iCap Vault 1, LLC Form 8-K: Current report
Filings on SEC EDGAR, newest first; amendments sit with their base form. Values are as filed.
- 2023-03-13: Form 8-K; Period of report 2022-08-31; Description 1.01 Entry into a Material Definitive Agreement; 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant; Details 1.01.
- 2022-11-22: Form 8-K/A; Period of report 2022-06-21; Description 1.01 Entry into a Material Definitive Agreement; 2.01 Completion of Acquisition or Disposition of Assets; Details 1.01.
- 2022-11-15: Form 8-K; Period of report 2022-11-03; Description 1.01 Entry into a Material Definitive Agreement; Details 1.01.
- 2022-09-16: Form 8-K; Period of report 2022-09-13; Description 4.01 Changes in Registrant's Certifying Accountant; Details 4.01.
| Filed | Form | Period of report | Description | Details | Document |
|---|---|---|---|---|---|
| 2023-03-13 | 8-K | 2022-08-31 | 1.01 Entry into a Material Definitive Agreement; 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant | 1.01 Entry into a Material Definitive Agreement. 2.03 The information provided above in Item 1.01 above is incorporated by reference into this Item 2.03. | form8-k.htm |
| 2022-11-22 | 8-K/A | 2022-06-21 | 1.01 Entry into a Material Definitive Agreement; 2.01 Completion of Acquisition or Disposition of Assets | 1.01 Entry into a Material Definitive Agreement. 2.01 The Purchaser’s purchase of the Property closed on July 26, 2022. | form8-ka.htm |
| 2022-11-15 | 8-K | 2022-11-03 | 1.01 Entry into a Material Definitive Agreement | 1.01 On November 3, 2022, iCap Vault Management, LLC (the “Manager”), the manager of iCap Vault 1, LLC (the “Company”), entered into a Placement Agent Agreement (the “Agreement”) on behalf of the Company, with IBN Financial Services, Inc. (the “Placement Agent”), pursuant to which the Manager appointed the Placement Agent to effect sales, on a best efforts basis, of variable denomination floating rate demand notes (the “Notes”), with a minimum investment of $25.00 per purchaser, to qualified investors, upon the terms and subject to the conditions set forth in the Prospectus dated May 6, 2022, as amended. | form8-k.htm |
| 2022-09-16 | 8-K | 2022-09-13 | 4.01 Changes in Registrant's Certifying Accountant | 4.01 Based on information provided by iCap Vault 1, LLC’s (the “Company”) independent registered public accounting firm, Friedman LLP, effective September 1, 2022, Friedman LLP combined with Marcum LLP and continued to operate as an independent registered public accounting firm. | form8-k.htm |
| 2022-08-01 | 8-K | 2022-06-21 | 1.01 Entry into a Material Definitive Agreement; 2.01 Completion of Acquisition or Disposition of Assets | 1.01 Entry into a Material Definitive Agreement. 2.01 The Purchaser’s purchase of the Property closed on July 26, 2022. | form8-k.htm |
| 2022-07-22 | 8-K | 2022-06-27 | 1.01 Entry into a Material Definitive Agreement | 1.01 Entry into a Material Definitive Agreement. | form8-k.htm |
| 2022-04-12 | 8-K | 2022-04-08 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On April 8, 2022, iCap Vault 1, LLC (the “Company,” “we,” “our” or “us”) notified Francis Gannon of his termination, effective May 8, 2022, from his positions as Chief Financial Officer of the Company, a manager of the Company, Chief Financial Officer of Vault Holding 1, LLC, a wholly owned subsidiary of the Company (“Holding 1”), a manager of Holding 1, and a Board Member of iCap Vault Management, LLC, the Company’s manager (the “Manager”). | form8-k.htm |
| 2022-03-24 | 8-K | 2022-03-11 | 1.01 Entry into a Material Definitive Agreement | 1.01 Entry into a Material Definitive Agreement. | form8-k.htm |
| 2022-02-04 | 8-K | 2022-01-31 | 1.01 Entry into a Material Definitive Agreement; 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant | 1.01 Entry into a Material Definitive Agreement. 2.03 The information provided above in Item 1.01 above is incorporated by reference into this Item 2.03. | form8-k.htm |
| 2021-12-17 | 8-K | 2021-12-14 | 1.01 Entry into a Material Definitive Agreement; 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant | 1.01 Entry into a Material Definitive Agreement. 2.03 The information provided above in Item 1.01 above is incorporated by reference into this Item 2.03. | form8-k.htm |
| 2021-12-09 | 8-K/A | 2021-04-23 | 1.01 Entry into a Material Definitive Agreement; 2.01 Completion of Acquisition or Disposition of Assets | 1.01 Entry into a Material Definitive Agreement. 2.01 The information set forth above under Item 1.01 hereof is incorporated herein by reference. | form8-ka.htm |
| 2021-12-06 | 8-K | 2021-11-30 | 1.01 Entry into a Material Definitive Agreement | 1.01 On November 30, 2021, iCap Vault Management, LLC (the “Manager”), the manager of iCap Vault 1, LLC (the “Company”), entered into a Placement Agent Agreement (the “Agreement”) on behalf of the Company, with Somerset Securities, Inc. (the “Placement Agent”), pursuant to which the Manager appointed the Placement Agent to effect sales, on a best efforts basis, of variable denomination floating rate demand notes (the “Notes”) to qualified investors, upon the terms and subject to the conditions set forth in the Prospectus dated May 5, 2021, as amended. | form8-k.htm |
| 2021-11-19 | 8-K | 2021-11-15 | 1.01 Entry into a Material Definitive Agreement | 1.01 On November 15, 2021 (the “Effective Date”), VH 1121 14th, LLC, a Washington limited liability company (“Buyer”), which is a wholly-owned subsidiary of Vault Holding, LLC (“Holding”), which is a wholly owned subsidiary of iCap Vault 1, LLC (the “Company”), entered into a Purchase and Sale Agreement for the purchase of five real estate parcels located in Seattle, Washington on 14th Avenue (the “Purchase Agreement”). | form8-k.htm |
| 2021-11-12 | 8-K | 2021-09-30 | 1.01 Entry into a Material Definitive Agreement | 1.01 On September 30, 2021, iCap Vault 1, LLC (the “Company”) and Vault Holding, LLC, a wholly owned subsidiary of the Company (“Vault Holding” and together with the Company, the “Issuer”) purchased a secured promissory note (the “CS2 Note”) from CS2 Real Estate Development, LLC, a Washington limited liability company (“Borrower”) and a related party of the Company. | form8-k.htm |
| 2021-09-21 | 8-K | 2021-09-15 | 1.01 Entry into a Material Definitive Agreement; 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 1.01 Entry into Material Definitive Agreement. 5.02 On September 17, 2021, iCap Enterprises, Inc., the sole member of the Manager (“iCap Enterprises”), appointed Francis Gannon as a manager, to serve on the Manager’s board of managers, and approved the hiring of Mr. Gannon to serve as the Manager’s Chief Financial Officer. | form8-k.htm |
| 2021-08-13 | 8-K | 2021-08-09 | 1.01 Entry into a Material Definitive Agreement | 1.01 Entry into Material Definitive Agreement. | form8-k.htm |
| 2021-06-29 | 8-K | 2021-06-01 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On June 1, 2021, Joseph Turner, Controller, principal financial officer and principal accounting officer of iCap Vault 1, LLC (the “Company”) and of Vault Holding 1, LLC, a wholly owned subsidiary of the Company (“Vault Holding 1”), informed management of his intention to resign from his positions with the Company and Vault Holding 1, effective June 21, 2021. | form8-k.htm |
| 2021-05-26 | 8-K | 2021-05-20 | 8.01 Other Events | 8.01 On May 20, 2021, Vault Holding, LLC (“Holding”), a wholly owned subsidiary of iCap Vault 1, LLC (the “Company”), made a loan to 725 Broadway, LLC, an affiliated entity (“725 Broadway”), in the amount of $1,200,000, in exchange for a promissory note, dated May 17, 2021, secured by a deed of trust on property owned by 725 Broadway and bearing interest of 10% per annum. | form8-k.htm |
| 2021-04-29 | 8-K | 2021-04-23 | 1.01 Entry into a Material Definitive Agreement | 1.01 Entry into a Material Definitive Agreement. | form8-k.htm |
| 2021-01-28 | 8-K | 2021-01-21 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On January 21, 2021, Jonathan Siegel, Chief Financial Officer of iCap Vault 1, LLC (“iCap”) and Vault Holding 1, LLC (“Vault Holding” and together with iCap, the “Companies”), resigned from any and all positions with the Companies effective February 5, 2021. | form8-k.htm |