The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. The reader should not assume that the information is accurate and complete. |
| UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM D
Notice of Exempt Offering of Securities
| OMB APPROVAL | OMB Number: | 3235-0076 | Estimated average burden | hours per response: | 4.00 |
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1. Issuer's Identity
CIK (Filer ID Number) | Previous Names | | Entity Type |
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0001497041 | | | Corporation | X | Limited Partnership | | Limited Liability Company | | General Partnership | | Business Trust | | Other (Specify) |
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Name of Issuer |
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D & L Energy 2010-A Ltd. |
Jurisdiction of Incorporation/Organization |
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OHIO |
Year of Incorporation/Organization |
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| Over Five Years Ago | X | Within Last Five Years (Specify Year) | 2010 | | Yet to Be Formed |
|
2. Principal Place of Business and Contact Information
Name of Issuer |
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D & L Energy 2010-A Ltd. |
Street Address 1 | Street Address 2 |
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2761 SALT SPRINGS ROAD |
City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
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YOUNGSTOWN | OHIO | 44509 | 888-343-4427 |
3. Related Persons
Last Name | First Name | Middle Name |
---|
Faith | Susan |
Street Address 1 | Street Address 2 |
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2761 Salt Springs Road |
City | State/Province/Country | ZIP/PostalCode |
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Youngstown | OHIO | 44509 |
Relationship: | X | Executive Officer | | Director | | Promoter |
---|
Clarification of Response (if Necessary):
President of D & L Energy, Inc., the Managing General Partner of D & L Energy 2010-A Ltd.
4. Industry Group
| Agriculture | | Banking & Financial Services | | | Commercial Banking | | Insurance | | Investing | | Investment Banking | | Pooled Investment Fund | | | | Is the issuer registered as an investment company under the Investment Company Act of 1940? | | | | Other Banking & Financial Services |
| | Business Services | | Energy | | | | | | | | | | | | |
| | Health Care | | | | | | | | | | | | Manufacturing | | Real Estate | | | | | | | | | | |
| | Retailing | | Restaurants | | Technology | | | | | | | | Travel | | | | | | | Tourism & Travel Services |
| | | | Other |
|
5. Issuer Size
Revenue Range | OR | Aggregate Net Asset Value Range |
---|
X | 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 | | 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) |
| | Section 3(c)(1) | | Section 3(c)(9) |
| | Section 3(c)(2) | | Section 3(c)(10) |
| | Section 3(c)(3) | | Section 3(c)(11) |
| | Section 3(c)(4) | | Section 3(c)(12) |
| | Section 3(c)(5) | | Section 3(c)(13) |
| | Section 3(c)(6) | | Section 3(c)(14) |
| |
|
7. Type of Filing
| New Notice | | Date of First Sale | 2010-11-29 | | | First Sale Yet to Occur |
X | Amendment |
8. Duration of Offering
Does the Issuer intend this offering to last more than one year? | | |
9. Type(s) of Securities Offered (select all that apply)
| Equity | | 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) |
| investor general or limited partnership interests |
10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? | | |
Clarification of Response (if Necessary):
11. Minimum Investment
Minimum investment accepted from any outside investor | $20,000 | USD |
12. Sales Compensation
Recipient | Recipient CRD Number | | None |
|
Anand Savur | 1809528 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
ProEquities, Inc. | 15708 |
Street Address 1 | Street Address 2 |
---|
20319 Nordhoff Street | Suite 130 |
City | State/Province/Country | ZIP/Postal Code |
Chatsworth | CALIFORNIA | 91311 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Charles Wolf | 3067817 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
National Planning Corporation | 29604 |
Street Address 1 | Street Address 2 |
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135 Keller Street | Suite C |
City | State/Province/Country | ZIP/Postal Code |
Petaluma | CALIFORNIA | 94952 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
James Wiekamp | 828410 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
ProEquities, Inc. | 15708 |
Street Address 1 | Street Address 2 |
---|
4325 Maine Avenue S.E. | Suite 200 |
City | State/Province/Country | ZIP/Postal Code |
Rochester | MINNESOTA | 55904 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
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Anthony DePalma | 65694 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
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Fintegra, LLC | 16741 |
Street Address 1 | Street Address 2 |
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5900 Landerbrook Drive | Suite 100 |
City | State/Province/Country | ZIP/Postal Code |
Mayfield Heights | OHIO | 44124 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
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Jonathan Broadbent | 4649531 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
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Fintegra, LLC | 16741 |
Street Address 1 | Street Address 2 |
---|
5900 Landerbrook Drive | Suite 100 |
City | State/Province/Country | ZIP/Postal Code |
Mayfield Heights | OHIO | 44124 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
James Mathias | 1180474 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Invest Financial Corp. | 12984 |
Street Address 1 | Street Address 2 |
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32100 Telegraph Road | Suite 230 |
City | State/Province/Country | ZIP/Postal Code |
Bingham Farms | MICHIGAN | 48025 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
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Jerry Corless | 3005126 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Invest Financial Corp. | 12984 |
Street Address 1 | Street Address 2 |
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6465 N. Quail Hollow Road | Suite 200 |
City | State/Province/Country | ZIP/Postal Code |
Memphis | TENNESSEE | 38120 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
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Robert Tweed | 2339324 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
MAM Securities | 124620 |
Street Address 1 | Street Address 2 |
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2060 Huntington Drive | Suite 1 |
City | State/Province/Country | ZIP/Postal Code |
San Marino | CALIFORNIA | 91108 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
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Angela Ferrante | 1740108 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
QA3 Financial Corp. | 14754 |
Street Address 1 | Street Address 2 |
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202 Stonecrest Drive |
City | State/Province/Country | ZIP/Postal Code |
Berlin | PENNSYLVANIA | 15530 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
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James Conaway | 1920946 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
QA3 Financial Corp. | 14754 |
Street Address 1 | Street Address 2 |
---|
300 East Birch Street | Suite 109 |
City | State/Province/Country | ZIP/Postal Code |
Brea | CALIFORNIA | 92821 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
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Terry A. Vrieze | 455952 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Broker Dealer Financial Services | 8073 |
Street Address 1 | Street Address 2 |
---|
7017 Hickman Road |
City | State/Province/Country | ZIP/Postal Code |
Urbandale | IOWA | 50322 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
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Cara Miller | 4521819 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
ProEquities, Inc. | 15708 |
Street Address 1 | Street Address 2 |
---|
505 Kansas City Street | P.O. Box 8127 |
City | State/Province/Country | ZIP/Postal Code |
Rapid City | SOUTH DAKOTA | 57701 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
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David Lampe | 828400 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
ProEquities, Inc. | 15708 |
Street Address 1 | Street Address 2 |
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11111 N. Eldridge Parkway |
City | State/Province/Country | ZIP/Postal Code |
Houston | TEXAS | 77065 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
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Douglas Larson | 43672205 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
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ProEquities, Inc. | 15708 |
Street Address 1 | Street Address 2 |
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1009 Iowa Avenue |
City | State/Province/Country | ZIP/Postal Code |
Onawa | IOWA | 51040 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
IOWA | MINNESOTA | SOUTH DAKOTA |
|
Recipient | Recipient CRD Number | | None |
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John Hess Yoder | 1524518 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
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ProEquities, Inc. | 15708 |
Street Address 1 | Street Address 2 |
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5500 Citizens Drive 8655 S.W. | Suite 102 |
City | State/Province/Country | ZIP/Postal Code |
Wilsonville | OREGON | 97070 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
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Randall Hough | 1017957 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
ProEquities, Inc. | 15708 |
Street Address 1 | Street Address 2 |
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301 Perimeter Center North | Suite 300 |
City | State/Province/Country | ZIP/Postal Code |
Atlanta | GEORGIA | 30346 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Ray Harrison | 2287436 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
ProEquities, Inc. | 15708 |
Street Address 1 | Street Address 2 |
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6939 Sunrise Blvd. | Suite 101 |
City | State/Province/Country | ZIP/Postal Code |
Citrus Heights | CALIFORNIA | 95601 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Brian Peardon | 4819319 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
ProEquities, Inc. | 15708 |
Street Address 1 | Street Address 2 |
---|
6939 Sunrise Blvd. | Suite 101 |
City | State/Province/Country | ZIP/Postal Code |
Citrus Heights | CALIFORNIA | 95601 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Daniel Woodhull | 2832575 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
ProEquities, Inc. | 15708 |
Street Address 1 | Street Address 2 |
---|
6939 Sunrise Blvd. | Suite 101 |
City | State/Province/Country | ZIP/Postal Code |
Citrus Heights | CALIFORNIA | 95601 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Blake Bottle | 2065531 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
ProEquities, Inc. | 15708 |
Street Address 1 | Street Address 2 |
---|
12406 N. 32nd Street | Suite 107 |
City | State/Province/Country | ZIP/Postal Code |
Phoenix | ARIZONA | 85032 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Donald Kyle Atkins | 2829986 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
ProEquities, Inc. | 15708 |
Street Address 1 | Street Address 2 |
---|
205 S. Pine Street |
City | State/Province/Country | ZIP/Postal Code |
Spartansburg | SOUTH CAROLINA | 29302 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
NORTH CAROLINA | SOUTH CAROLINA |
|
Recipient | Recipient CRD Number | | None |
|
Darryl Wilson | 4152258 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
ProEquities, Inc. | 15708 |
Street Address 1 | Street Address 2 |
---|
4505 Pine Tree Circle | Suite 101 |
City | State/Province/Country | ZIP/Postal Code |
Birmingham | ALABAMA | 35243 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Howell Booth Holland | 2430593 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
ProEquities, Inc. | 15708 |
Street Address 1 | Street Address 2 |
---|
1919 Cahaba Road |
City | State/Province/Country | ZIP/Postal Code |
Birmingham | ALABAMA | 35223 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Donald Renstrom | 1065146 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
ProEquities, Inc. | 15708 |
Street Address 1 | Street Address 2 |
---|
610 Ronald Reagan Drive |
City | State/Province/Country | ZIP/Postal Code |
Evans | GEORGIA | 30809 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
James Barager | 4453310 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
ProEquities, Inc. | 15708 |
Street Address 1 | Street Address 2 |
---|
5875 Lehman Drive | Suite 100 |
City | State/Province/Country | ZIP/Postal Code |
Colorado Springs | COLORADO | 80918 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Raymond Neil Allen | 1491398 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
ProEquities, Inc. | 15708 |
Street Address 1 | Street Address 2 |
---|
6939 Sunrise Blvd. | Suite 101 |
City | State/Province/Country | ZIP/Postal Code |
Citrus Heights | CALIFORNIA | 95601 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Randy Rathmann | 1387855 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
ProEquities, Inc. | 15708 |
Street Address 1 | Street Address 2 |
---|
2707 Artie Street, Bldg. 200 | Suite 12 |
City | State/Province/Country | ZIP/Postal Code |
Huntsville | ALABAMA | 35805 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Bradley Freimark | 2883389 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
ProEquities, Inc. | 15708 |
Street Address 1 | Street Address 2 |
---|
9010 Quantrelle Avenue, N.E. | Suite 107 |
City | State/Province/Country | ZIP/Postal Code |
Otsego | MINNESOTA | 55330 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Roger Clement | 1991055 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
ProEquities, Inc. | 15708 |
Street Address 1 | Street Address 2 |
---|
2400 SE "C" Street |
City | State/Province/Country | ZIP/Postal Code |
Bentonville | ARKANSAS | 72712 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Jeff Reeves | 4436126 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
ProEquities, Inc. | 15708 |
Street Address 1 | Street Address 2 |
---|
2400 SE "C" Street |
City | State/Province/Country | ZIP/Postal Code |
Bentonville | ARKANSAS | 72712 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Rod Bastian | 1563355 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
ProEquities,Inc. | 15708 |
Street Address 1 | Street Address 2 |
---|
2500 SE "C" Street |
City | State/Province/Country | ZIP/Postal Code |
Bentonville | ARKANSAS | 72712 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Kevin Barnes | 2808063 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
ProEquities, Inc. | 15708 |
Street Address 1 | Street Address 2 |
---|
2400 SE "C" Street |
City | State/Province/Country | ZIP/Postal Code |
Bentonville | ARKANSAS | 72712 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Richard Hageman | 2184995 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
ProEquities, Inc. | 15708 |
Street Address 1 | Street Address 2 |
---|
3067 Buttercup Road |
City | State/Province/Country | ZIP/Postal Code |
Neenah | WISCONSIN | 54956 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
David Todd Phillips | 3094195 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
ProEquities, Inc. | 15708 |
Street Address 1 | Street Address 2 |
---|
5350 N. 48th Street | Suite 238 |
City | State/Province/Country | ZIP/Postal Code |
Chandler | ARIZONA | 85226 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Jamie Turk | 4338770 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
ProEquities, Inc. | 15708 |
Street Address 1 | Street Address 2 |
---|
25201 Chagrin Blvd. | Suite 300 |
City | State/Province/Country | ZIP/Postal Code |
Beachwood | OHIO | 44122 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Janice LaBonne | 1235078 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
ProEquities, Inc. | 15708 |
Street Address 1 | Street Address 2 |
---|
2355 JFK Road |
City | State/Province/Country | ZIP/Postal Code |
Dubuque | IOWA | 52002 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Michael Olesen | 1635079 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
National Planning Corporation | 29604 |
Street Address 1 | Street Address 2 |
---|
117 N. 3rd Street |
City | State/Province/Country | ZIP/Postal Code |
Geneva | ILLINOIS | 60134 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Jodi Schneelicht | 4594776 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Centaurus Financial, Inc. | 30833 |
Street Address 1 | Street Address 2 |
---|
3 MacArthur Place | Suite 855 |
City | State/Province/Country | ZIP/Postal Code |
Santa Ana | CALIFORNIA | 92707 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Robert Horning | 2311640 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Centaurus Financial, Inc. | 30833 |
Street Address 1 | Street Address 2 |
---|
3 MacArthur Place | Suite 855 |
City | State/Province/Country | ZIP/Postal Code |
Santa Ana | CALIFORNIA | 92707 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Nicholas M. Ellis | 1082891 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Centaurus Financial, Inc. | 30833 |
Street Address 1 | Street Address 2 |
---|
13 Alameda |
City | State/Province/Country | ZIP/Postal Code |
Irvine | CALIFORNIA | 92620 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Brett Ewing | 2904608 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Centaurus Financial, Inc. | 30833 |
Street Address 1 | Street Address 2 |
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2580 Care Drive |
City | State/Province/Country | ZIP/Postal Code |
Tallahassee | FLORIDA | 32308 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Gary Poling | 801756 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
ProEquities, Inc. | 15708 |
Street Address 1 | Street Address 2 |
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519 Glenway Cove |
City | State/Province/Country | ZIP/Postal Code |
Lebanon | TENNESSEE | 37087 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
John Cort | 5727496 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
National Planning Corporation | 29604 |
Street Address 1 | Street Address 2 |
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135 Keller | Suite C |
City | State/Province/Country | ZIP/Postal Code |
Petaluma | CALIFORNIA | 94952 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Mark Sudol | 1114419 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
National Planning Corporation | 29604 |
Street Address 1 | Street Address 2 |
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6135 S. Rainbow Blvd. | Suite 100 |
City | State/Province/Country | ZIP/Postal Code |
Las Vegas | NEVADA | 89118 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Gary Sudol | 1392822 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
National Planning Corporation | 29604 |
Street Address 1 | Street Address 2 |
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6135 S. Rainbow Blvd. | Suite 100 |
City | State/Province/Country | ZIP/Postal Code |
Las Vegas | NEVADA | 89118 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Jeffrey Lavin | 1934312 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
National Planning Corporation | 29604 |
Street Address 1 | Street Address 2 |
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1025 W. 190th Street | Suite 405 |
City | State/Province/Country | ZIP/Postal Code |
Gardena | CALIFORNIA | 90248 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Michael Veyette | 4251770 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
National Planning Corporation | 29604 |
Street Address 1 | Street Address 2 |
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4281 Katella Avenue | Suite 208 |
City | State/Province/Country | ZIP/Postal Code |
Los Alamitos | CALIFORNIA | 90720 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Edward Coda | 1776811 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
National Planning Corporation | 29604 |
Street Address 1 | Street Address 2 |
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1221 Kapiolani Blvd. | Penthouse 30 |
City | State/Province/Country | ZIP/Postal Code |
Honolulu | HAWAII | 96814 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Pamela Mah | 4884493 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
National Planning Corporation | 29604 |
Street Address 1 | Street Address 2 |
---|
1221 Kapiolani Blvd. | Penthouse 30 |
City | State/Province/Country | ZIP/Postal Code |
Honolulu | HAWAII | 96814 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Charles E. Munoz | 3243140 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Centaurus Financial, Inc. | 30833 |
Street Address 1 | Street Address 2 |
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2900 Bristol Street | Suite #A-107 |
City | State/Province/Country | ZIP/Postal Code |
Costa Mesa | CALIFORNIA | 92626 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
John Mitchell | 2319862 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Centaurus Financial, Inc. | 30833 |
Street Address 1 | Street Address 2 |
---|
2900 Bristol Street | Suite #A-107 |
City | State/Province/Country | ZIP/Postal Code |
Costa Mesa | CALIFORNIA | 92626 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Stephen Mitchell | 5443684 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Centaurus Financial, Inc. | 30833 |
Street Address 1 | Street Address 2 |
---|
2528 Barrington Circle | Suite #1 |
City | State/Province/Country | ZIP/Postal Code |
Tallahassee | FLORIDA | 32308 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
13. Offering and Sales Amounts
Total Offering Amount | $20,000,000 | USD | |
Total Amount Sold | $6,870,000 | USD |
Total Remaining to be Sold | $13,130,000 | USD | |
Clarification of Response (if Necessary):
The offering is now closed. There is no amount remaining to be sold. Total offering was increased to $20,000,000. and private placement memorandum recipients notified accordingly. Total sales were $6,870.000.14. 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 | $480,900 | USD | |
Finders' Fees | $0 | USD | |
Clarification of Response (if Necessary):
Sales commissions are based on 7% of the total offering amount sold of $6,870,000. The offering is now closed.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.
Clarification of Response (if Necessary):
2.5% of gross proceeds of the total sales of $6,870,000 were used to reimburse the Sponsor/ Managing General Partner for organization and offering costs. The offering is now closed.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: |
- Notifying the SEC and/or each State in which this notice is filed of the offering of securities described and undertaking to furnish them, upon written request, in the accordance with applicable law, the information furnished to offerees.*
- Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator or other legally designated officer of the State in which the issuer maintains its principal place of business and any State in which this notice is filed, as its agents for service of process, and agreeing that these persons may accept service on its behalf, of any notice, process or pleading, and further agreeing that such service may be made by registered or certified mail, in any Federal or state action, administrative proceeding, or arbitration brought against the issuer in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in connection with the offering of securities that is the subject of this notice, and (b) is founded, directly or indirectly, upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii) the laws of the State in which the issuer maintains its principal place of business or any State in which this notice is filed.
- Certifying that, if the issuer is claiming a Rule 505 exemption, the issuer is not disqualified from relying on Rule 505 for one of the reasons stated in Rule 505(b)(2)(iii).
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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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D & L Energy 2010-A Ltd. | Susan Faith | Susan Faith | Pres. of D&L Energy, Inc., Man. Gen. Partner of Issuer | 2011-01-24 |
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.