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| Harborview Capital Management LLC
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|---|---|
| CRD # | 130935 |
| SEC # | 801-71040 |
| CIK # | 0001492020 |
| AUM | |
| Employees | |
| Phone | 626-405-4012 |
| Address | 140 South Lake Avenue Pasadena, CA 91101 |
| Source | [IAPD] [EDGAR] |
| Total AUM ($M) |
|---|
| Type | Form D Funds | Date | Sold | AUM |
|---|---|---|---|---|
| HF | Ark Multi-Manager Fund LP | [2012-04-02] | 20.0 M | 6.2 M |
| Filed 2017-06-06 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Minimum $250,000 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose | ||||
| AUM Breakdown | Accounts | AUM ($M) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 0 | 0.0 |
| (b) Individuals (high net worth individuals) | 0 | 0.0 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 0 | 0.0 |
| (g) Pension and profit sharing plans | 0 | 0.0 |
| (h) Charitable organizations | 0 | 0.0 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 0 | 0.0 |
| (n) Other | 0 | 0.0 |
| Total | 1 | 5.6 |
| By Discretionary | ||
| Discretionary | 1 | 5.6 |
| Non-Discretionary | 0 | 0.0 |
| Total | 1 | 5.6 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.0 | |
| United States Persons | 5.6 | |
| Total | 1 | 5.6 |
| Form D Directors | Role | # Filings | # Firms | 2011 - 2026 |
|---|---|---|---|---|
| John Krieger | Promoter | 9 | 3 | |
| Harborview Capital Management LLC | Executive Officer | 1 | 1 |
| EDGAR Form | CIK | 2011 - 2026 |
|---|---|---|
| 4 | [0001492020] |
| Firm Profile (Form ADV) | |
|---|---|
| Serves | Institutional, Research |
| Fund Types | Hedge Fund |
| Form 3/4/5 Subject | 2011 - 2026 |
|---|---|
| Harborview Capital Management LLC | |
| Adynxx Inc | |
| Stefansky David | |
| Harborview Advisors LLC | |
| Harborview Value Master Fund LP | |
| Rosenblum Richard | |
| Harborview Master Fund LP |
| Insider Transaction (Form 3/4/5) | Date | Action | Shares | Price | Value ($) |
|---|---|---|---|---|---|
|
Adynxx Inc ALQA
Common Stock
|
2013-11-11 | Grant | 8,144,719 | ||
|
Adynxx Inc [ALQA]
Common Stock
|
2013-06-28 | Grant | 8,144,719 | ||
|
Adynxx Inc [ALQA]
Common Stock
|
2013-06-28 | Buy | 617,284 | ||
|
Adynxx Inc [ALQA]
Common Stock Warrants (right to buy) · derivative
|
2013-06-28 | Grant | 617,284 | ||
|
Adynxx Inc [ALQA]
Common Stock
|
2013-02-22 | Buy | 617,284 | ||
|
Adynxx Inc [ALQA]
Common Stock Warrants (right to buy) · derivative
|
2013-02-22 | Buy | 617,284 | ||
|
Adynxx Inc [ALQA]
Common Stock Warrants (right to buy) · derivative
|
2013-02-22 | Buy | 617,284 | ||
|
Adynxx Inc [ALQA]
Common Stock
|
2013-02-22 | Buy | 617,284 | ||
|
Adynxx Inc ALQA
Common Stock
|
2012-11-08 | Buy | 1,000,000 | ||
|
Adynxx Inc ALQA
Common Stock Warrants (right to buy) · derivative
|
2012-11-08 | Grant | 1,000,000 | ||
|
Adynxx Inc ALQA
Common Stock Warrants (right to buy) · derivative
|
2012-11-08 | Grant | 2,500,000 | ||
|
Adynxx Inc ALQA
Common Stock
|
2012-11-08 | Buy | 2,500,000 | ||
|
Adynxx Inc ALQA
Common Stock
|
2012-08-14 | Buy | 2,000,000 | $0.00 | |
|
Adynxx Inc ALQA
Common Stock
|
2012-08-14 | Buy | 1,500,000 | $0.00 | |
|
Adynxx Inc ALQA
Common Stock
|
2012-07-17 | Other | 294,961 | $0.00 | |
|
Adynxx Inc ALQA
Common Stock
|
2012-07-17 | Other | 294,961 | $0.00 | |
|
Adynxx Inc ALQA
Common Stock
|
2012-07-17 | Other | 27,981,999 | $0.00 | |
|
Adynxx Inc ALQA
Common Stock
|
2012-07-17 | Other | 283,763 | $0.00 | |
|
Adynxx Inc ALQA
Common Stock
|
2012-07-17 | Other | 294,961 | $0.00 | |
|
Adynxx Inc ALQA
Common Stock
|
2012-07-17 | Other | 3,175,934 | $0.00 | |
| showing 20 of 35 most recent transactions | |||||