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Ais Futures Fund IV LP – ‘D/A’ on 12/1/21

On:  Wednesday, 12/1/21, at 2:50pm ET   ·   Effective:  12/1/21   ·   Accession #:  1023453-21-2   ·   File #:  21-129154

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  As Of               Filer                 Filing    For·On·As Docs:Size

12/01/21  Ais Futures Fund IV LP            D/A        12/01/21    1:18K

Amendment to Notice of an Exempt Offering of Securities   —   Form D   —   Regulation D   —   SA’33

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: D/A         Amendment to Notice of an Exempt Offering of        HTML      3K 
                Securities -- primary_doc.xml/7.8


        

This ‘D/A’ Document is an XML Data File that may be rendered in various formats:

  Form D    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
EDGAR System rendering:  Amendment to Notice of an Exempt Offering of Securities
 

FORM D
Notice of Exempt Offering of Securities

UNITED STATES SECURITIES
AND EXCHANGE COMMISSION
Washington, D.C.

OMB APPROVAL
OMB Number: 3235-0076
Estimated Average burden hours per response: 4.0
1. Issuer's Identity
CIK (Filer ID Number)Previous Name(s) Checkbox checked NoneEntity Type
0001023453
Radio button not checked Corporation
Radio button checked Limited Partnership
Radio button not checked  Limited Liability Company
Radio button not checked  General Partnership
Radio button not checked  Business Trust
Radio button not checked Other 
Name of Issuer
 AIS FUTURES FUND IV LP
Jurisdiction of Incorporation/Organization
DELAWARE 
Year of Incorporation/Organization
Radio button checked Over Five Years Ago
Radio button not checked Within Last Five Years (Specify Year)
 
Radio button not checked Yet to Be Formed
 
  
  
 
2. Principal Place of Business and Contact Information
Name of Issuer
 AIS FUTURES FUND IV LP
Street Address 1Street Address 2
 AIS Capital Management, L.P.
 187 Danbury Road, Suite 201
CityState/Province/CountryZIP/Postal CodePhone No. of Issuer
 Wilton
 CONNECTICUT
 
 06897
 203-563-1180 



3. Related Persons

Last NameFirst NameMiddle Name
AIS Capital Management L.P.
n/a
Street Address 1Street Address 2
 187 Danbury Road, Suite 201 
 
CityState/Province/CountryZIP/Postal Code
 Wilton
 CONNECTICUT
 06897
 
Relationship: Checkbox checked Executive Officer Checkbox not checked Director Checkbox not checked Promoter
Clarification of Response (if Necessary)
General Partner


Last NameFirst NameMiddle Name
AIS General Partner, LLC
n/a
Street Address 1Street Address 2
 AIS Capital Management, L.P. 
 187 Danbury Road, Suite 201
CityState/Province/CountryZIP/Postal Code
 Wilton
 CONNECTICUT
 06897
 
Relationship: Checkbox checked Executive Officer Checkbox not checked Director Checkbox not checked Promoter
Clarification of Response (if Necessary)
general partner of the General Partner


Last NameFirst NameMiddle Name
Hummel
John
R.
Street Address 1Street Address 2
 AIS Capital Management, L.P. 
 187 Danbury Road, Suite 201
CityState/Province/CountryZIP/Postal Code
 Wilton
 CONNECTICUT
 06897
 
Relationship: Checkbox checked Executive Officer Checkbox not checked Director Checkbox not checked Promoter
Clarification of Response (if Necessary)
 




4. Industry Group
  Radio button not checked Agriculture
Banking & Financial Services
  Radio button not checked  Commercial Banking
  Radio button not checked  Insurance
  Radio button not checked Investing
  Radio button not checked  Investment Banking
  Radio button checked  Pooled Investment Fund

*Is the issuer registered as an investment company under the Investment Company Act of 1940?
Radio button not checked Yes  Radio button checked No
  Radio button not checked Other Banking & Financial Services
Radio button not checked  Business Services
Energy
  Radio button not checked  Coal Mining
  Radio button not checked  Electric Utilities
  Radio button not checked  Energy Conservation
  Radio button not checked  Environmental Services
  Radio button not checked  Oil & Gas
  Radio button not checked  Other Energy
Health Care
  Radio button not checked  Biotechnology
  Radio button not checked  Health Insurance
  Radio button not checked  Hospitals & Physicians
  Radio button not checked  Pharmaceuticals
  Radio button not checked  Other Health Care
   
   
   
  
Radio button not checked  Manufacturing
Real Estate
  Radio button not checked Commercial
  Radio button not checked Construction
  Radio button not checked REITS & Finance
  Radio button not checked Residential
Radio button not checked Other Real Estate
Radio button not checked  Retailing
Radio button not checked Restaurants
Technology
Radio button not checked  Computers
Radio button not checked  Telecommunications
Radio button not checked  Other Technology
Travel
Radio button not checked  Airlines & Airports
Radio button not checked  Lodging & Conventions
Radio button not checked  Tourism & Travel Services
Radio button not checked  Other Travel
Radio button not checked Other

  
   
5. Issuer Size
Revenue RangeAggregate Net Asset Value Range
Radio button not checked No Revenues Radio button not checked  No Aggregate Net Asset Value
Radio button not checked  $1 - $1,000,000 Radio button not checked $1 - $5,000,000
Radio button not checked  $1,000,001 - $5,000,000 Radio button not checked  $5,000,001 - $25,000,000
Radio button not checked $5,000,001 - $25,000,000 Radio button not checked  $25,000,001 - $50,000,000
Radio button not checked $25,000,001 - $100,000,000 Radio button not checked  $50,000,001 - $100,000,000
Radio button not checked  Over $100,000,000 Radio button not checked  Over $100,000,000
Radio button not checked  Decline to Disclose  Radio button checked Decline to Disclose
Radio button not checked  Not Applicable Radio button not checked  Not Applicable

 
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
Checkbox not checked Rule 504(b)(1) (not (i), (ii)
or (iii))		 Checkbox checked Rule 506(b)      
Checkbox not checked Rule 504 (b)(1)(i) Checkbox not checked Rule 506(c)
Checkbox not checked Rule 504 (b)(1)(ii) Checkbox not checked Securities Act Section 4(a)(5)
Checkbox not checked Rule 504 (b)(1)(iii) Checkbox not checked Investment Company Act Section 3(c)
 
 

7. Type of Filing
Checkbox not checked  New Notice Date of First Sale 
1996-08-01
 Checkbox not checked  First Sale Yet to Occur
Checkbox checked  Amendment


 
 
8. Duration of Offering
Does the Issuer intend this offering to last more than one year? Radio button checked  Yes Radio button not checked  No
 
 
9. Type(s) of Securities Offered (select all that apply)
Checkbox checked Pooled Investment Fund Interests Checkbox not checked Equity
Checkbox not checked Tenant-in-Common Securities Checkbox not checked Debt
Checkbox not checked Mineral Property Securities Checkbox not checked Option, Warrant or Other Right to Acquire Another Security
Checkbox not checked Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security Checkbox not checked Other (describe)
 
 
 
10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? Radio button not checked  Yes Radio button checked  No
Clarification of Response (if Necessary)
 
 
 
11. Minimum Investment
Minimum investment accepted from any outside investor$
 25000
USD

12. Sales Compensation
Recipient Recipient CRD Number Checkbox not checked None
 Wells Fargo Advisors, LLC
 19616
(Associated) Broker or Dealer Checkbox checked None(Associated) Broker or Dealer CRD Number Checkbox checked None
  
  
Street Address 1      Street Address 2
One North Jefferson Avenue
 
City State/Province/CountryZIP/Postal Code
 St. Louis
 MISSOURI
 63103
State(s) of Solicitation Checkbox checked All States Checkbox not checked Foreign/Non-US
 
Recipient Recipient CRD Number Checkbox not checked None
 Avisen Securities, Inc.
 125977
(Associated) Broker or Dealer Checkbox checked None(Associated) Broker or Dealer CRD Number Checkbox checked None
  
  
Street Address 1      Street Address 2
3620 American River Drive
Suite 145
City State/Province/CountryZIP/Postal Code
 Sacramento
 CALIFORNIA
 95864
State(s) of Solicitation Checkbox not checked All States Checkbox not checked Foreign/Non-US
 
ALABAMA
ARIZONA
CALIFORNIA
COLORADO
CONNECTICUT
FLORIDA
GEORGIA
HAWAII
IDAHO
MARYLAND
MASSACHUSETTS
MISSOURI
MONTANA
NEVADA
NEW JERSEY
NEW MEXICO
NEW YORK
NORTH CAROLINA
OREGON
PENNSYLVANIA
TEXAS
UTAH
VIRGINIA
WASHINGTON
WISCONSIN
Recipient Recipient CRD Number Checkbox not checked None
 Wedbush Securities, Inc.
 877
(Associated) Broker or Dealer Checkbox checked None(Associated) Broker or Dealer CRD Number Checkbox checked None
  
  
Street Address 1      Street Address 2
1000 Wilshire Boulevard
Suite 900
City State/Province/CountryZIP/Postal Code
 Los Angeles
 CALIFORNIA
 90017
State(s) of Solicitation Checkbox checked All States Checkbox not checked Foreign/Non-US
 
Recipient Recipient CRD Number Checkbox not checked None
 UBS Financial Services, Inc.
 8174
(Associated) Broker or Dealer Checkbox checked None(Associated) Broker or Dealer CRD Number Checkbox checked None
  
  
Street Address 1      Street Address 2
1200 Harbor Boulevard
8th Floor
City State/Province/CountryZIP/Postal Code
 Weehawken
 NEW JERSEY
 07086
State(s) of Solicitation Checkbox checked All States Checkbox not checked Foreign/Non-US
 
Recipient Recipient CRD Number Checkbox not checked None
 Capital Management Partners, Inc.
 21973
(Associated) Broker or Dealer Checkbox checked None(Associated) Broker or Dealer CRD Number Checkbox checked None
  
  
Street Address 1      Street Address 2
1100 North Fourth Street
Suite 141
City State/Province/CountryZIP/Postal Code
 Fairfield
 IOWA
 52556
State(s) of Solicitation Checkbox not checked All States Checkbox not checked Foreign/Non-US
 
ALABAMA
CALIFORNIA
FLORIDA
ILLINOIS
IOWA
MASSACHUSETTS
NEW YORK
OHIO
Recipient Recipient CRD Number Checkbox not checked None
 Next Financial Group, Inc.
 46214
(Associated) Broker or Dealer Checkbox checked None(Associated) Broker or Dealer CRD Number Checkbox checked None
  
  
Street Address 1      Street Address 2
2500 Wilcrest Drive
Suite 620
City State/Province/CountryZIP/Postal Code
 Houston
 TEXAS
 77042
State(s) of Solicitation Checkbox checked All States Checkbox not checked Foreign/Non-US
 
Recipient Recipient CRD Number Checkbox not checked None
 First Financial Equity Corporation
 16507
(Associated) Broker or Dealer Checkbox checked None(Associated) Broker or Dealer CRD Number Checkbox checked None
  
  
Street Address 1      Street Address 2
7373 North Scottsdale Road
Suite D120
City State/Province/CountryZIP/Postal Code
 Scottsdale
 ARIZONA
 85253
State(s) of Solicitation Checkbox not checked All States Checkbox not checked Foreign/Non-US
 
ALABAMA
ALASKA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
HAWAII
IDAHO
ILLINOIS
INDIANA
IOWA
KANSAS
KENTUCKY
LOUISIANA
MAINE
MARYLAND
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSISSIPPI
MISSOURI
MONTANA
NEBRASKA
NEVADA
NEW HAMPSHIRE
NEW JERSEY
NEW MEXICO
NEW YORK
NORTH CAROLINA
NORTH DAKOTA
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
RHODE ISLAND
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
VERMONT
VIRGINIA
WASHINGTON
WEST VIRGINIA
WISCONSIN
WYOMING
Recipient Recipient CRD Number Checkbox not checked None
 Crowell, Weedon & Co.
 193
(Associated) Broker or Dealer Checkbox checked None(Associated) Broker or Dealer CRD Number Checkbox checked None
  
  
Street Address 1      Street Address 2
624 South Grand Avenue
 
City State/Province/CountryZIP/Postal Code
 Los Angeles
 CALIFORNIA
 90017
State(s) of Solicitation Checkbox not checked All States Checkbox checked Foreign/Non-US
 
Recipient Recipient CRD Number Checkbox not checked None
 Stifel, Nicolaus & Company, Incorporated
 793
(Associated) Broker or Dealer Checkbox checked None(Associated) Broker or Dealer CRD Number Checkbox checked None
  
  
Street Address 1      Street Address 2
501 North Broadway
 
City State/Province/CountryZIP/Postal Code
 St. Louis
 MISSOURI
 63102
State(s) of Solicitation Checkbox checked All States Checkbox not checked Foreign/Non-US
 
Recipient Recipient CRD Number Checkbox not checked None
 Benjamin F. Edwards & Company, Inc.
 146936
(Associated) Broker or Dealer Checkbox checked None(Associated) Broker or Dealer CRD Number Checkbox checked None
  
  
Street Address 1      Street Address 2
One North Brentwood Blvd.
Suite 850
City State/Province/CountryZIP/Postal Code
 St. Louis
 MISSOURI
 63105
State(s) of Solicitation Checkbox checked All States Checkbox not checked Foreign/Non-US
 
Recipient Recipient CRD Number Checkbox not checked None
 J.P. Turner & Company, L.L.C.
 43177
(Associated) Broker or Dealer Checkbox checked None(Associated) Broker or Dealer CRD Number Checkbox checked None
  
  
Street Address 1      Street Address 2
One Buckhead Plaza
3060 Peachtree Road NW, 11th Floor
City State/Province/CountryZIP/Postal Code
 Atlanta
 GEORGIA
 30305
State(s) of Solicitation Checkbox not checked All States Checkbox checked Foreign/Non-US
 



13. Offering and Sales Amounts
 
Total Offering Amount $
 
USD Checkbox checked Indefinite
Total Amount Sold $
155217440
USD
Total Remaining to be Sold $
 
USD Checkbox checked Indefinite
Clarification of Response (if Necessary)
  
 
14. Investors

Checkbox checked Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
Number of such non-accredited investors who already have invested in the offering
10 
  Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering:
1935
 
15. Sales Commissions & Finders’ Fees Expenses
Provide separately the amounts of sales commissions and finders' fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
Sales Commissions$
11732261
USD Checkbox checked Estimate
Finders' Fees$
0
USD Checkbox not checked Estimate
Clarification of Response (if Necessary)
Crowell, Weedon & Co. and J.P. Turner & Company, L.L.C. are no longer registered broker-dealers & no longer receive commissions. Avisen Securities, Inc., Capital Management Partners Inc., and Next Financial Group, Inc. no longer receive commissions.
 

16. Use of Proceeds
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
 $ 
0
USD Checkbox not checked Estimate
Clarification of Response (if Necessary)
 

Signature and Submission
 
Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.
Terms of Submission 
 In submitting this notice, each Issuer named above is: 
 
  • Notifying the SEC and/or each State in which this notice is filed of the offering of securities described and undertaking to furnish them, upon written request, the information furnished to offerees.
  • Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator or other legally designated officer of the State in which the Issuer maintains its principal place of business and any State in which this notice is filed, as its agents for service of process, and agreeing that these persons may accept service on its behalf, of any notice, process or pleading, and further agreeing that such service may be made by registered or certified mail, in any Federal or state action, administrative proceeding, or arbitration brought against it in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in connection with the offering of securities that is the subject of this notice, and (b) is founded, directly or indirectly, upon the provisions of:  (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii) the laws of the State in which the issuer maintains its principal place of business or any State in which this notice is filed.
  • Certifying that, if the issuer is claiming a Regulation D exemption for the offering, the issuer is not disqualified from relying on Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) or Rule 506(d).
 
Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.
For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.
 
IssuerSignatureName of SignerTitleDate
AIS FUTURES FUND IV LPJohn HummelJohn HummelManaging Principal of the General Partner2021-12-01





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