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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
 
 
XML Data rendering:  Amendment to Notice of an Exempt Offering of Securities
 
                                                                                                                                                                                
<?xml version="1.0" encoding="windows-1252"?>
<edgarSubmission>
<schemaVersion> X0708 </schemaVersion>
<submissionType> D/A </submissionType>
<testOrLive> LIVE </testOrLive>
<primaryIssuer>
<cik> 0001023453 </cik>
<entityName> AIS FUTURES FUND IV LP </entityName>
<issuerAddress>
<street1> AIS Capital Management, L.P. </street1>
<street2> 187 Danbury Road, Suite 201 </street2>
<city> Wilton </city>
<stateOrCountry> CT </stateOrCountry>
<stateOrCountryDescription> CONNECTICUT </stateOrCountryDescription>
<zipCode> 06897 </zipCode>
</issuerAddress>
<issuerPhoneNumber> 203-563-1180 </issuerPhoneNumber>
<jurisdictionOfInc> DELAWARE </jurisdictionOfInc>
<issuerPreviousNameList>
<value> None </value>
</issuerPreviousNameList>
<edgarPreviousNameList>
<value> None </value>
</edgarPreviousNameList>
<entityType> Limited Partnership </entityType>
<yearOfInc>
<overFiveYears> true </overFiveYears>
</yearOfInc>
</primaryIssuer>
<relatedPersonsList>
<relatedPersonInfo>
<relatedPersonName>
<firstName> n/a </firstName>
<lastName> AIS Capital Management L.P. </lastName>
</relatedPersonName>
<relatedPersonAddress>
<street1> 187 Danbury Road, Suite 201 </street1>
<city> Wilton </city>
<stateOrCountry> CT </stateOrCountry>
<stateOrCountryDescription> CONNECTICUT </stateOrCountryDescription>
<zipCode> 06897 </zipCode>
</relatedPersonAddress>
<relatedPersonRelationshipList>
<relationship> Executive Officer </relationship>
</relatedPersonRelationshipList>
<relationshipClarification> General Partner </relationshipClarification>
</relatedPersonInfo>
<relatedPersonInfo>
<relatedPersonName>
<firstName> n/a </firstName>
<lastName> AIS General Partner, LLC </lastName>
</relatedPersonName>
<relatedPersonAddress>
<street1> AIS Capital Management, L.P. </street1>
<street2> 187 Danbury Road, Suite 201 </street2>
<city> Wilton </city>
<stateOrCountry> CT </stateOrCountry>
<stateOrCountryDescription> CONNECTICUT </stateOrCountryDescription>
<zipCode> 06897 </zipCode>
</relatedPersonAddress>
<relatedPersonRelationshipList>
<relationship> Executive Officer </relationship>
</relatedPersonRelationshipList>
<relationshipClarification> general partner of the General Partner </relationshipClarification>
</relatedPersonInfo>
<relatedPersonInfo>
<relatedPersonName>
<firstName> John </firstName>
<middleName> R. </middleName>
<lastName> Hummel </lastName>
</relatedPersonName>
<relatedPersonAddress>
<street1> AIS Capital Management, L.P. </street1>
<street2> 187 Danbury Road, Suite 201 </street2>
<city> Wilton </city>
<stateOrCountry> CT </stateOrCountry>
<stateOrCountryDescription> CONNECTICUT </stateOrCountryDescription>
<zipCode> 06897 </zipCode>
</relatedPersonAddress>
<relatedPersonRelationshipList>
<relationship> Executive Officer </relationship>
</relatedPersonRelationshipList>
<relationshipClarification></relationshipClarification>
</relatedPersonInfo>
</relatedPersonsList>
<offeringData>
<industryGroup>
<industryGroupType> Pooled Investment Fund </industryGroupType>
<investmentFundInfo>
<investmentFundType> Other Investment Fund </investmentFundType>
<is40Act> false </is40Act>
</investmentFundInfo>
</industryGroup>
<issuerSize>
<aggregateNetAssetValueRange> Decline to Disclose </aggregateNetAssetValueRange>
</issuerSize>
<federalExemptionsExclusions>
<item> 06b </item>
</federalExemptionsExclusions>
<typeOfFiling>
<newOrAmendment>
<isAmendment> true </isAmendment>
<previousAccessionNumber> 0001023453-20-000001 </previousAccessionNumber>
</newOrAmendment>
<dateOfFirstSale>
<value> 1996-08-01 </value>
</dateOfFirstSale>
</typeOfFiling>
<durationOfOffering>
<moreThanOneYear> true </moreThanOneYear>
</durationOfOffering>
<typesOfSecuritiesOffered>
<isPooledInvestmentFundType> true </isPooledInvestmentFundType>
</typesOfSecuritiesOffered>
<businessCombinationTransaction>
<isBusinessCombinationTransaction> false </isBusinessCombinationTransaction>
<clarificationOfResponse></clarificationOfResponse>
</businessCombinationTransaction>
<minimumInvestmentAccepted> 25000 </minimumInvestmentAccepted>
<salesCompensationList>
<recipient>
<recipientName> Wells Fargo Advisors, LLC </recipientName>
<recipientCRDNumber> 19616 </recipientCRDNumber>
<associatedBDName> None </associatedBDName>
<associatedBDCRDNumber> None </associatedBDCRDNumber>
<recipientAddress>
<street1> One North Jefferson Avenue </street1>
<city> St. Louis </city>
<stateOrCountry> MO </stateOrCountry>
<stateOrCountryDescription> MISSOURI </stateOrCountryDescription>
<zipCode> 63103 </zipCode>
</recipientAddress>
<statesOfSolicitationList>
<value> All States </value>
</statesOfSolicitationList>
<foreignSolicitation> false </foreignSolicitation>
</recipient>
<recipient>
<recipientName> Avisen Securities, Inc. </recipientName>
<recipientCRDNumber> 125977 </recipientCRDNumber>
<associatedBDName> None </associatedBDName>
<associatedBDCRDNumber> None </associatedBDCRDNumber>
<recipientAddress>
<street1> 3620 American River Drive </street1>
<street2> Suite 145 </street2>
<city> Sacramento </city>
<stateOrCountry> CA </stateOrCountry>
<stateOrCountryDescription> CALIFORNIA </stateOrCountryDescription>
<zipCode> 95864 </zipCode>
</recipientAddress>
<statesOfSolicitationList>
<state> AL </state>
<description> ALABAMA </description>
<state> AZ </state>
<description> ARIZONA </description>
<state> CA </state>
<description> CALIFORNIA </description>
<state> CO </state>
<description> COLORADO </description>
<state> CT </state>
<description> CONNECTICUT </description>
<state> FL </state>
<description> FLORIDA </description>
<state> GA </state>
<description> GEORGIA </description>
<state> HI </state>
<description> HAWAII </description>
<state> ID </state>
<description> IDAHO </description>
<state> MD </state>
<description> MARYLAND </description>
<state> MA </state>
<description> MASSACHUSETTS </description>
<state> MO </state>
<description> MISSOURI </description>
<state> MT </state>
<description> MONTANA </description>
<state> NV </state>
<description> NEVADA </description>
<state> NJ </state>
<description> NEW JERSEY </description>
<state> NM </state>
<description> NEW MEXICO </description>
<state> NY </state>
<description> NEW YORK </description>
<state> NC </state>
<description> NORTH CAROLINA </description>
<state> OR </state>
<description> OREGON </description>
<state> PA </state>
<description> PENNSYLVANIA </description>
<state> TX </state>
<description> TEXAS </description>
<state> UT </state>
<description> UTAH </description>
<state> VA </state>
<description> VIRGINIA </description>
<state> WA </state>
<description> WASHINGTON </description>
<state> WI </state>
<description> WISCONSIN </description>
</statesOfSolicitationList>
<foreignSolicitation> false </foreignSolicitation>
</recipient>
<recipient>
<recipientName> Wedbush Securities, Inc. </recipientName>
<recipientCRDNumber> 877 </recipientCRDNumber>
<associatedBDName> None </associatedBDName>
<associatedBDCRDNumber> None </associatedBDCRDNumber>
<recipientAddress>
<street1> 1000 Wilshire Boulevard </street1>
<street2> Suite 900 </street2>
<city> Los Angeles </city>
<stateOrCountry> CA </stateOrCountry>
<stateOrCountryDescription> CALIFORNIA </stateOrCountryDescription>
<zipCode> 90017 </zipCode>
</recipientAddress>
<statesOfSolicitationList>
<value> All States </value>
</statesOfSolicitationList>
<foreignSolicitation> false </foreignSolicitation>
</recipient>
<recipient>
<recipientName> UBS Financial Services, Inc. </recipientName>
<recipientCRDNumber> 8174 </recipientCRDNumber>
<associatedBDName> None </associatedBDName>
<associatedBDCRDNumber> None </associatedBDCRDNumber>
<recipientAddress>
<street1> 1200 Harbor Boulevard </street1>
<street2> 8th Floor </street2>
<city> Weehawken </city>
<stateOrCountry> NJ </stateOrCountry>
<stateOrCountryDescription> NEW JERSEY </stateOrCountryDescription>
<zipCode> 07086 </zipCode>
</recipientAddress>
<statesOfSolicitationList>
<value> All States </value>
</statesOfSolicitationList>
<foreignSolicitation> false </foreignSolicitation>
</recipient>
<recipient>
<recipientName> Capital Management Partners, Inc. </recipientName>
<recipientCRDNumber> 21973 </recipientCRDNumber>
<associatedBDName> None </associatedBDName>
<associatedBDCRDNumber> None </associatedBDCRDNumber>
<recipientAddress>
<street1> 1100 North Fourth Street </street1>
<street2> Suite 141 </street2>
<city> Fairfield </city>
<stateOrCountry> IA </stateOrCountry>
<stateOrCountryDescription> IOWA </stateOrCountryDescription>
<zipCode> 52556 </zipCode>
</recipientAddress>
<statesOfSolicitationList>
<state> AL </state>
<description> ALABAMA </description>
<state> CA </state>
<description> CALIFORNIA </description>
<state> FL </state>
<description> FLORIDA </description>
<state> IL </state>
<description> ILLINOIS </description>
<state> IA </state>
<description> IOWA </description>
<state> MA </state>
<description> MASSACHUSETTS </description>
<state> NY </state>
<description> NEW YORK </description>
<state> OH </state>
<description> OHIO </description>
</statesOfSolicitationList>
<foreignSolicitation> false </foreignSolicitation>
</recipient>
<recipient>
<recipientName> Next Financial Group, Inc. </recipientName>
<recipientCRDNumber> 46214 </recipientCRDNumber>
<associatedBDName> None </associatedBDName>
<associatedBDCRDNumber> None </associatedBDCRDNumber>
<recipientAddress>
<street1> 2500 Wilcrest Drive </street1>
<street2> Suite 620 </street2>
<city> Houston </city>
<stateOrCountry> TX </stateOrCountry>
<stateOrCountryDescription> TEXAS </stateOrCountryDescription>
<zipCode> 77042 </zipCode>
</recipientAddress>
<statesOfSolicitationList>
<value> All States </value>
</statesOfSolicitationList>
<foreignSolicitation> false </foreignSolicitation>
</recipient>
<recipient>
<recipientName> First Financial Equity Corporation </recipientName>
<recipientCRDNumber> 16507 </recipientCRDNumber>
<associatedBDName> None </associatedBDName>
<associatedBDCRDNumber> None </associatedBDCRDNumber>
<recipientAddress>
<street1> 7373 North Scottsdale Road </street1>
<street2> Suite D120 </street2>
<city> Scottsdale </city>
<stateOrCountry> AZ </stateOrCountry>
<stateOrCountryDescription> ARIZONA </stateOrCountryDescription>
<zipCode> 85253 </zipCode>
</recipientAddress>
<statesOfSolicitationList>
<state> AL </state>
<description> ALABAMA </description>
<state> AK </state>
<description> ALASKA </description>
<state> AZ </state>
<description> ARIZONA </description>
<state> AR </state>
<description> ARKANSAS </description>
<state> CA </state>
<description> CALIFORNIA </description>
<state> CO </state>
<description> COLORADO </description>
<state> CT </state>
<description> CONNECTICUT </description>
<state> DE </state>
<description> DELAWARE </description>
<state> DC </state>
<description> DISTRICT OF COLUMBIA </description>
<state> FL </state>
<description> FLORIDA </description>
<state> GA </state>
<description> GEORGIA </description>
<state> HI </state>
<description> HAWAII </description>
<state> ID </state>
<description> IDAHO </description>
<state> IL </state>
<description> ILLINOIS </description>
<state> IN </state>
<description> INDIANA </description>
<state> IA </state>
<description> IOWA </description>
<state> KS </state>
<description> KANSAS </description>
<state> KY </state>
<description> KENTUCKY </description>
<state> LA </state>
<description> LOUISIANA </description>
<state> ME </state>
<description> MAINE </description>
<state> MD </state>
<description> MARYLAND </description>
<state> MA </state>
<description> MASSACHUSETTS </description>
<state> MI </state>
<description> MICHIGAN </description>
<state> MN </state>
<description> MINNESOTA </description>
<state> MS </state>
<description> MISSISSIPPI </description>
<state> MO </state>
<description> MISSOURI </description>
<state> MT </state>
<description> MONTANA </description>
<state> NE </state>
<description> NEBRASKA </description>
<state> NV </state>
<description> NEVADA </description>
<state> NH </state>
<description> NEW HAMPSHIRE </description>
<state> NJ </state>
<description> NEW JERSEY </description>
<state> NM </state>
<description> NEW MEXICO </description>
<state> NY </state>
<description> NEW YORK </description>
<state> NC </state>
<description> NORTH CAROLINA </description>
<state> ND </state>
<description> NORTH DAKOTA </description>
<state> OH </state>
<description> OHIO </description>
<state> OK </state>
<description> OKLAHOMA </description>
<state> OR </state>
<description> OREGON </description>
<state> PA </state>
<description> PENNSYLVANIA </description>
<state> RI </state>
<description> RHODE ISLAND </description>
<state> SC </state>
<description> SOUTH CAROLINA </description>
<state> SD </state>
<description> SOUTH DAKOTA </description>
<state> TN </state>
<description> TENNESSEE </description>
<state> TX </state>
<description> TEXAS </description>
<state> UT </state>
<description> UTAH </description>
<state> VT </state>
<description> VERMONT </description>
<state> VA </state>
<description> VIRGINIA </description>
<state> WA </state>
<description> WASHINGTON </description>
<state> WV </state>
<description> WEST VIRGINIA </description>
<state> WI </state>
<description> WISCONSIN </description>
<state> WY </state>
<description> WYOMING </description>
</statesOfSolicitationList>
<foreignSolicitation> false </foreignSolicitation>
</recipient>
<recipient>
<recipientName> Crowell, Weedon & Co. </recipientName>
<recipientCRDNumber> 193 </recipientCRDNumber>
<associatedBDName> None </associatedBDName>
<associatedBDCRDNumber> None </associatedBDCRDNumber>
<recipientAddress>
<street1> 624 South Grand Avenue </street1>
<city> Los Angeles </city>
<stateOrCountry> CA </stateOrCountry>
<stateOrCountryDescription> CALIFORNIA </stateOrCountryDescription>
<zipCode> 90017 </zipCode>
</recipientAddress>
<statesOfSolicitationList></statesOfSolicitationList>
<foreignSolicitation> true </foreignSolicitation>
</recipient>
<recipient>
<recipientName> Stifel, Nicolaus & Company, Incorporated </recipientName>
<recipientCRDNumber> 793 </recipientCRDNumber>
<associatedBDName> None </associatedBDName>
<associatedBDCRDNumber> None </associatedBDCRDNumber>
<recipientAddress>
<street1> 501 North Broadway </street1>
<city> St. Louis </city>
<stateOrCountry> MO </stateOrCountry>
<stateOrCountryDescription> MISSOURI </stateOrCountryDescription>
<zipCode> 63102 </zipCode>
</recipientAddress>
<statesOfSolicitationList>
<value> All States </value>
</statesOfSolicitationList>
<foreignSolicitation> false </foreignSolicitation>
</recipient>
<recipient>
<recipientName> Benjamin F. Edwards & Company, Inc. </recipientName>
<recipientCRDNumber> 146936 </recipientCRDNumber>
<associatedBDName> None </associatedBDName>
<associatedBDCRDNumber> None </associatedBDCRDNumber>
<recipientAddress>
<street1> One North Brentwood Blvd. </street1>
<street2> Suite 850 </street2>
<city> St. Louis </city>
<stateOrCountry> MO </stateOrCountry>
<stateOrCountryDescription> MISSOURI </stateOrCountryDescription>
<zipCode> 63105 </zipCode>
</recipientAddress>
<statesOfSolicitationList>
<value> All States </value>
</statesOfSolicitationList>
<foreignSolicitation> false </foreignSolicitation>
</recipient>
<recipient>
<recipientName> J.P. Turner & Company, L.L.C. </recipientName>
<recipientCRDNumber> 43177 </recipientCRDNumber>
<associatedBDName> None </associatedBDName>
<associatedBDCRDNumber> None </associatedBDCRDNumber>
<recipientAddress>
<street1> One Buckhead Plaza </street1>
<street2> 3060 Peachtree Road NW, 11th Floor </street2>
<city> Atlanta </city>
<stateOrCountry> GA </stateOrCountry>
<stateOrCountryDescription> GEORGIA </stateOrCountryDescription>
<zipCode> 30305 </zipCode>
</recipientAddress>
<statesOfSolicitationList></statesOfSolicitationList>
<foreignSolicitation> true </foreignSolicitation>
</recipient>
</salesCompensationList>
<offeringSalesAmounts>
<totalOfferingAmount> Indefinite </totalOfferingAmount>
<totalAmountSold> 155217440 </totalAmountSold>
<totalRemaining> Indefinite </totalRemaining>
<clarificationOfResponse></clarificationOfResponse>
</offeringSalesAmounts>
<investors>
<hasNonAccreditedInvestors> true </hasNonAccreditedInvestors>
<numberNonAccreditedInvestors> 10 </numberNonAccreditedInvestors>
<totalNumberAlreadyInvested> 1935 </totalNumberAlreadyInvested>
</investors>
<salesCommissionsFindersFees>
<salesCommissions>
<dollarAmount> 11732261 </dollarAmount>
<isEstimate> true </isEstimate>
</salesCommissions>
<findersFees>
<dollarAmount> 0 </dollarAmount>
</findersFees>
<clarificationOfResponse> 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. </clarificationOfResponse>
</salesCommissionsFindersFees>
<useOfProceeds>
<grossProceedsUsed>
<dollarAmount> 0 </dollarAmount>
</grossProceedsUsed>
<clarificationOfResponse></clarificationOfResponse>
</useOfProceeds>
<signatureBlock>
<authorizedRepresentative> false </authorizedRepresentative>
<signature>
<issuerName> AIS FUTURES FUND IV LP </issuerName>
<signatureName> John Hummel </signatureName>
<nameOfSigner> John Hummel </nameOfSigner>
<signatureTitle> Managing Principal of the General Partner </signatureTitle>
<signatureDate> 2021-12-01 </signatureDate>
</signature>
</signatureBlock>
</offeringData>
</edgarSubmission>


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