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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0001550453 |
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Name of Issuer | |||||||||||||||
TriLinc Global Impact Fund LLC | |||||||||||||||
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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TriLinc Global Impact Fund LLC | |||
Street Address 1 | Street Address 2 | ||
1230 Rosecrans Ave | Suite 605 | ||
City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
Manhattan Beach | CALIFORNIA | 90266 | 310-997-0580 |
3. Related Persons
Last Name | First Name | Middle Name |
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TriLinc Advisors, LLC | N/A | |
Street Address 1 | Street Address 2 | |
1230 Rosecrans Avenue | Suite 605 | |
City | State/Province/Country | ZIP/PostalCode |
Manhattan Beach | CALIFORNIA | 90266 |
Relationship: | Executive Officer | Director | X | Promoter |
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Clarification of Response (if Necessary):
The AdvisorLast Name | First Name | Middle Name |
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Nelund | Gloria | S. |
Street Address 1 | Street Address 2 | |
1230 Rosecrans Avenue | Suite 605 | |
City | State/Province/Country | ZIP/PostalCode |
Manhattan Beach | CALIFORNIA | 90266 |
Relationship: | X | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Chief Executive Officer, President and ManagerLast Name | First Name | Middle Name |
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Sanford | Paul | |
Street Address 1 | Street Address 2 | |
1230 Rosecrans Avenue | Suite 605 | |
City | State/Province/Country | ZIP/PostalCode |
Manhattan Beach | CALIFORNIA | 90266 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Chief Investment OfficerLast Name | First Name | Middle Name |
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VanNorman | Brent | L. |
Street Address 1 | Street Address 2 | |
1230 Rosecrans Avenue | Suite 605 | |
City | State/Province/Country | ZIP/PostalCode |
Manhattan Beach | CALIFORNIA | 90266 |
Relationship: | X | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Chief Operating Officer, Chief Financial Officer, Chief Compliance Officer, Secretary, and ManagerLast Name | First Name | Middle Name |
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Otton | Terry | |
Street Address 1 | Street Address 2 | |
1230 Rosecrans Avenue | Suite 605 | |
City | State/Province/Country | ZIP/PostalCode |
Manhattan Beach | CALIFORNIA | 90266 |
Relationship: | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Independent ManagerLast Name | First Name | Middle Name |
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Hostetler | Cynthia | |
Street Address 1 | Street Address 2 | |
1230 Rosecrans Avenue | Suite 605 | |
City | State/Province/Country | ZIP/PostalCode |
Manhattan Beach | CALIFORNIA | 90266 |
Relationship: | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Independent ManagerLast Name | First Name | Middle Name |
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Barth | R. | Michael |
Street Address 1 | Street Address 2 | |
1230 Rosecrans Avenue | Suite 605 | |
City | State/Province/Country | ZIP/PostalCode |
Manhattan Beach | CALIFORNIA | 90266 |
Relationship: | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Independent Manager4. 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 | 2017-06-30 | 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 | 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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SC Distributors, LLC | 151152 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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695 Town Center Drive | Suite 600 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Costa Mesa | CALIFORNIA | 92626 | |||||
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Recipient |
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Frontier Solutions, LLC | 136102 | ||||||||||||||||||||||||||||
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None | None | ||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||
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9 East Franklin Street | |||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||
Richmond | VIRGINIA | 23219 | |||||||||||||||||||||||||||
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Recipient |
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Niagara International Capital Limited | 135327 | ||||||||||||||||||||||||||||||||||||||||||||
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None | None | ||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||||||||||
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8940 Main Street | |||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||||||||
Clarence | NEW YORK | 14031 | |||||||||||||||||||||||||||||||||||||||||||
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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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1301 East 9th Street | Suite 3700 | ||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||||||||||
Cleveland | OHIO | 44114 | |||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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The Oak Ridge Financial Services Group, Inc. | 42941 | ||||||||||||||||||||||||||||||||||||||||||||||
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None | None | ||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||||||||||||
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701 Xenia Ave. South | Suite 100 | ||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||||||||||
Golden Valley | MINNESOTA | 55416-1089 | |||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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Ausdal Financial Partners, Inc. | 7995 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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5187 Utica Ridge Rd. | Suite 729 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Davenport | IOWA | 52807 | |||||
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Recipient |
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NTB Financial Corporation | 7425 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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9540 South Maroon Circle | Suite 250 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Centennial | COLORADO | 80112 | |||||
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Recipient |
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Moloney Securities Co., Inc. | 38535 | ||||||||||||||||||||||||||||||||||||||||||||||||||
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None | None | ||||||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||||||||||||||||
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13537 Barrett Parkway Drive #300 | |||||||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||||||||||||||
Manchester | MISSOURI | 63021 | |||||||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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International Assets Advisory, LLC | 10645 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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390 North Orange Avenue, Ste. 750 | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Orlando | FLORIDA | 32801 | |||||
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Recipient |
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David A. Noyes & Company | 205 | ||||||||||||||||||||||||||||||||||||||||||||||||||
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None | None | ||||||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||||||||||||||||
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209 South La Salle Street, 12th Floor | |||||||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||||||||||||||
Chicago | ILLINOIS | 60604 | |||||||||||||||||||||||||||||||||||||||||||||||||
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13. Offering and Sales Amounts
Total Offering Amount | $200,000,000 | USD |
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Total Amount Sold | $12,776,986 | USD | ||||
Total Remaining to be Sold | $187,223,014 | USD |
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Clarification of Response (if Necessary):
The offering consists of any combination of Class P-A, Class P-C, Class P-I, Class P-W, and Class P-Y units of limited liability company interest.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 | $18,000,000 | USD |
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Finders' Fees | $0 | USD |
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Clarification of Response (if Necessary):
Represents maximum commission payable (6% commission and 3% dealer manager fee on Class P-A units) as if all units sold were Class P-A.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):
Does not include asset management fee paid to the Advisor at an annual rate of 2.00% of gross assets and incentive fees paid to the Advisor based on performance and achievement of certain goals.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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TriLinc Global Impact Fund LLC | /s/ Gloria S. Nelund | Gloria S. Nelund | Chief Executive Officer and President | 2017-12-13 |
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.