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 | ||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
0001451787 |
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Name of Issuer | |||||||||||||||
Cypress Equipment Fund 16, 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 Equipment Fund 16, 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 |
---|
Clarification of Response (if Necessary):
Officer and Director of LLC ManagerLast Name | First Name | Middle Name |
---|---|---|
Cypress Equipment Management Corp IV | NA | |
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 |
---|
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 |
---|
Clarification of Response (if Necessary):
Officer of LLC ManagerLast Name | First Name | Middle Name |
---|---|---|
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 |
---|
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 | 2009-01-07 | 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)
X | Equity | 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? |
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Clarification of Response (if Necessary):
11. Minimum Investment
Minimum investment accepted from any outside investor | $35,000 | USD |
12. Sales Compensation
Recipient |
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Cypress Capital Corporation | 42681 | ||||||||||||||||||||||||||||||||||||
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Cypress Capital Corporation | 42681 | ||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
188 The Embarcader, Suite 420 | |||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||
San Francisco | CA | 94105 | |||||||||||||||||||||||||||||||||||
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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 | ||||||
---|---|---|---|---|---|---|---|
300 Harding Blvd. | Suite 209 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Roseville | CA | 95678 | |||||
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Recipient |
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Zachary L. Carey | 3110546 | |||||||||
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Calton and Associates, Inc. | 20999 | |||||||||
Street Address 1 | Street Address 2 | |||||||||
---|---|---|---|---|---|---|---|---|---|---|
1223 E. Jackson Ave. | Suite 301 | |||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||
Oxford | MS | 38655 | ||||||||
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Recipient |
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Oliver B. Williamson | 4642029 | |||||||||
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Calton and Associates, Inc. | 20999 | |||||||||
Street Address 1 | Street Address 2 | |||||||||
---|---|---|---|---|---|---|---|---|---|---|
611 Hambley Blvd. | ||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||
Pikeville | KY | 41501 | ||||||||
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Recipient |
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Phillip D. King | 1839137 | ||||||||||
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Calton and Associates, Inc. | 20999 | ||||||||||
Street Address 1 | Street Address 2 | ||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|
611 Hambley Blvd. | |||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||
Pikeville | KY | 41501 | |||||||||
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Recipient |
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Maryellen Trotter | 862519 | ||||||||
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Centaurus Financial, Inc. | 30833 | ||||||||
Street Address 1 | Street Address 2 | ||||||||
---|---|---|---|---|---|---|---|---|---|
1515 E. Cedar Avenue | Suite C5 | ||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||
Flagstaff | AZ | 86004 | |||||||
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Recipient |
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Bryan D. Myers | 2527480 | ||||||
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Chapin, Davis | 28116 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
2 Village Square, Suite 200 | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Baltimore | MD | 21210 | |||||
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Recipient |
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Edward W. Grogan IV | 2344994 | |||||||||||||||||||||
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Commonwealth Financial Network | 8032 | |||||||||||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
6625 Wagner Way NW | Suite 320 | |||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||||||||||
Gig Harbor | WA | 98335 | ||||||||||||||||||||
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Recipient |
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Robert E. Leib | 1267444 | |||||||||
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Commonwealth Financial Network | 8032 | |||||||||
Street Address 1 | Street Address 2 | |||||||||
---|---|---|---|---|---|---|---|---|---|---|
101 West Elm Street | Suite 500 | |||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||
Conshohocken | PA | 19428 | ||||||||
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Recipient |
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Joseph L. England | 2934344 | ||||||
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Commonwealth Financial Network | 8032 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
101 West Elm Street | Suite 500 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Conshohocken | PA | 19428 | |||||
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Recipient |
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Stephen A. Catania | 2389489 | ||||||
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Crown Capital Securities, L.P. | 6312 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
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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Melissa C. Mather | 4697533 | ||||||
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Crown Capital Securities, L.P. | 6312 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
1756 Grain Mill Road | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
San Marcos | CA | 92078 | |||||
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Recipient |
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David B. McMillen | 1198070 | ||||||
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Crown Capital Securities, L.P. | 6312 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
106 Pineview Lane | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Boulder | CO | 80302 | |||||
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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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Donald G. Dewaay Jr. | 1297174 | ||||||||||||||||||||||||||||||||||||||||
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Dewaay Financial Network, LLC | 30767 | ||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
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 | |||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
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 | ||||||
---|---|---|---|---|---|---|---|
402 N. Carroll Ave., Suite 100 | |||||||
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 | ||||||||||||||||||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
11140 Rockville Pike | Suite 400 | ||||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||||||||||||
Rockville | MD | 20852 | |||||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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Robert J. Steyert | 1122075 | ||||||
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Independent Financial Group, LLC | 7717 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
30448 Rancho Viejo Road, No. 175 | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
San Juan Capistrano | CA | 92675 | |||||
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Recipient |
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Lora J. Hoff | 3175071 | ||||||
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Investment Planners, Inc. | 18557 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
10440 N. Central Expressway | Suite 1040 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Dallas | TX | 75231 | |||||
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Recipient |
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LPL Financial Corporation | 6413 | ||||||||||||||||||||||||||||||||||||||||||||||||
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LPL Financial Corporation | 6413 | ||||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
One Beacon Street | 22nd Floor | ||||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||||||||||||
Boston | MA | 02108 | |||||||||||||||||||||||||||||||||||||||||||||||
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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 | ||||||
---|---|---|---|---|---|---|---|
1683 Novato Blvd. | Suite 2 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Novato | CA | 94949 | |||||
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Recipient |
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Leroy H. Nickels III | 813787 | ||||||||||||||
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Mutual Service Corporation | 4806 | ||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
2900 Bluecutt Road | Suite 1 | ||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||
Columbus | MS | 39705 | |||||||||||||
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Recipient |
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Daniel T. Hoban | 1095185 | ||||||||||||
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Mutual Service Corporation | 4806 | ||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|
1739 W. Big Beaver Road | |||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||
Troy | MI | 48084 | |||||||||||
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Recipient |
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Howard W. Minor, Jr. | 1008244 | ||||||
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Next Financial Group, Inc. | 46214 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
413 Stuart Circle | Suite 314 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Richmond | VA | 23220 | |||||
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Recipient |
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Timothy L. Baker | 1256333 | ||||||||||||||
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NFP Securities, Inc. | 42046 | ||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
121 Reynolds Village | |||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||
Winston-Salem | NC | 27106 | |||||||||||||
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Recipient |
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Kenneth R. Miller | 1009775 | |||||||||||
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NFP Securities, Inc. | 42046 | |||||||||||
Street Address 1 | Street Address 2 | |||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|
701 Robley Drive | Suite 101 | |||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||
Lafayette | LA | 70503 | ||||||||||
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Recipient |
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Dennis L. Freeman | 213683 | ||||||
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Okoboji Financial Services, Inc. | 33727 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
600 Fifth Street | Suite 102 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Ames | IA | 50010 | |||||
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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 | ||||||||||||||||||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
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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QA3 Financial Corp. | 14754 | ||||||||||||||||||||||||||||||||||||||||||||||||
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QA3 Financial Corp. | 14754 | ||||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
One Valmont Plaza, 4th Floor | |||||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||||||||||||
Omaha | NE | 68154 | |||||||||||||||||||||||||||||||||||||||||||||||
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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 | ||||||
---|---|---|---|---|---|---|---|
5202 Olympic Drive NW | Suite 101 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Gig Harbor | WA | 98335 | |||||
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Recipient |
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Sagepoint Financial, Inc. | 133763 | ||||||||||||||||||||||||||||||||||||||||||||||||
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Sagepoint Financial, Inc. | 133763 | ||||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
2800 N. Central Ave., Ste 2100 | |||||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||||||||||||
Phoenix | AZ | 85004 | |||||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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Gregory L. Hutto | 2742911 | ||||||
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Silver Oak Securities, Incorporated | 46947 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
512 Main Street | Suite 1400 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Forth Worth | TX | 76102 | |||||
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Recipient |
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William E. Riley, Jr. | 1493287 | ||||||
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Silver Oak Securities, Incorporated | 46947 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
512 Main Street | Suite 1400 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Forth Worth | TX | 76102 | |||||
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Recipient |
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John T. Dunn | 2448503 | |||||||
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The Strategic Financial Alliance, Inc. | 126514 | |||||||
Street Address 1 | Street Address 2 | |||||||
---|---|---|---|---|---|---|---|---|
107 Weatherstone Drive | Suite 520 | |||||||
City | State/Province/Country | ZIP/Postal Code | ||||||
Woodstock | GA | 30188 | ||||||
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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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Recipient |
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Jack Thomas | 2773136 | ||||||
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AFA Financial Group, LLC | 127648 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
26637 W. Agoura Rd. | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Calabasas | CA | 91302 | |||||
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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 | ||||||
---|---|---|---|---|---|---|---|
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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Drew A. Donohoe | 4504638 | ||||||
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Ameritas Investment Corp. | 14869 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
8800 Lyra Drive | Suite 680 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Columbus | OH | 43240 | |||||
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Recipient |
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Thomas H. Lawrence III | 1839619 | ||||||
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Ameritas Investment Corp. | 14869 | ||||||
Street Address 1 | Street Address 2 | ||||||
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1755 N. Kirby Parkway | Suite 300 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Memphis | TN | 38120 | |||||
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Recipient |
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Manuel E. Martinez | 840279 | ||||||
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Ameritas Investment Corp. | 14869 | ||||||
Street Address 1 | Street Address 2 | ||||||
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325 West Third Ave. | Suite 203 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Escondido | CA | 92025 | |||||
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Recipient |
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James D. Howard | 1777319 | ||||||||||||
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Associated Securities Corp. | 12969 | ||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||
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421 West Riverside , Suite 1700 | |||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||
Spokane | WA | 99201 | |||||||||||
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Recipient |
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Sheri H. Pan | 4536152 | ||||||
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Associated Securities Corp. | 12969 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
222 N. Sepulveda Blvd. | 18th Floor | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
El Segundo | CA | 90245 | |||||
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Recipient |
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Richard L. Belline | 2432737 | |||||||||||||
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Axa Advisors, LLC | 6627 | |||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||
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213 W. Monroe | Suite Q | |||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||
Lowell | AR | 72745 | ||||||||||||
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Recipient |
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Daniel A. Barnard | 2403593 | |||||||||
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Berthel, Fisher & Company Financial Services, Inc. | 13609 | |||||||||
Street Address 1 | Street Address 2 | |||||||||
---|---|---|---|---|---|---|---|---|---|---|
8563 E. San Alberto Drive | Suite 140 | |||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||
Scottsdale | AZ | 85258 | ||||||||
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Recipient |
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Steven L. Stahler | 1706697 | ||||||
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Berthel, Fisher & Company Financial Services, Inc. | 13609 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
7660 Goodwood | Suite A102 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Baton Rouge | LA | 70806 | |||||
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Recipient |
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Ty K. Bauer | 2150885 | |||||||||||||||
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Carlton & Associates, Inc. | 20999 | |||||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||||
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1223 E. Jackson Avenue | #310 | |||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||||
Oxford | MS | 38655 | ||||||||||||||
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Recipient |
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Burley A. Daye | 63064 | ||||||
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Centaurus Financial, Inc. | 30833 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
533 Airport Blvd. | Suite #219 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Burlingame | CA | 94010 | |||||
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Recipient |
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Daniel J. Stange | 2693826 | ||||||
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Crown Capital Securities, L.P. | 6312 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
101 Main Street | Suite 260 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Huntington Beach | CA | 92648 | |||||
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Recipient |
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Joseph M. Gatt | 218745 | ||||||
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Girard Securities, Inc. | 18697 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
1455 East Tropicana Avenue | Suite 275 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Las Vegas | NV | 89119 | |||||
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Recipient |
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Nathan C. Ankney | 2444651 | ||||||
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Independent Financial Group, LLC | 7717 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
1541 The Alameda | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
San Jose | CA | 95126 | |||||
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Recipient |
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James B. Boyle | 5570142 | ||||||
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Independent Financial Group, LLC | 7717 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
1541 The Alameda | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
San Jose | CA | 95126 | |||||
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Recipient |
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David R. Koehler | 4832628 | ||||||
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Independent Financial Group, LLC | 7717 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
1541 The Alameda | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
San Jose | CA | 95126 | |||||
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Recipient |
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Morgan B. Nickels Mr. | 4921264 | ||||||
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Mutual Service Corporation | 4806 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
2900 Bluecutt Road | Suite 1 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Columbus | MS | 39705 | |||||
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Recipient |
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Edward T. Coda | 1776811 | |||||||||||||||||
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National Planning Corporation | 29604 | |||||||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||||||
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500 Alakawa St. | Suite 220 | |||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||||||
Honolulu | HI | 96817 | ||||||||||||||||
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Recipient |
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Arthur J. Moss | 1409033 | ||||||
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National Planning Corporation | 29604 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
7135 E. Camelback Road | Ste 230 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Scottsdale | AZ | 85251 | |||||
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Recipient |
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Kurt C. Jackson | 2913769 | ||||||
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NFP Securities, Inc. | 42046 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
575 Price Street | Suite 314 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Pismo Beach | CA | 93449 | |||||
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Recipient |
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Thomas P. Kroehle Jr. | 4388363 | ||||||||||||
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NFP Securities, Inc. | 42046 | ||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|
3939 Beltline Road | Suite 310 | ||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||
Addison | TX | 75001 | |||||||||||
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Recipient |
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John P. Hannan | 1372033 | |||||||||
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Private Asset Group, Inc. | 142541 | |||||||||
Street Address 1 | Street Address 2 | |||||||||
---|---|---|---|---|---|---|---|---|---|---|
62 E. Genesee Street | 3rd Floor | |||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||
Skaneateles | NY | 13152 | ||||||||
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Recipient |
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Bradley J. Freimark | 2883389 | ||||||
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Proequities, Inc. | 15708 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
9010 Quantrelle Ave NE | Suite 107 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Otsego | MN | 55330 | |||||
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Recipient |
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Ronald D. Hershey | 4207119 | ||||||
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Proequities, Inc. | 15708 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
809 Center Ave. | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Payette | ID | 83661 | |||||
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Recipient |
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John P. Ochsner | 1502183 | ||||||
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Royal Alliance Associates, Inc. | 23131 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
3217 West Smith Street | Suite 2 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Seattle | WA | 98199 | |||||
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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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Charles C. Shafe | 1277113 | ||||||
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Transam Securities, Inc. | 18923 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
531 Versailles Drive | Ste. 201 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Maitland | FL | 32751 | |||||
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Recipient |
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John R. Mickelson | 2628700 | ||||||
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Woodbury Financial Services, Inc. | 421 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
40 W. Cache Valley Blvd. | Suite 7A | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Logan | UT | 84341 | |||||
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Recipient |
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Michael J. Talin | 3121059 | ||||||
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Woodbury Financial Services, Inc. | 421 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
3020 Old Ranch Parkway | Ste. 300 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Seal Beach | CA | 90740 | |||||
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Recipient |
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FSC Securities Corporation | 7461 | ||||||||||||||||||||||||||||||||||||||||||||||||
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FSA Securities Corporation | 7461 | ||||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
2300 Windy Ridge Pkwy | Suite 1100 | ||||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||||||||||||
Atlanta | GA | 30339 | |||||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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Alex M. Negron | 3187717 | ||||||
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Proequities Inc. | 15708 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
1400 W. Fairbanks Ave. | Ste. 202 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Winter Park | FL | 32789 | |||||
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|
Recipient |
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Robert A. Horning | 2311640 | ||||||
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Direct Capital Securities, Inc. | 29639 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
3 MacArthur Pl. | Ste. 855 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Santa Ana | CA | 92707 | |||||
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13. Offering and Sales Amounts
Total Offering Amount | $35,000,000 | USD |
| |||
Total Amount Sold | $17,123,859 | USD | ||||
Total Remaining to be Sold | $17,876,141 | 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 | $2,975,000 | 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.
$1,400,000 | 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 |
---|---|---|---|---|
Cypress Equipment Fund 16, LLC | /s/ DANIEL RAEL | Daniel Rael | Vice President of Manager of Issuer | 2009-08-03 |
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.