27 | $10,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | WHITEBOX L/S EQUITY FUND, L.P. group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Mar 12, 2010 | D/A | Indefinite similar: $155,000–$5,250,000 | $59,081,096 | 50 similar: 4–27 | $1,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Credit Fund, LP group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Apr 22, 2009 | D | Indefinite similar: $155,000–$5,250,000 | $68,781,879 | 62 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Credit Fund, Ltd. group: Whitebox | Executive Officer, Director Director of the Issuer and Chief Executive Officer of the Issuer's Investment Manager | Apr 22, 2009 | D | Indefinite similar: $155,000–$5,250,000 | $65,285,225 | 41 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Relative Value Fund, LP group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Apr 22, 2009 | D | Indefinite similar: $155,000–$5,250,000 | $63,477,064 | 59 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Relative Value Fund, Ltd. group: Whitebox | Executive Officer, Director Director of the Issuer and Chief Operating Officer of the Issuer's Investment Manager | Apr 22, 2009 | D | Indefinite similar: $155,000–$5,250,000 | $94,432,135 | 34 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Multi-Strategy Fund, LP group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Apr 22, 2009 | D | Indefinite similar: $155,000–$5,250,000 | $429,297,509 | 129 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Multi-Strategy Fund, Ltd. group: Whitebox | Executive Officer, Director Director of the Issuer and Chief Executive Officer of the Issuer's Investment Manager | Apr 22, 2009 | D | Indefinite similar: $155,000–$5,250,000 | $214,357,137 | 72 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Diversified Convertible Arbitrage Fund, Ltd. group: Whitebox | Executive Officer, Director Chief Executive Officer of the Issuer's Investment Manager & Director of the Issuer | Mar 17, 2009 | D/A | Indefinite similar: $155,000–$5,250,000 | $473,109,500 | 78 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Diversified Convertible Arbitrage Fund, Ltd. group: Whitebox | Director, Promoter | Mar 16, 2009 | D | Indefinite similar: $155,000–$5,250,000 | $11,100,000 | 6 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Pandora Select Fund, L.P. group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Mar 16, 2009 | D/A | Indefinite similar: $155,000–$5,250,000 | $126,082,989 | 20 similar: 4–27 | $10,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Diversified Convertible Arbitrage Fund, L.P. group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Mar 16, 2009 | D/A | Indefinite similar: $155,000–$5,250,000 | $208,925,514 | 45 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | WHITEBOX L/S EQUITY FUND, LTD group: Whitebox | Executive Officer, Director Chief Executive Officer of the Issuer's Investment Manager and Director of the Issuer | Mar 16, 2009 | D/A | Indefinite similar: $155,000–$5,250,000 | $66,748,294 | 33 similar: 4–27 | $1,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Diversified Convertible Arbitrage Fund, L.P. group: Whitebox | Promoter | Mar 16, 2009 | D | Indefinite similar: $155,000–$5,250,000 | $44,060,000 | 11 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | PANDORA SELECT FUND LTD group: Whitebox | Executive Officer, Director Chief Executive Officer of the Issuer's Investment Manager and Director of the Issuer | Mar 16, 2009 | D/A | Indefinite similar: $155,000–$5,250,000 | $106,449,980 | 15 similar: 4–27 | $10,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | WHITEBOX SPECIAL OPPORTUNITIES FUND SPC LTD - SEGREGATED PORTFOLIO B group: Whitebox | Executive Officer, Director Chief Executive Officer of the Issuer's Investment Manager and Director of the Issuer | Mar 16, 2009 | D/A | Indefinite similar: $155,000–$5,250,000 | $7,500,000 | 5 similar: 4–27 | $1,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Special Opportunities Fund LP Series A group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Mar 16, 2009 | D/A | Indefinite similar: $155,000–$5,250,000 | $62,331,990 | 21 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Whitebox Special Opportunities Fund LP Series B group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Mar 16, 2009 | D/A | Indefinite similar: $155,000–$5,250,000 | $23,330,917 | 18 similar: 4–27 | $5,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Pandora Select Fund, L.P. group: Whitebox | Promoter The above-named person was also listed as a beneficial owner on the Issuer's paper Form D filed in August 2003. (See Item 13 Clarification.) | Mar 16, 2009 | D | Indefinite similar: $155,000–$5,250,000 | $2,500,000 | 4 similar: 4–27 | $1,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | WHITEBOX L/S EQUITY FUND, L.P. group: Whitebox | Executive Officer Chief Executive Officer of the Issuer's General Partner | Mar 16, 2009 | D/A | Indefinite similar: $155,000–$5,250,000 | $57,731,738 | 46 similar: 4–27 | $1,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | WHITEBOX L/S EQUITY FUND, LTD group: Whitebox | Director | Mar 16, 2009 | D | Indefinite similar: $155,000–$5,250,000 | $950,000 | 2 similar: 4–27 | $1,000,000 similar: $1,000–$100,000 |
Every row is a Form D or D/A on which the issuer listed this name as a related person. Related-person names are matched on first + last name and the address state on the filing; records that share a name but could not be tied together by a second identifier are listed separately below.
"Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Investing / 506(b) (2,521 filings); Pooled Investment Fund / 506(c) (8,096 filings); Pooled Investment Fund / 506(b) (83,801 filings); Other Banking and Financial Services / 506(b) (1,630 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
People and management entities the issuers listed as related persons on the same Form D filings as Andrew J. Redleaf. Source: the EDGAR rows in the table above. Showing the 40 with the most shared filings.
None found in sources searched.
Sources searched: SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 · Last checked Oct 23, 2026, 8:41 PM ET.
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