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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0001465637 |
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Name of Issuer | |||||||||||||||
EJF Income 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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EJF Income Fund, LP | |||
Street Address 1 | Street Address 2 | ||
2107 WILSON BLVD. | #410 | ||
City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
ARLINGTON | VIRGINIA | 22201 | 703-875-0591 |
3. Related Persons
Last Name | First Name | Middle Name |
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Wilson | Neal | J. |
Street Address 1 | Street Address 2 | |
2107 Wilson Blvd. | Suite 410 | |
City | State/Province/Country | ZIP/PostalCode |
Arlington | VIRGINIA | 22201 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
of the sole member and manager of Issuer's General PartnerLast Name | First Name | Middle Name |
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Friedman | Emanuel | J. |
Street Address 1 | Street Address 2 | |
2107 Wilson Blvd. | Suite 410 | |
City | State/Province/Country | ZIP/PostalCode |
Arlington | VIRGINIA | 22201 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Chief Executive Officer of the sole member of the Issuer's General Partner4. 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) | |||
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 | 2009-06-01 | 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 | 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 | $0 | USD |
12. Sales Compensation
Recipient |
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Stifel Nicolaus & Co., Incorporated | 793 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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One Financial Plaza | 501 North Broadway | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
St. Louis | MISSOURI | 63102 | |||||
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Recipient |
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Cabin Securities, Inc. | 137608 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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6240 West 135th Street | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Overland Park | KANSAS | 66223 | |||||
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Recipient |
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Silber Bennett Financial Inc. | 156435 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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16133 Ventura Boulevard | Suite 700 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Encino | CALIFORNIA | 91436 | |||||
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Recipient |
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EDI Financial, Inc. | 15699 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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12221 Merit Drive | Suite 1020 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Dallas | TEXAS | 75251-2207 | |||||
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Recipient |
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WFG Investments, Inc. | 22704 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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2711 N. Haskell Avenue | Suite 2900 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Dallas | TEXAS | 75204 | |||||
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Recipient |
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Pacer Financial, Inc. | 137040 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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16 Industrial Boulevard | Suite 201 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Paoli | PENNSYLVANIA | 19301 | |||||
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Recipient |
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Orchard Securities | 133378 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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11650 South State Street | Suite 225 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Draper | UTAH | 84020 | |||||
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Recipient |
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McDonald Partners LLC | 135414 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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959 West St. Clair Avenue | Suite 300 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Cleveland | OHIO | 44113 | |||||
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Recipient |
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Source Capital Group, Inc. | 36719 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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276 Post Road West | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Westport | CONNECTICUT | 06880 | |||||
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Recipient |
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Crewe Capital LLC | 152527 | ||||||||||
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None | None | ||||||||||
Street Address 1 | Street Address 2 | ||||||||||
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1540 Broadway | Suite 1010 | ||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||
New York | NEW YORK | 10036-4083 | |||||||||
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Recipient |
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MHA Financial Corp | 7462 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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4 Pheasant Hill Street | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Westwood | MASSACHUSETTS | 02090-0409 | |||||
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Recipient |
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Arete Wealth Management LLC | 44856 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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1101 West Lake Street | 1st Floor | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Chicago | ILLINOIS | 60607 | |||||
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Recipient |
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Cary Street Partners LLC | 128089 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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1210 East Cary Street | Suite 300 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Richmond | VIRGINIA | 23219 | |||||
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Recipient |
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Calton & Associates, Inc. | 20999 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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2701 North Rocky Point Drive | Suite 1000 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Tampa | FLORIDA | 33607 | |||||
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Recipient |
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IBN Financial Services, Inc. | 42360 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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18035 Oswego Road | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Liverpool | NEW YORK | 13090 | |||||
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Recipient |
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Keel Point Capital LLC | 6769 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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100 Church Street | Suite 500 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Huntsville | ALABAMA | 35801 | |||||
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Recipient |
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SCF Securities, Inc. | 47275 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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155 East Shaw Avenue | Suite 102 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Fresno | CALIFORNIA | 93710 | |||||
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13. Offering and Sales Amounts
Total Offering Amount | USD |
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Total Amount Sold | $89,762,359 | USD | ||||
Total Remaining to be Sold | 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 | $1,899,892 | USD |
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Finders' Fees | $584,790 | 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.
$0 | 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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EJF Income Fund, LP | /s/ Neal J. Wilson | Neal J. Wilson | COO of the sole member of the Issuer's GP | 2018-03-19 |
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.