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 |
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1. Issuer's Identity
CIK (Filer ID Number) | Previous Names |
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0001177589 |
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Name of Issuer | ||||||||||||||||
Lanx Fund, LP | ||||||||||||||||
Jurisdiction of Incorporation/Organization | ||||||||||||||||
DELAWARE | ||||||||||||||||
Year of Incorporation/Organization | ||||||||||||||||
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2. Principal Place of Business and Contact Information
Name of Issuer | |||
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Lanx Fund, LP | |||
Street Address 1 | Street Address 2 | ||
C/O LANX CAPITAL, LLC | 99 PARK AVENUE, SUITE 830 | ||
City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
NEW YORK | NEW YORK | 10016 | 212 207 9000 |
3. Related Persons
Last Name | First Name | Middle Name |
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Lanx Capital, LLC | n/a | |
Street Address 1 | Street Address 2 | |
99 Park Avenue | Suite 830 | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10016 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
The General Partner of the Issuer.Last Name | First Name | Middle Name |
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Lanx Management, LLC | n/a | |
Street Address 1 | Street Address 2 | |
99 Park Avenue | Suite 830 | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10016 |
Relationship: | Executive Officer | Director | X | Promoter |
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Clarification of Response (if Necessary):
The Investment Manager of the Issuer.Last Name | First Name | Middle Name |
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Goldman | Brian | |
Street Address 1 | Street Address 2 | |
c/o Lanx Capital, LLC | 99 Park Avenue, Suite 830 | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10016 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Mr. Goldman is the Managing Member of both the General Partner and the Investment Manager of the Issuer.4. Industry Group
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5. Issuer Size
Revenue Range | OR | Aggregate Net Asset Value Range | ||
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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)
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Rule 504 (b)(1)(i) | |||
Rule 504 (b)(1)(ii) | |||
Rule 504 (b)(1)(iii) | |||
Rule 505 | |||
X | Rule 506(b) | ||
Rule 506(c) | |||
Securities Act Section 4(a)(5) |
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7. Type of Filing
New Notice | Date of First Sale | 2002-01-01 | First Sale Yet to Occur | ||||||
X | Amendment |
8. Duration of Offering
Does the Issuer intend this offering to last more than one year? |
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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 | X | Other (describe) | |
Classes A, B, and C limited partnership interests. The minimum amount reflected in Item 11 may be changed at the sole discretion of the General Partner of the Issuer. |
10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
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Clarification of Response (if Necessary):
11. Minimum Investment
Minimum investment accepted from any outside investor | $1,000,000 | USD |
12. Sales Compensation
Recipient |
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Frank J. Goldman | 2040316 | |||||||||
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Trestle Point, LLC | 138494 | |||||||||
Street Address 1 | Street Address 2 | |||||||||
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1751 Circle Road | ||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||
Towson | MARYLAND | 21204 | ||||||||
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Recipient |
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Brian C. Leftwich | 2752574 | ||||||||
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Frontier Solutions, LLC | 136102 | ||||||||
Street Address 1 | Street Address 2 | ||||||||
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70 East 55th Street | 8th Floor | ||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||
New York | NEW YORK | 10022 | |||||||
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Recipient |
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Mark Andrew Marxer | 1988541 | |||||||||||
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Frontier Solutions, LLC | 136102 | |||||||||||
Street Address 1 | Street Address 2 | |||||||||||
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10653 Wayzata Boulevard | Suite 250 | |||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||
Minnetonka | MINNESOTA | 55305 | ||||||||||
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Recipient |
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Adam Wareham Gruver | 5782365 | |||||||||||
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Frontier Solutions, LLC | 136102 | |||||||||||
Street Address 1 | Street Address 2 | |||||||||||
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10653 Wayzata Boulevard | Suite 250 | |||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||
Minnetonka | MINNESOTA | 55305 | ||||||||||
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Recipient |
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Christopher W. Manlove | 2683159 | |||||||||
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Frontier Solutions, LLC | 136102 | |||||||||
Street Address 1 | Street Address 2 | |||||||||
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10653 Wayzata Boulevard | Suite 250 | |||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||
Minnetonka | MINNESOTA | 55305 | ||||||||
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Recipient |
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John Daniel Sampietro Jr. | 4373384 | |||||||||||||
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Trestle Point, LLC | 138494 | |||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||
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60 South Main Street | Suite 102 | |||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||
Memphis | TENNESSEE | 38103 | ||||||||||||
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13. Offering and Sales Amounts
Total Offering Amount | USD |
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Total Amount Sold | $363,203,863 | USD | ||||
Total Remaining to be Sold | USD |
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Clarification of Response (if Necessary):
The total amount sold and number of investor disclosed in this Form D reflect sales to US investors and do not take redemptions and/or withdrawals into consideration.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: |
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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 | $0 | USD |
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Finders' Fees | $0 | USD |
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Clarification of Response (if Necessary):
Only current brokers are listed in Item 12 and paid direct or indirect commissions or similar compensation equal to a percentage of the fee paid to the General Partner (or its affiliate) from the assets under management and/or the incentive allocation.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 |
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Clarification of Response (if Necessary):
Certain persons named in Item 3 or affiliate(s) thereof may receive payments deemed to be made from the proceeds of the offering, including management fees and/or performance allocations. The amounts of such payments cannot be estimated at this time.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: |
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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 |
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Lanx Fund, LP | /s/ Brian Goldman | Brian Goldman | Managing Member of the General Partner of the Issuer | 2014-08-21 |
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.