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| Pappas Capital LLC
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|---|---|
| CRD # | 163346 |
| SEC # | 802-76418 |
| CIK # | 0001320654 |
| AUM | |
| Employees | |
| Fees | |
| Minimum | |
| Phone | 919-998-3300 |
| Address | 2520 Meridian Parkway Durham, NC 27713 |
| Source | [IAPD] [EDGAR] [Website] [Twitter] [LinkedIn] |
| Total AUM ($) |
|---|
| Type | Form D Funds | Date | Sold | AUM |
|---|---|---|---|---|
| VC | Pappas Life Science Ventures VI LP | [2024-03-27] | 33.3 M | |
| Offered $250,000,000 · Filed 2022-03-14 (D) · Exemption 3(c), 3(c)(1), 506(b), 3(c)(7) · Remaining $250,000,000 · Duration One year or less · Finder's Fee $1,000,000 · Revenue Decline to Disclose | ||||
| VC | PV VI CEO Fund LP | [2024-03-27] | 5.9 M | |
| Offered $25,000,000 · Filed 2022-03-14 (D) · Exemption 3(c), 3(c)(1), 506(b) · Remaining $25,000,000 · Duration One year or less · Revenue Decline to Disclose | ||||
| VC | Asia Innovation Ventures LP | [2022-03-30] | 200.0 M | 84.0 M |
| Offered $200,000,000 · Filed 2021-09-17 (D) · Exemption 3(c), 506(b), 3(c)(7) · Duration One year or less · Revenue Decline to Disclose | ||||
| VC | AM Pappas Life Science Ventures V LP | [2017-03-29] | 85.8 M | 9.6 M |
| Offered $85,754,025 · Filed 2019-01-15 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Duration More than one year · Revenue Decline to Disclose | ||||
| VC | PV V CEO Fund LP | [2017-03-29] | 7.0 M | 0.9 M |
| Offered $6,962,314 · Filed 2019-01-15 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Duration More than one year · Revenue Decline to Disclose | ||||
| VC | Chiesi Ventures LP | [2015-03-31] | 28.5 M | |
| VC | A M Pappas Life Science Ventures III LP | [2012-04-02] | 3.1 M | |
| VC | A M Pappas Life Science Ventures II LP | [2012-04-02] | 3.7 M | |
| VC | A M Pappas Life Science Ventures IV LP | [2012-04-02] | 3.0 M | |
| VC | A M Pappas Strategic Equities Fund IV LP | [2012-04-02] | 0.2 M | |
| VC | PV III CEO Fund LP | [2012-04-02] | 0.2 M | |
| VC | PV IV CEO Fund LP | [2012-04-02] | 3.9 M | 0.1 M |
| Offered $3,888,533 · Filed 2009-05-08 (D) · Exemption 506, 3(c), 3(c)(1) · Duration One year or less · Revenue Decline to Disclose | ||||
| AUM Breakdown | Accounts | AUM ($) |
|---|---|---|
| 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 | 0 | 0.0 |
| By Discretionary | ||
| Discretionary | 0 | 0.0 |
| Non-Discretionary | 0 | 0.0 |
| Total | 0 | 0.0 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.0 | |
| United States Persons | 0.0 | |
| Total | 0 | 0.0 |
| Limited Partners | 2011 - 2026 |
|---|---|
| North Carolina Retirement Services |
| Form D Directors | Role | # Filings | # Firms | 2011 - 2026 |
|---|---|---|---|---|
| Arthur Pappas | Director, Promoter | 24 | 2 | |
| Pappas Capital LLC | Promoter | 5 | 2 | |
| Ford Worthy | Director | 3 | 2 | |
| NA Pappas Management VI LLC | Promoter | 1 | 1 | |
| None Ampa Management IV LLC | Promoter | 1 | 1 | |
| Pappas Management VI LLC | Promoter | 1 | 1 | |
| NA Arthur M Pappas | Director | 1 | 1 | |
| NA Pappas Capital LLC | Promoter | 1 | 1 | |
| Aiv Management LLC | Director | 1 | 1 | |
| None A M Pappas Associates LLC | Promoter | 1 | 1 | |
| View All | ||||
| EDGAR Form | CIK | 2011 - 2026 |
|---|---|---|
| 3 | [0001320654] | |
| 4 | [0001320654] | |
| SC 13D | [0001320654] | |
| SC 13G | [0001320654] |
| Form 13D/13G Filer | Form 13D/13G Subject | Filed |
|---|---|---|
| Pappas Capital LLC | Colucid Pharmaceuticals Inc | [2016-02-16] |
| AM Pappas & Associates LLC | Athersys Inc / New | [2012-11-05] |
| Insider Transaction (Form 3/4/5) | Date | Action | Shares | Price | Value ($) |
|---|---|---|---|---|---|
|
Liquidia Technologies Inc LQDA
Common Stock, par value $0.001 per share
|
2018-07-30 | Conversion | 97,287 | ||
|
Liquidia Technologies Inc LQDA
Series C Preferred Stock, par value $0.001 per share · derivative
|
2018-07-30 | Conversion | 1,481,553 | $0.00 | |
|
Liquidia Technologies Inc LQDA
Common Stock, par value $0.001 per share
|
2018-07-30 | Conversion | 191,788 | ||
|
Liquidia Technologies Inc LQDA
Series D Preferred Stock, par value $0.001 per share · derivative
|
2018-07-30 | Conversion | 1,637,091 | $0.00 | |
|
Kezar Life Sciences Inc KZR
Series B Preferred Stock, par value $0.001 per share · derivative
|
2018-06-25 | Conversion | 290,924 | $0.00 | |
|
Kezar Life Sciences Inc KZR
Series B Preferred Stock, par value $0.001 per share · derivative
|
2018-06-25 | Conversion | 23,894 | $0.00 | |
|
Kezar Life Sciences Inc KZR
Common Stock, par value $0.001 per share
|
2018-06-25 | Conversion | 23,894 | ||
|
Kezar Life Sciences Inc KZR
Common Stock, par value $0.001 per share
|
2018-06-25 | Conversion | 290,924 | ||
|
CoLucid Pharmaceuticals Inc CLCD
Common Stock
|
2017-03-01 | Tender | 1,871,049 | $46.50 | 87,003,778 |
|
CoLucid Pharmaceuticals Inc CLCD
Stock Option (Right to Buy) · derivative
|
2017-03-01 | Disposed to issuer | 5,954 | $36.50 | 217,321 |
|
CoLucid Pharmaceuticals Inc CLCD
Common Stock
|
2017-03-01 | Tender | 116,317 | $46.50 | 5,408,740 |
|
CoLucid Pharmaceuticals Inc CLCD
Common Stock
|
2017-03-01 | Tender | 5,528 | $46.50 | 257,052 |
|
CoLucid Pharmaceuticals Inc CLCD
Stock Option (Right to Buy) · derivative
|
2017-03-01 | Disposed to issuer | 8,897 | $40.26 | 358,193 |
|
CoLucid Pharmaceuticals Inc CLCD
Series C Convertible Preferred Stock · derivative
|
2015-05-11 | Conversion | 20,808 | $0.00 | |
|
CoLucid Pharmaceuticals Inc CLCD
Common Stock
|
2015-05-11 | Buy | 282,440 | $10.00 | 2,824,400 |
|
CoLucid Pharmaceuticals Inc CLCD
Common Stock
|
2015-05-11 | Conversion | 98,757 | ||
|
CoLucid Pharmaceuticals Inc CLCD
Common Stock
|
2015-05-11 | Buy | 17,560 | $10.00 | 175,600 |
|
CoLucid Pharmaceuticals Inc CLCD
Common Stock
|
2015-05-11 | Conversion | 1,588,607 | ||
|
CoLucid Pharmaceuticals Inc CLCD
Series B Convertible Preferred Stock · derivative
|
2015-05-11 | Conversion | 41,996 | $0.00 | |
|
CoLucid Pharmaceuticals Inc CLCD
Series B Convertible Preferred Stock · derivative
|
2015-05-11 | Conversion | 675,588 | $0.00 | |
| showing 20 of 32 most recent transactions | |||||