0001561747-14-000001.txt : 20140106
0001561747-14-000001.hdr.sgml : 20140106
20140106131949
ACCESSION NUMBER: 0001561747-14-000001
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: 20140106
DATE AS OF CHANGE: 20140106
EFFECTIVENESS DATE: 20140106
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: 14508996
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
0001561747-13-000004
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
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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
RiverRock Securities, LLC
153178
RiverRock Securities, LLC
153178
3200 Southwest Freeway, Suite 3120
Houston
TX
TEXAS
77027
AZ
ARIZONA
CA
CALIFORNIA
CO
COLORADO
CT
CONNECTICUT
FL
FLORIDA
GA
GEORGIA
MD
MARYLAND
MA
MASSACHUSETTS
NV
NEVADA
NY
NEW YORK
NC
NORTH CAROLINA
OR
OREGON
PA
PENNSYLVANIA
TX
TEXAS
VA
VIRGINIA
false
100000000
7925000
92075000
false
42
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
2014-01-06