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 |
| Entity Type | ||||||||||||
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0001446730 |
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Name of Issuer | |||||||||||||||
Cypress Income Fund 9, LLC | |||||||||||||||
Jurisdiction of Incorporation/Organization | |||||||||||||||
CALIFORNIA | |||||||||||||||
Year of Incorporation/Organization | |||||||||||||||
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2. Principal Place of Business and Contact Information
Name of Issuer | |||
---|---|---|---|
Cypress Income Fund 9, LLC | |||
Street Address 1 | Street Address 2 | ||
188 THE EMBARCADERO, SUITE 420 | |||
City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
SAN FRANCISCO | CA | 94105 | 415-281-3020 |
3. Related Persons
Last Name | First Name | Middle Name |
---|---|---|
Harwood | Stephen | Rogers |
Street Address 1 | Street Address 2 | |
188 The Embarcadero, Suite 420 | ||
City | State/Province/Country | ZIP/PostalCode |
San Francisco | CA | 94105 |
Relationship: | X | Executive Officer | X | Director | X | Promoter |
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Clarification of Response (if Necessary):
Officer and Director of LLC ManagerLast Name | First Name | Middle Name |
---|---|---|
NA | Cypress Equipment Management Corp V | |
Street Address 1 | Street Address 2 | |
188 The Embarcadero, Suite 420 | ||
City | State/Province/Country | ZIP/PostalCode |
San Francisco | CA | 94105 |
Relationship: | X | Executive Officer | Director | X | Promoter |
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Clarification of Response (if Necessary):
LLC ManagerLast Name | First Name | Middle Name |
---|---|---|
Park | Kenneth | |
Street Address 1 | Street Address 2 | |
188 The Embarcadero, Suite 420 | ||
City | State/Province/Country | ZIP/PostalCode |
San Francisco | CA | 94105 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Officer of LLC ManagerLast Name | First Name | Middle Name |
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Rael | Daniel | |
Street Address 1 | Street Address 2 | |
188 The Embarcadero, Suite 420 | ||
City | State/Province/Country | ZIP/PostalCode |
San Francisco | CA | 94105 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Officer of LLC Manager4. Industry Group
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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 | |||
X | Decline to Disclose | 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) | Investment Company Act Section 3(c) | |||||||||||||||||||||||||||||||||||
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7. Type of Filing
New Notice | Date of First Sale | 2009-06-05 | 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 | Pooled Investment Fund Interests | ||
X | 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? |
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Clarification of Response (if Necessary):
11. Minimum Investment
Minimum investment accepted from any outside investor | $25,000 | USD |
12. Sales Compensation
Recipient |
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Cypress Capital Corporation | 42618 | ||||||||||||||||||||||||||||||||||||
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Cypress Capital Corporation | 42618 | ||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
188 The Embarcadero, Suite 420 | |||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||
San Francisco | CA | 94105 | |||||||||||||||||||||||||||||||||||
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Recipient |
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AFA Financial Group, LLC | 127648 | ||||||||||||||||||||||||||||||||||||||||||||||
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AFA Financial Group, LLC | 127648 | ||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||||||||||||
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26637 W. Agoura Rd. | |||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||||||||||
Calabasas | CA | 91302 | |||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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Thomas Frannicola | 2681122 | ||||||
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Alternative Wealth Strategies, Inc. | 130933 | ||||||
Street Address 1 | Street Address 2 | ||||||
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1814 RT 70 E. | Suite 350 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Cherry Hill | NJ | 08003 | |||||
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Recipient |
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Mark W. Kaplowitz | 824379 | ||||||
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Alternative Wealth Strategies, Inc. | 130933 | ||||||
Street Address 1 | Street Address 2 | ||||||
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1948 Washington Valley Road | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Martinsville | NJ | 08836 | |||||
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Recipient |
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Jeffrey Rachlin | 823547 | ||||||
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Alternative Wealth Strategies, Inc. | 130933 | ||||||
Street Address 1 | Street Address 2 | ||||||
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777 Old Saw Mill River Road | Suite 240 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Tarrytown | NY | 10591 | |||||
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Recipient |
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Kevin P. Fitzgerald | 1754938 | ||||||
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Bethel Fisher and Company Financial Services, Inc. | 13609 | ||||||
Street Address 1 | Street Address 2 | ||||||
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701 Tama Street | Building B | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Marion | IA | 52302 | |||||
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Recipient |
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Michael L. Staines Jr. | 5303142 | ||||||
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Berthel Fisher and Company Financial Services, Inc. | 13609 | ||||||
Street Address 1 | Street Address 2 | ||||||
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5701 Lonetree Blvd. #224 | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Rocklin | CA | 95765 | |||||
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Recipient |
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Michael P. Magee | 4888406 | ||||||
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Calton and Associates, Inc. | 20999 | ||||||
Street Address 1 | Street Address 2 | ||||||
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14497 N. Dale Mabry Hwy | Suite 215 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Tampa | FL | 33618 | |||||
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Recipient |
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Crown Capital Securities, L.P. | 6312 | |||||||||||||||||||||||||||||||||||||||||||||||
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Crown Capital Securities, L.P. | 6312 | |||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||||||||||||||||||||||||||||||||||||
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725 Town and Country Road | Suite 530 | |||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||||||||||||||||||||||||||||||||||||
Orange | CA | 92868 | ||||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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David A. Harris | 500413 | ||||||||||||
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David Harris and Co., Inc. | 45670 | ||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|
222 Mamaroneck Avenue | |||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||
White Plains | NY | 10605 | |||||||||||
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Recipient |
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Martin C. Harris | 500745 | ||||||||||
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David Harris and Co., Inc. | 45670 | ||||||||||
Street Address 1 | Street Address 2 | ||||||||||
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222 Mamaroneck Avenue | |||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||
White Plains | NY | 10605 | |||||||||
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Recipient |
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Donald G. Dewaay Jr. | 1297174 | |||||||||||||||||||||||||||||||||||||||
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Dewaay Financial Network, LLC | 30767 | |||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||||||||||||||||||||||||||||
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13001 University Avenue | ||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||||||||||||||||||||||||||||
Clive | IA | 50325 | ||||||||||||||||||||||||||||||||||||||
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Recipient |
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Joshua E. Cross | 4522751 | ||||||||||||||||||
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Dewaay Financial Network, LLC | 30767 | ||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||
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13001 University Avenue | |||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||
Clive | IA | 50325 | |||||||||||||||||
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Recipient |
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Brenton W. Collins | 4915000 | ||||||||||||||||
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Dewaay Financial Network, LLC | 30767 | ||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||
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13001 University Avenue | |||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||
Clive | IA | 50325 | |||||||||||||||
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Recipient |
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Michael D. Morrow | 2364423 | ||||||
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Dewaay Financial Network, LLC | 30767 | ||||||
Street Address 1 | Street Address 2 | ||||||
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3216 Fox Fire Lane | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Southlake | TX | 76092 | |||||
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Recipient |
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H. Beck, Inc. | 1763 | |||||||||||||||||||||||||||||||||||||||||||||||
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H. Beck, Inc. | 1763 | |||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||||||||||||||||||||||||||||||||||||
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11140 Rockville Pike | Suite 400 | |||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||||||||||||||||||||||||||||||||||||
Rockville | MD | 20852 | ||||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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Michael W. Newton | 2185103 | |||||||||||||||
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Investment Planners, Inc. | 18557 | |||||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||||
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191 W. Professional Park Ct. | Suite 2-B | |||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||||
Bowling Green | KY | 42104 | ||||||||||||||
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Recipient |
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Thomas J. Birch | 805540 | ||||||
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Mid Atlantic Capital Corporation | 10674 | ||||||
Street Address 1 | Street Address 2 | ||||||
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1683 Novato Blvd. | Suite 2 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Novato | CA | 94949 | |||||
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Recipient |
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Pacific West Securities, Inc. | 6390 | |||||||||||||||||||||||||||||||||||||||||||||||
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Pacific West Securities, Inc. | 6390 | |||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||||||||||||||||||||||||||||||||||||
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555 S. Renton Village Pl. | Suite 700 | |||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||||||||||||||||||||||||||||||||||||
Renton | WA | 98057 | ||||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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Edmund J. Cody | 600613 | ||||||
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QA3 Financial Corp. | 14754 | ||||||
Street Address 1 | Street Address 2 | ||||||
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1908 Tice Valley Blvd. | Suite C | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Walnut Creek | CA | 94595 | |||||
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Recipient |
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Jon E. Guay | 2837453 | ||||||
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QA3 Financial Corp. | 14754 | ||||||
Street Address 1 | Street Address 2 | ||||||
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1908 Tice Valley Blvd. | Suite C | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Walnut Creek | CA | 94595 | |||||
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Recipient |
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Michael E. Tomren | 2899318 | ||||||||||||||||||||||||
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QA3 Financial Corp. | 14754 | ||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||
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1908 Tice Valley Blvd. | Suite C | ||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||
Walnut Creek | CA | 94595 | |||||||||||||||||||||||
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Recipient |
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Donald A. Tessmer | 1834222 | ||||||
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Resource Horizons Group LLC | 104368 | ||||||
Street Address 1 | Street Address 2 | ||||||
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1870 The Exchange | Suite 100 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Atlanta | GA | 30339 | |||||
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Recipient |
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Norman G. Price | 2406981 | ||||||
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RP Capital LLC | 134768 | ||||||
Street Address 1 | Street Address 2 | ||||||
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7191 Wagner Way NW | Suite 302 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Gig Harbor | WA | 98335 | |||||
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Recipient |
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David L. Goodman | 1429972 | ||||||
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Transam Securities, Inc. | 18923 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
1111 Douglas Avenue | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Altamonte Springs | FL | 32714 | |||||
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Recipient |
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Cheryl L. Knight | 1854248 | ||||||||||||||||||
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The Strategic Financial Alliance, Inc. | 126514 | ||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||
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27401 Los Altos | Suite 285 | ||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||
Mission Viejo | CA | 92691 | |||||||||||||||||
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Recipient |
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VSR Financial Services, Inc. | 14503 | |||||||||||||||||||||||||||||||||||||||||||||||
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VSR Financial Services, Inc. | 14503 | |||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||||||||||||||||||||||||||||||||||||
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8620 W. 110th Street | Suite 200 | |||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||||||||||||||||||||||||||||||||||||
Overland Park | KS | 66210 | ||||||||||||||||||||||||||||||||||||||||||||||
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13. Offering and Sales Amounts
Total Offering Amount | $20,000,000 | USD |
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Total Amount Sold | $9,142,740 | USD | ||||
Total Remaining to be Sold | $10,857,260 | USD |
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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: |
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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 | $1,500,000 | USD |
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Finders' Fees | $0 | USD |
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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.
$800,000 | USD |
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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: |
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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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Cypress Income Fund 9, LLC | /s/ Daniel Rael | Daniel Rael | Vice President of Manager of Issuer | 2009-09-02 |
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.