0001561747-13-000004.txt : 20131115 0001561747-13-000004.hdr.sgml : 20131115 20131115122633 ACCESSION NUMBER: 0001561747-13-000004 CONFORMED SUBMISSION TYPE: D/A PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b ITEM INFORMATION: Investment Company Act Section 3(c) ITEM INFORMATION: Section 3(c)(1) FILED AS OF DATE: 20131115 DATE AS OF CHANGE: 20131115 EFFECTIVENESS DATE: 20131115 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RiverRock Investment Fund IV, LP CENTRAL INDEX KEY: 0001561747 IRS NUMBER: 800855096 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: D/A SEC ACT: 1933 Act SEC FILE NUMBER: 021-195218 FILM NUMBER: 131223155 BUSINESS ADDRESS: STREET 1: 3200 SOUTHWEST FREEWAY STREET 2: SUITE 3120 CITY: HOUSTON STATE: TX ZIP: 77027 BUSINESS PHONE: 713-375-1300 MAIL ADDRESS: STREET 1: 3200 SOUTHWEST FREEWAY STREET 2: SUITE 3120 CITY: HOUSTON STATE: TX ZIP: 77027 D/A 1 primary_doc.xml X0707 D/A LIVE 0001561747 RiverRock Investment Fund IV, LP 3200 SOUTHWEST FREEWAY SUITE 3120 HOUSTON TX TEXAS 77027 713-375-1300 DELAWARE None None Limited Partnership true 2012 General Partner RiverRock Investment Management IV, LLC 3200 Southwest Freeway Suite 3120 Houston TX TEXAS 77027 Executive Officer Promoter General Partner of Issuer Sole Owner RiverRock Trust, LLC 3200 Southwest Freeway Suite 3120 Houston TX TEXAS 77027 Promoter Sole Owner of Issuer's General Partner James T Hickey 3200 Southwest Freeway Suite 3120 Houston TX TEXAS 77027 Executive Officer Director Promoter Manager of Issuer's General Partner Jay Jackson 3200 Southwest Freeway Suite 3120 Houston TX TEXAS 77027 Director Promoter Director of Issuer's General Partner Pooled Investment Fund Private Equity Fund false Decline to Disclose 06b 3C 3C.1 true 0001561747-13-000003 2013-04-16 true true true false 100000 Frank J. Marrone 4960685 Sunbelt Securities, Inc. 42180 5065 Westheimer Suite 600 Houston TX TEXAS 77056 CA CALIFORNIA CO COLORADO GA GEORGIA TX TEXAS false Sunbelt Securities, Inc. 42180 Sunbelt Securities, Inc. 42180 5065 Westheimer Suite 600 Houston TX TEXAS 77056 AL ALABAMA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE FL FLORIDA GA GEORGIA IL ILLINOIS IN INDIANA IA IOWA KS KANSAS KY KENTUCKY LA LOUISIANA MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MS MISSISSIPPI MO MISSOURI NE NEBRASKA NV NEVADA NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA ND NORTH DAKOTA OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VA VIRGINIA WA WASHINGTON WV WEST VIRGINIA WI WISCONSIN WY WYOMING false Matthew C. Knauss 5967992 Sunbelt Securities, Inc. 42180 5065 Westheimer Suite 600 Houston TX TEXAS 77056 CA CALIFORNIA FL FLORIDA TX TEXAS false Charles W. Bingham 4877997 Sunbelt Securities, Inc. 42180 5065 Westheimer Suite 600 Houston TX TEXAS 77027 IL ILLINOIS KY KENTUCKY LA LOUISIANA MN MINNESOTA TX TEXAS false Catherine L. Hicks 5945027 Carolina Financial Securities, LLC 41970 185 West Main Street Brevard NC NORTH CAROLINA 28712 AL ALABAMA CT CONNECTICUT DC DISTRICT OF COLUMBIA GA GEORGIA IN INDIANA KY KENTUCKY MD MARYLAND MI MICHIGAN NJ NEW JERSEY NC NORTH CAROLINA OH OHIO PA PENNSYLVANIA SC SOUTH CAROLINA TX TEXAS VA VIRGINIA false Carolina Financial Securities, LLC 41970 Carolina Financial Securities, LLC 41970 185 West Main Street Brevard NC NORTH CAROLINA 28712 AL ALABAMA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE DC DISTRICT OF COLUMBIA FL FLORIDA GA GEORGIA IL ILLINOIS IN INDIANA KY KENTUCKY MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MO MISSOURI NV NEVADA NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA OH OHIO OR OREGON PA PENNSYLVANIA SC SOUTH CAROLINA TN TENNESSEE TX TEXAS UT UTAH VA VIRGINIA WA WASHINGTON WI WISCONSIN false 100000000 1865000 98135000 false 14 1000000 true 0 Commissions yet to be earned and amount depends on amount sold by each broker throughout the placement. 0 true Certain persons named in Item 3 or affiliates thereof may receive payments deemed to be made from the proceeds of the offering, including management fees, reimbursement and/or carried interest. The amount of such fees cannot be estimated at this time. false RiverRock Investment Fund IV, LP James T. Hickey James T. Hickey Manager of General Partner of Issuer 2013-11-15