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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
 
 
Plain Text rendering:  Amendment to Notice of an Exempt Offering of Securities
 
                                                                                                                                                                                
EDGAR Submission
 
Schema Version:  X0708
Submission Type:  D/A
Test or Live:  LIVE
Primary Issuer:
CIK:  1023453
Entity Name:  AIS FUTURES FUND IV LP
Issuer Address:
Street 1:  AIS Capital Management, L.P.
Street 2:  187 Danbury Road, Suite 201
City:  Wilton
State or Country:  CT
State or Country Description:  CONNECTICUT
ZIP Code:  06897
Issuer Phone Number:  203-563-1180
Jurisdiction of Inc.:  DELAWARE
Issuer Previous Name List:
Value:  None
EDGAR Previous Name List:
Value:  None
Entity Type:  Limited Partnership
Year of Inc.:
Over Five Years?  Yes
Related-Persons List:
Related-Person Info:
Related-Person Name:
First Name:  n/a
Last Name:  AIS Capital Management L.P.
Related-Person Address:
Street 1:  187 Danbury Road, Suite 201
City:  Wilton
State or Country:  CT
State or Country Description:  CONNECTICUT
ZIP Code:  06897
Related-Person Relationship List:
Relationship:  Executive Officer
Relationship Clarification:  General Partner
Related-Person Info:
Related-Person Name:
First Name:  n/a
Last Name:  AIS General Partner, LLC
Related-Person Address:
Street 1:  AIS Capital Management, L.P.
Street 2:  187 Danbury Road, Suite 201
City:  Wilton
State or Country:  CT
State or Country Description:  CONNECTICUT
ZIP Code:  06897
Related-Person Relationship List:
Relationship:  Executive Officer
Relationship Clarification:  general partner of the General Partner
Related-Person Info:
Related-Person Name:
First Name:  John
Middle Name:  R.
Last Name:  Hummel
Related-Person Address:
Street 1:  AIS Capital Management, L.P.
Street 2:  187 Danbury Road, Suite 201
City:  Wilton
State or Country:  CT
State or Country Description:  CONNECTICUT
ZIP Code:  06897
Related-Person Relationship List:
Relationship:  Executive Officer
Relationship Clarification:
Offering Data:
Industry Group:
Industry Group Type:  Pooled Investment Fund
Investment Fund Info:
Investment Fund Type:  Other Investment Fund
Is '40 Act?  No
Issuer Size:
Aggregate Net Asset Value Range:  Decline to Disclose
Federal Exemptions Exclusions:
Item:  06b
Type of Filing:
New or Amendment:
Is Amendment?  Yes
Previous Accession Number:  1023453-20-1
Date of First Sale:
Value:  8/1/96
Duration of Offering:
More Than One Year?  Yes
Types of Securities Offered:
Is Pooled Investment Fund Type?  Yes
Business-Combination Transaction:
Is Business-Combination Transaction?  No
Clarification of Response:
Minimum Investment Accepted:  25,000
Sales Compensation List:
Recipient:
Recipient Name:  Wells Fargo Advisors, LLC
Recipient CRD Number:  19616
Associated BD Name:  None
Associated BDCRD Number:  None
Recipient Address:
Street 1:  One North Jefferson Avenue
City:  St. Louis
State or Country:  MO
State or Country Description:  MISSOURI
ZIP Code:  63103
States of Solicitation List:
Value:  All States
Foreign Solicitation?  No
Recipient:
Recipient Name:  Avisen Securities, Inc.
Recipient CRD Number:  125977
Associated BD Name:  None
Associated BDCRD Number:  None
Recipient Address:
Street 1:  3620 American River Drive
Street 2:  Suite 145
City:  Sacramento
State or Country:  CA
State or Country Description:  CALIFORNIA
ZIP Code:  95864
States of Solicitation List:
State:  AL
Description:  ALABAMA
State:  AZ
Description:  ARIZONA
State:  CA
Description:  CALIFORNIA
State:  CO
Description:  COLORADO
State:  CT
Description:  CONNECTICUT
State:  FL
Description:  FLORIDA
State:  GA
Description:  GEORGIA
State:  HI
Description:  HAWAII
State:  ID
Description:  IDAHO
State:  MD
Description:  MARYLAND
State:  MA
Description:  MASSACHUSETTS
State:  MO
Description:  MISSOURI
State:  MT
Description:  MONTANA
State:  NV
Description:  NEVADA
State:  NJ
Description:  NEW JERSEY
State:  NM
Description:  NEW MEXICO
State:  NY
Description:  NEW YORK
State:  NC
Description:  NORTH CAROLINA
State:  OR
Description:  OREGON
State:  PA
Description:  PENNSYLVANIA
State:  TX
Description:  TEXAS
State:  UT
Description:  UTAH
State:  VA
Description:  VIRGINIA
State:  WA
Description:  WASHINGTON
State:  WI
Description:  WISCONSIN
Foreign Solicitation?  No
Recipient:
Recipient Name:  Wedbush Securities, Inc.
Recipient CRD Number:  877
Associated BD Name:  None
Associated BDCRD Number:  None
Recipient Address:
Street 1:  1000 Wilshire Boulevard
Street 2:  Suite 900
City:  Los Angeles
State or Country:  CA
State or Country Description:  CALIFORNIA
ZIP Code:  90017
States of Solicitation List:
Value:  All States
Foreign Solicitation?  No
Recipient:
Recipient Name:  UBS Financial Services, Inc.
Recipient CRD Number:  8174
Associated BD Name:  None
Associated BDCRD Number:  None
Recipient Address:
Street 1:  1200 Harbor Boulevard
Street 2:  8th Floor
City:  Weehawken
State or Country:  NJ
State or Country Description:  NEW JERSEY
ZIP Code:  07086
States of Solicitation List:
Value:  All States
Foreign Solicitation?  No
Recipient:
Recipient Name:  Capital Management Partners, Inc.
Recipient CRD Number:  21973
Associated BD Name:  None
Associated BDCRD Number:  None
Recipient Address:
Street 1:  1100 North Fourth Street
Street 2:  Suite 141
City:  Fairfield
State or Country:  IA
State or Country Description:  IOWA
ZIP Code:  52556
States of Solicitation List:
State:  AL
Description:  ALABAMA
State:  CA
Description:  CALIFORNIA
State:  FL
Description:  FLORIDA
State:  IL
Description:  ILLINOIS
State:  IA
Description:  IOWA
State:  MA
Description:  MASSACHUSETTS
State:  NY
Description:  NEW YORK
State:  OH
Description:  OHIO
Foreign Solicitation?  No
Recipient:
Recipient Name:  Next Financial Group, Inc.
Recipient CRD Number:  46214
Associated BD Name:  None
Associated BDCRD Number:  None
Recipient Address:
Street 1:  2500 Wilcrest Drive
Street 2:  Suite 620
City:  Houston
State or Country:  TX
State or Country Description:  TEXAS
ZIP Code:  77042
States of Solicitation List:
Value:  All States
Foreign Solicitation?  No
Recipient:
Recipient Name:  First Financial Equity Corporation
Recipient CRD Number:  16507
Associated BD Name:  None
Associated BDCRD Number:  None
Recipient Address:
Street 1:  7373 North Scottsdale Road
Street 2:  Suite D120
City:  Scottsdale
State or Country:  AZ
State or Country Description:  ARIZONA
ZIP Code:  85253
States of Solicitation List:
State:  AL
Description:  ALABAMA
State:  AK
Description:  ALASKA
State:  AZ
Description:  ARIZONA
State:  AR
Description:  ARKANSAS
State:  CA
Description:  CALIFORNIA
State:  CO
Description:  COLORADO
State:  CT
Description:  CONNECTICUT
State:  DE
Description:  DELAWARE
State:  DC
Description:  DISTRICT OF COLUMBIA
State:  FL
Description:  FLORIDA
State:  GA
Description:  GEORGIA
State:  HI
Description:  HAWAII
State:  ID
Description:  IDAHO
State:  IL
Description:  ILLINOIS
State:  IN
Description:  INDIANA
State:  IA
Description:  IOWA
State:  KS
Description:  KANSAS
State:  KY
Description:  KENTUCKY
State:  LA
Description:  LOUISIANA
State:  ME
Description:  MAINE
State:  MD
Description:  MARYLAND
State:  MA
Description:  MASSACHUSETTS
State:  MI
Description:  MICHIGAN
State:  MN
Description:  MINNESOTA
State:  MS
Description:  MISSISSIPPI
State:  MO
Description:  MISSOURI
State:  MT
Description:  MONTANA
State:  NE
Description:  NEBRASKA
State:  NV
Description:  NEVADA
State:  NH
Description:  NEW HAMPSHIRE
State:  NJ
Description:  NEW JERSEY
State:  NM
Description:  NEW MEXICO
State:  NY
Description:  NEW YORK
State:  NC
Description:  NORTH CAROLINA
State:  ND
Description:  NORTH DAKOTA
State:  OH
Description:  OHIO
State:  OK
Description:  OKLAHOMA
State:  OR
Description:  OREGON
State:  PA
Description:  PENNSYLVANIA
State:  RI
Description:  RHODE ISLAND
State:  SC
Description:  SOUTH CAROLINA
State:  SD
Description:  SOUTH DAKOTA
State:  TN
Description:  TENNESSEE
State:  TX
Description:  TEXAS
State:  UT
Description:  UTAH
State:  VT
Description:  VERMONT
State:  VA
Description:  VIRGINIA
State:  WA
Description:  WASHINGTON
State:  WV
Description:  WEST VIRGINIA
State:  WI
Description:  WISCONSIN
State:  WY
Description:  WYOMING
Foreign Solicitation?  No
Recipient:
Recipient Name:  Crowell, Weedon & Co.
Recipient CRD Number:  193
Associated BD Name:  None
Associated BDCRD Number:  None
Recipient Address:
Street 1:  624 South Grand Avenue
City:  Los Angeles
State or Country:  CA
State or Country Description:  CALIFORNIA
ZIP Code:  90017
States of Solicitation List:
Foreign Solicitation?  Yes
Recipient:
Recipient Name:  Stifel, Nicolaus & Company, Incorporated
Recipient CRD Number:  793
Associated BD Name:  None
Associated BDCRD Number:  None
Recipient Address:
Street 1:  501 North Broadway
City:  St. Louis
State or Country:  MO
State or Country Description:  MISSOURI
ZIP Code:  63102
States of Solicitation List:
Value:  All States
Foreign Solicitation?  No
Recipient:
Recipient Name:  Benjamin F. Edwards & Company, Inc.
Recipient CRD Number:  146936
Associated BD Name:  None
Associated BDCRD Number:  None
Recipient Address:
Street 1:  One North Brentwood Blvd.
Street 2:  Suite 850
City:  St. Louis
State or Country:  MO
State or Country Description:  MISSOURI
ZIP Code:  63105
States of Solicitation List:
Value:  All States
Foreign Solicitation?  No
Recipient:
Recipient Name:  J.P. Turner & Company, L.L.C.
Recipient CRD Number:  43177
Associated BD Name:  None
Associated BDCRD Number:  None
Recipient Address:
Street 1:  One Buckhead Plaza
Street 2:  3060 Peachtree Road NW, 11th Floor
City:  Atlanta
State or Country:  GA
State or Country Description:  GEORGIA
ZIP Code:  30305
States of Solicitation List:
Foreign Solicitation?  Yes
Offering Sales Amounts:
Total Offering Amount:  Indefinite
Total Amount Sold:  155,217,440
Total Remaining:  Indefinite
Clarification of Response:
Investors:
Has Non-Accredited Investors?  Yes
Number Non-Accredited Investors:  10
Total Number Already Invested:  1935
Sales Commissions Finders Fees:
Sales Commissions:
Dollar Amount:  11,732,261
Is Estimate?  Yes
Finders Fees:
Dollar Amount:  0
Clarification of Response:  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.
Use of Proceeds:
Gross Proceeds Used:
Dollar Amount:  0
Clarification of Response:
Signature Block:
Authorized Representative?  No
Signature:
Issuer Name:  AIS FUTURES FUND IV LP
Signature Name:  John Hummel
Name of Signer:  John Hummel
Signature Title:  Managing Principal of the General Partner
Signature Date:  12/1/21


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