The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM D Notice of Exempt Offering of Securities |
|
1. Issuer's Identity
CIK (Filer ID Number) | Previous Names |
| Entity Type | ||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
0001122892 |
| ||||||||||||||
Name of Issuer | |||||||||||||||
PREFERRED YIELD PLUS LP | |||||||||||||||
Jurisdiction of Incorporation/Organization | |||||||||||||||
CALIFORNIA | |||||||||||||||
Year of Incorporation/Organization | |||||||||||||||
|
2. Principal Place of Business and Contact Information
Name of Issuer | |||
---|---|---|---|
PREFERRED YIELD PLUS LP | |||
Street Address 1 | Street Address 2 | ||
101 CALIFORNIA STREET | SUITE 1600 | ||
City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
SAN FRANCISCO | CALIFORNIA | 94111 | 415-869-6300 |
3. Related Persons
Last Name | First Name | Middle Name |
---|---|---|
USHER GP, LLC | USHER GP, LLC | |
Street Address 1 | Street Address 2 | |
101 CALIFORNIA STREET | SUITE 1600 | |
City | State/Province/Country | ZIP/PostalCode |
SAN FRANCISCO | CALIFORNIA | 94111 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
USHER GP, LLC IS THE GENERAL PARTNER OF THE ISSUER.Last Name | First Name | Middle Name |
---|---|---|
FORWARD MANAGEMENT, LLC | FORWARD MANAGEMENT, LLC | |
Street Address 1 | Street Address 2 | |
101 CALIFORNIA STREET | SUITE 1600 | |
City | State/Province/Country | ZIP/PostalCode |
SAN FRANCISCO | CALIFORNIA | 94111 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
FORWARD MANAGEMENT, LLC IS A MEMBER OF THE GENERAL PARTNER OF THE ISSUER.Last Name | First Name | Middle Name |
---|---|---|
DOUBLE GREEN PARTNERS LLC | DOUBLE GREEN PARTNERS LLC | |
Street Address 1 | Street Address 2 | |
C/O PAUL GRAY II, MBR | 2910 WINDTREE COURT | |
City | State/Province/Country | ZIP/PostalCode |
LAFAYETTE | CALIFORNIA | 94549 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
DOUBLE GREEN PARTNERS LLC IS A MEMBER OF THE GENERAL PARTNER OF THE ISSUER.4. Industry Group
|
|
|
5. Issuer Size
Revenue Range | OR | Aggregate Net Asset Value Range | ||
---|---|---|---|---|
No Revenues | No Aggregate Net Asset Value | |||
$1 - $1,000,000 | $1 - $5,000,000 | |||
$1,000,001 - $5,000,000 | $5,000,001 - $25,000,000 | |||
$5,000,001 - $25,000,000 | $25,000,001 - $50,000,000 | |||
$25,000,001 - $100,000,000 | $50,000,001 - $100,000,000 | |||
Over $100,000,000 | Over $100,000,000 | |||
Decline to Disclose | X | Decline to Disclose | ||
Not Applicable | Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
Rule 504(b)(1) (not (i), (ii) or (iii)) | Rule 505 | |||||||||||||||||||||||||||||||||||
Rule 504 (b)(1)(i) | X | Rule 506 | ||||||||||||||||||||||||||||||||||
Rule 504 (b)(1)(ii) | Securities Act Section 4(5) | |||||||||||||||||||||||||||||||||||
Rule 504 (b)(1)(iii) | X | Investment Company Act Section 3(c) | ||||||||||||||||||||||||||||||||||
|
7. Type of Filing
New Notice | Date of First Sale | 2007-01-27 | First Sale Yet to Occur | ||||||
X | Amendment |
8. Duration of Offering
Does the Issuer intend this offering to last more than one year? |
|
9. Type(s) of Securities Offered (select all that apply)
Equity | X | Pooled Investment Fund Interests | |
Debt | Tenant-in-Common Securities | ||
Option, Warrant or Other Right to Acquire Another Security | Mineral Property Securities | ||
Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security | Other (describe) | ||
10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
|
Clarification of Response (if Necessary):
11. Minimum Investment
Minimum investment accepted from any outside investor | $500,000 | USD |
12. Sales Compensation
Recipient |
| ||||||
FSC SECURITIES CORP. | 7461 | ||||||
|
| ||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
2300 WINDY RIDGE PARKWAY | SUITE 1100 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
ATLANTA | GEORGIA | 30339 | |||||
|
| ||||||
Recipient |
| ||||||
THE STRATEGIC FINANCIAL ALLIANCE | 126514 | ||||||
|
| ||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
2200 CENTURY PARKWAY | SUITE 500 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
ATLANTA | GEORGIA | 30345 | |||||
|
| ||||||
Recipient |
| ||||||
COMMONWEALTH FINANCIAL NETWORK | 8032 | ||||||
|
| ||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
ONE UNIVERSITY PARK | 29 SAWYER ROAD | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
WALTHAM | MASSACHUSETTS | 02453 | |||||
|
| ||||||
Recipient |
| ||||||
SANDERS MORRIS HARRIS, INC. | 20580 | ||||||
|
| ||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
600 TRAVIS STREET | SUITE 5800 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
HOUSTON | TEXAS | 77002-3008 | |||||
|
| ||||||
Recipient |
| ||||||
VSR FINANCIAL SERVICES, INC. | 14503 | ||||||
|
| ||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
8620 W. 110TH STREET | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
OVERLAND PARK | KANSAS | 66210 | |||||
|
| ||||||
Recipient |
| ||||||
H. BECK, INC. | 1763 | ||||||
|
| ||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
11140 ROCKVILLE PIKE | 4TH FLOOR | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
ROCKVILLE | MARYLAND | 20852 | |||||
|
| ||||||
Recipient |
| ||||||
STANFORD INVESTMENT GROUP | 10031 | ||||||
|
| ||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
2570 EL CAMINO REAL | SUITE 520 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
MOUNTAIN VIEW | CALIFORNIA | 94040 | |||||
|
| ||||||
Recipient |
| ||||||
AMERICAN INVESTORS COMPANY | 38 | ||||||
|
| ||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
2682 BISHOP DRIVE | SUITE 123 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
SAN RAMON | CALIFORNIA | 94583 | |||||
|
| ||||||
Recipient |
| ||||||
IFG NETWORK SECURITIES, INC. | 19948 | ||||||
|
| ||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
5780 POWERS FERRY ROAD | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
ATLANTA | GEORGIA | 30326 | |||||
|
| ||||||
Recipient |
| ||||||
WALNUT STREET SECURITIES | 15840 | ||||||
|
| ||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
MET LIFE | 300 DAVIDSON AVE., 3RD FLOOR EAST WING | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
SOMERSET | NEW JERSEY | 08873 | |||||
|
| ||||||
13. Offering and Sales Amounts
Total Offering Amount | USD |
| ||||
Total Amount Sold | $13,331,748 | USD | ||||
Total Remaining to be Sold | USD |
|
Clarification of Response (if Necessary):
14. Investors
Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering. | |||
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: |
|
15. Sales Commissions & Finder's Fees Expenses
Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
Sales Commissions | $624,412 | USD |
| ||
Finders' Fees | $0 | USD |
|
Clarification of Response (if Necessary):
16. Use of Proceeds
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
$0 | USD |
|
Clarification of Response (if Necessary):
Signature and Submission
Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.
Terms of Submission
In submitting this notice, each issuer named above is: |
|
Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.
For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.
Issuer | Signature | Name of Signer | Title | Date |
---|---|---|---|---|
PREFERRED YIELD PLUS LP | MARY CURRAN | MARY CURRAN | MANAGING DIRECTOR, FORWARD MANAGEMENT, LLC, MEMBER OF GP | 2012-01-09 |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.
* This undertaking does not affect any limits Section 102(a) of the National Securities Markets Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to require information. As a result, if the securities that are the subject of this Form D are "covered securities" for purposes of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot routinely require offering materials under this undertaking or otherwise and can require offering materials only to the extent NSMIA permits them to do so under NSMIA's preservation of their anti-fraud authority.