-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, HVhxeOE15lLIIM7slRJB4pOLTXRkr4QRTRFfUa1ow5TWZfTDSJDP0pOPfygU3Ct9 sKKJMo/sszeCPOqF94fF/A== 0001476063-10-000005.txt : 20100510 0001476063-10-000005.hdr.sgml : 20100510 20100510115358 ACCESSION NUMBER: 0001476063-10-000005 CONFORMED SUBMISSION TYPE: D/A PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: Rule 506 FILED AS OF DATE: 20100510 DATE AS OF CHANGE: 20100510 EFFECTIVENESS DATE: 20100510 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AEI Serious Materials Investments II, LLC CENTRAL INDEX KEY: 0001476063 IRS NUMBER: 272159920 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: D/A SEC ACT: 1933 Act SEC FILE NUMBER: 021-140927 FILM NUMBER: 10814942 BUSINESS ADDRESS: STREET 1: 311 S WACKER DRIVE STREET 2: SUITE 1650 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 804-378-1110 MAIL ADDRESS: STREET 1: 311 S WACKER DRIVE STREET 2: SUITE 1650 CITY: CHICAGO STATE: IL ZIP: 60606 FORMER COMPANY: FORMER CONFORMED NAME: AEI SerMat Investments II, LLC DATE OF NAME CHANGE: 20091103 D/A 1 primary_doc.xml X0704 D/A LIVE 0001476063 AEI Serious Materials Investments II, LLC 311 S WACKER DRIVE SUITE 1650 CHICAGO IL ILLINOIS 60606 804-378-1110 DELAWARE AEI SerMat Investments II, LLC Limited Liability Company true 2009 N/A Advanced Equities Serious Materials Management Corporation 311 S Wacker Dr Suite 1650 Chicago IL ILLINOIS 60606 Director Managing Member Pooled Investment Fund Venture Capital Fund false Decline to Disclose 06 true 0001476063-10-000002 2010-04-07 false true true false 106000 Christopher Capra 2691295 Advanced Equities Inc. 35545 311 S Wacker Dr Suite 1650 Chicago IL ILLINOIS 60606 IL ILLINOIS MA MASSACHUSETTS false Kevin Graetz 1935982 Advanced Equities Inc. 35545 311 S Wacker Dr Suite 1650 Chicago IL ILLINOIS 60606 NY NEW YORK KS KANSAS MD MARYLAND NJ NEW JERSEY VT VERMONT PA PENNSYLVANIA false Joe Hede 2389098 Advanced Equities Inc. 35545 311 S Wacker Dr Suite 1650 Chicago IL ILLINOIS 60606 NY NEW YORK KS KANSAS MD MARYLAND NJ NEW JERSEY VT VERMONT PA PENNSYLVANIA false Gary Saccaro 1806863 Advanced Equities Inc. 35545 311 S Wacker Dr Suite 1650 Chicago IL ILLINOIS 60606 CA CALIFORNIA FL FLORIDA MA MASSACHUSETTS false Arthur Coleman 847936 Advanced Equities Inc. 35545 311 S Wacker Dr Suite 1650 Chicago IL ILLINOIS 60606 UT UTAH false Bijal Modi 5155401 Advanced Equities Inc. 35545 311 S Wacker Dr Suite 1650 Chicago IL ILLINOIS 60606 TN TENNESSEE IL ILLINOIS false Brad Seyffer 2498070 Advanced Equities Inc. 35545 311 S Wacker Dr Suite 1650 Chicago IL ILLINOIS 60606 CA CALIFORNIA AZ ARIZONA false Cooper Cordin 3182812 Advanced Equities Inc. 35545 311 S Wacker Dr Suite 1650 Chicago IL ILLINOIS 60606 FL FLORIDA false Eric Richardson 3182616 Advanced Equities Inc. 35545 311 S Wacker Dr Suite 1650 Chicago IL ILLINOIS 60606 NY NEW YORK WA WASHINGTON false Geoff Carfagnini 2771125 Advanced Equities Inc. 35545 311 S Wacker Dr Suite 1650 Chicago IL ILLINOIS 60606 WA WASHINGTON WI WISCONSIN false Hayward Roy 2842866 Advanced Equities Inc. 35545 311 S Wacker Dr Suite 1650 Chicago IL ILLINOIS 60606 NY NEW YORK MN MINNESOTA CA CALIFORNIA WI WISCONSIN false James Duncan 1781313 Advanced Equities Inc. 35545 311 S Wacker Dr Suite 1650 Chicago IL ILLINOIS 60606 MN MINNESOTA false Charles Mycoff 5009562 Advanced Equities Inc. 35545 311 S Wacker Dr Suite 1650 Chicago IL ILLINOIS 60606 MN MINNESOTA false James Kozak 2237880 Advanced Equities Inc. 35545 311 S Wacker Dr Suite 1650 Chicago IL ILLINOIS 60606 NY NEW YORK NJ NEW JERSEY WI WISCONSIN TN TENNESSEE IL ILLINOIS false John Ferrick 2568789 Advanced Equities Inc. 35545 311 S Wacker Dr Suite 1650 Chicago IL ILLINOIS 60606 NY NEW YORK NJ NEW JERSEY TN TENNESSEE IL ILLINOIS false Jared Carmel 4796201 Advanced Equities Inc. 35545 311 S Wacker Dr Suite 1650 Chicago IL ILLINOIS 60606 OK OKLAHOMA CA CALIFORNIA NH NEW HAMPSHIRE MA MASSACHUSETTS false Jared Slater 4476358 Advanced Equities Inc. 35545 311 S Wacker Dr Suite 1650 Chicago IL ILLINOIS 60606 MI MICHIGAN CA CALIFORNIA TX TEXAS false Jeff Binkert 2491492 Advanced Equities Inc. 35545 311 S Wacker Dr Suite 1650 Chicago IL ILLINOIS 60606 CA CALIFORNIA IL ILLINOIS false Chris Gambino 4129800 Advanced Equities Inc. 35545 311 S Wacker Dr Suite 1650 Chicago IL ILLINOIS 60606 CA CALIFORNIA IL ILLINOIS false Lisa Julin 4327915 Advanced Equities Inc. 35545 311 S Wacker Dr Suite 1650 Chicago IL ILLINOIS 60606 CA CALIFORNIA false James Piff 1991874 Advanced Equities Inc. 35545 311 S Wacker Dr Suite 1650 Chicago IL ILLINOIS 60606 CA CALIFORNIA WI WISCONSIN IL ILLINOIS false Joseph Cordi 1397664 Advanced Equities Inc. 35545 311 S Wacker Dr Suite 1650 Chicago IL ILLINOIS 60606 MN MINNESOTA false Kevin Barrett 5241590 Advanced Equities Inc. 35545 311 S Wacker Dr Suite 1650 Chicago IL ILLINOIS 60606 TN TENNESSEE IA IOWA false Wesley Gordon 5000607 Advanced Equities Inc. 35545 311 S Wacker Dr Suite 1650 Chicago IL ILLINOIS 60606 CA CALIFORNIA VT VERMONT false Tom Tang 5518409 Advanced Equities Inc. 35545 311 S Wacker Dr Suite 1650 Chicago IL ILLINOIS 60606 VA VIRGINIA CA CALIFORNIA PA PENNSYLVANIA false William Pederson 2586686 Advanced Equities Inc. 35545 311 S Wacker Dr Suite 1650 Chicago IL ILLINOIS 60606 VA VIRGINIA WA WASHINGTON PA PENNSYLVANIA false Chang Soo Han 1048237 First Allied Securities Inc. 32444 655 W Broadway 12th Floor San Diego CA CALIFORNIA 92101 IL ILLINOIS OH OHIO false Dennis Thurman 2342398 First Allied Securities Inc. 32444 655 W Broadway 12th Floor San Diego CA CALIFORNIA 92101 SD SOUTH DAKOTA false Patrick Thurman 825773 First Allied Securities Inc. 32444 655 W Broadway 12th Floor San Diego CA CALIFORNIA 92101 SD SOUTH DAKOTA false Peter Han 4704497 First Allied Securities Inc. 32444 655 W Broadway 12th Floor San Diego CA CALIFORNIA 92101 CA CALIFORNIA false Edward Yoon 2408137 First Allied Securities Inc. 32444 655 W Broadway 12th Floor San Diego CA CALIFORNIA 92101 CA CALIFORNIA false Indefinite 8515705 Indefinite false 91 424738 0 0 $424,738.03 was taken as markup by Advanced Equities Inc. with the remaining $8,090,967.08 used to make investments in Serious Materials Inc. false AEI Serious Materials Investments II, LLC Alex Winks Alex Winks Authorized Signatory 2010-05-10 -----END PRIVACY-ENHANCED MESSAGE-----