PIVOT3, INC.
Built from the SEC filing index the day the filing landed. The figures below are the issuer's own from Form D; AltStreet's analysis, sponsor link and data flags follow when the entity is enriched.
Raised
$67M
Investors
17
Min Invest
None stated
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What this filing shows
·Every sentence is a value as filed on SEC Form D
PIVOT3, INC. is a Delaware corporation that first filed a Form D on February 8, 2012 and most recently amended it on August 23, 2017 in the Other Technology industry group. The offering claims Rule 506(b) and covers equity. PIVOT3, INC. reported $67,181,719 sold from 17 investors of a $73,191,689 total offering as of the Form D filed August 23, 2017. The offering relies on Rule 506(b), which permits sales to accredited investors and to no more than 35 non-accredited investors who meet a sophistication standard, and prohibits general solicitation. The filing reports no non-accredited investors. The filing lists the minimum investment as $0, meaning no minimum was stated. The Form D names no recipient of sales compensation, which usually means the issuer or its affiliates are placing the securities directly. Sales commissions are reported as $0 and finders' fees as $0. Form D allows these to be estimates. The issuer's address of record is 221 West 6th St, Suite 750, Austin, TX 78701.
Critical Disclosures
What the filings and the regulators have said about this entity that a reader should know first. Each line links to its source. The history, the same event across other issuers, and alerts are in the terminal.
Reporting lapsed · Form D · last filing August 23, 2017
Offering declared to continue beyond a year; annual amendment 13+ months overdue An issuer that stops filing is the case the going-concern flag cannot catch: the report that would have carried it was never filed.
EDGAR Filing Data
Form D — Primary Source
View on SEC.govFilings on Record
Every filing AltStreet's ledger holds for this CIK, newest first. Each opens the SEC archive folder.
In the Terminal
Filing events
0
none on file
Critical / warning
0 / 0
0 watch · 0 info
Statements extracted
0
none on file
NAV prints
0
none on file
Offering chains
1
dark
Fund family Part of the Pivot family: 4 vehicles across 2 generations · adviser of record Pivot Investment Partners, LLC · full family and the filing behind each link in the terminal
Investor
- The full fund family and any related vehicles (parallel, feeder, successor, sibling series) with the filing that shows each link
- 1 offering timeline: velocity, share raised, first-sale lag, stalled flags
Pro
- This issuer against its cohort: rank by velocity and share raised among offerings filed the same quarter
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Related Persons (Form D)
Executive officers, directors, and promoters listed on the SEC Form D filing. Source: SEC.gov.
H. Ronald Nash
Executive Officer, Director · Austin, TX
Alan J. Higginson
Director · Austin, TX
Brian R. Smith
Director · Austin, TX
Donna R. Troy
Director · Austin, TX
Marc R. Zionts
Director · Austin, TX
William C. Galloway
Executive Officer · Austin, TX
Steven R. Mitchell
Director · Tulsa, OK
Wilbur G. Stover, Jr.
Executive Officer · Austin, TX
Questions About PIVOT3, INC.
Each answer is built from the values on the SEC filing and the AltStreet ledger, not from the issuer's marketing.
What is PIVOT3, INC.?
PIVOT3, INC. is a Delaware corporation that filed a Form D with the SEC on August 23, 2017 in the Other Technology industry group. The filing claims Rule 506(b) for an offering of equity.
Is PIVOT3, INC. legit?
AltStreet does not rate legitimacy; it reports the public record. PIVOT3, INC. filed a Form D with the SEC on August 23, 2017 claiming Rule 506(b). A Form D is a notice of an exempt offering, not a review or approval of it. The newest notice reports $67,181,719 sold to 17 investors. AltStreet's enforcement record (SEC, FINRA and state actions) shows no action naming the issuer as of today. Before investing, confirm the filing on EDGAR, check the seller's registration on FINRA BrokerCheck, and read the offering documents, which a Form D does not include.
Is PIVOT3, INC. registered with or approved by the SEC?
No. A Form D is a notice that an issuer is selling securities under an exemption from registration, and the SEC does not review, approve, or pass on the merits of the offering. The filing shows that PIVOT3, INC. claimed Rule 506(b) and disclosed the items the form requires, such as the amount sold, the minimum investment, related persons, and anyone paid to sell the securities. It does not verify the issuer's claims or its business.
How much has PIVOT3, INC. raised?
PIVOT3, INC. reported $67,181,719 sold from 17 investors of a $73,191,689 total offering as of the Form D filed August 23, 2017.
Who can invest in PIVOT3, INC.?
The offering relies on Rule 506(b), which permits sales to accredited investors and to no more than 35 non-accredited investors who meet a sophistication standard, and prohibits general solicitation. The filing reports no non-accredited investors. The filing lists the minimum investment as $0, meaning no minimum was stated.
What is the minimum investment in PIVOT3, INC.?
The Form D lists the minimum investment as $0, which means the issuer did not state a minimum on the form. The offering documents, not the Form D, set the actual subscription terms.
Who is selling PIVOT3, INC. and how are they paid?
The Form D names no recipient of sales compensation, which usually means the issuer or its affiliates are placing the securities directly. Sales commissions are reported as $0 and finders' fees as $0. Form D allows these to be estimates.
Who is behind PIVOT3, INC.?
The Form D lists 8 related persons: H. Ronald Nash, executive officer, director; Alan J. Higginson, director; Brian R. Smith, director; Donna R. Troy, director; Marc R. Zionts, director; William C. Galloway, executive officer; Steven R. Mitchell, director; Wilbur G. Stover, Jr., executive officer. Form D Item 3 requires executive officers, directors, and promoters of the issuer to be listed.
Where is PIVOT3, INC. located?
The issuer's address on its SEC filings is 221 West 6th St, Suite 750, Austin, TX 78701. Its phone number of record is 512-807-2666. It is organized under the laws of Delaware.
How long is the PIVOT3, INC. offering open?
The issuer indicated that the offering is intended to last more than one year. An issuer must amend its Form D annually while a continuing offering stays open; 6 amendments are on record for this CIK.
What is PIVOT3, INC.'s revenue?
The issuer declined to disclose its revenue range on the Form D, which the form permits.
Is PIVOT3, INC. raising money for an acquisition?
Yes. The Form D indicates that the offering is being made in connection with a business combination transaction, such as a merger or acquisition.
Is this your company or fund?
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Data Methodology
Capital raise figures, investor counts, and filing dates are sourced directly from SEC EDGAR Form D primary documents via the SEC EDGAR submissions API and full-text search index. EDGAR entity profiles and deal-level data are reviewed by AltStreet analysts with backgrounds in corporate finance and securities law — cross-referenced against offering circulars, audited financial statements, and primary regulatory filings before publication. Platform-provided information, where present, is clearly labeled and does not affect EDGAR data or AltStreet editorial coverage. Platforms may request factual corrections for demonstrable inaccuracies by contacting [email protected]. This page does not constitute investment advice.