The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM D Notice of Exempt Offering of Securities |
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1. Issuer's Identity
CIK (Filer ID Number) | Previous Names |
| Entity Type | ||||||||||||
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0001623075 |
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Name of Issuer | |||||||||||||||
Exchange Place 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 | |||
---|---|---|---|
Exchange Place LP | |||
Street Address 1 | Street Address 2 | ||
200 WEST STREET | |||
City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
NEW YORN | NEW YORK | 10282-2198 | 212-902-1000 |
3. Related Persons
Last Name | First Name | Middle Name |
---|---|---|
Barry | Steven | |
Street Address 1 | Street Address 2 | |
200 West Street | ||
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10282-2198 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
President of the Issuer's General PartnerLast Name | First Name | Middle Name |
---|---|---|
Tahir | Abbas | |
Street Address 1 | Street Address 2 | |
200 West Street | ||
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10282-2198 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Vice President of the Issuer's General PartnerLast Name | First Name | Middle Name |
---|---|---|
Rossetti | Carmine | L. |
Street Address 1 | Street Address 2 | |
200 West Street | ||
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10282-2198 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Vice President of the Issuer's General PartnerLast Name | First Name | Middle Name |
---|---|---|
Cirrito | Jason | |
Street Address 1 | Street Address 2 | |
200 West Street | ||
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10282-2198 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Vice President of the Issuer's General PartnerLast Name | First Name | Middle Name |
---|---|---|
Giuca | Philip | V. |
Street Address 1 | Street Address 2 | |
200 West Street | ||
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10282-2198 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Managing Director/Treasurer of the Issuer's General PartnerLast Name | First Name | Middle Name |
---|---|---|
McHugh | Scott | |
Street Address 1 | Street Address 2 | |
200 West Street | ||
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10282-2198 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Vice President of the Issuer's General PartnerLast Name | First Name | Middle Name |
---|---|---|
Olson | Kristin | |
Street Address 1 | Street Address 2 | |
200 West Street | ||
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10282-2198 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Managing Director of the Issuer's General PartnerLast Name | First Name | Middle Name |
---|---|---|
DiMaria | Joseph | |
Street Address 1 | Street Address 2 | |
200 West Street | ||
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10282-2198 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Treasurer of the Issuer's General PartnerLast Name | First Name | Middle Name |
---|---|---|
Plutzer | David | |
Street Address 1 | Street Address 2 | |
200 West Street | ||
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10282-2198 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Secretary of the Issuer's General PartnerLast Name | First Name | Middle Name |
---|---|---|
Agus | Raanan | |
Street Address 1 | Street Address 2 | |
200 West Street | ||
City | State/Province/Country | ZIP/PostalCode |
NEW YORK | NEW YORK | 10282-2198 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Vice President of the Issuer's General Partner4. 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 | |||
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 | 2014-10-13 | 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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Goldman Sachs & Co. LLC | 361 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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200 West Street | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10282-2198 | |||||
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Recipient |
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Merrill Lynch, Pierce, Fenner & Smith Incorporated | 7691 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
One Bryant Park | 30th Floor | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10036 | |||||
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Recipient |
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BB&T Scott & Stringfellow | 142785 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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901 East Byrd Street | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Richmond | VIRGINIA | 23219 | |||||
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Recipient |
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Benjamin F. Edwards & Co. | 146936 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
One North Brentwood Blvd. | Suite 580 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
St. Louis | MISSOURI | 63105 | |||||
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Recipient |
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Cambridge Investment Research, Inc. | 39543 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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1776 Pleasant Plain Road | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Fairfield | IOWA | 52556 | |||||
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Recipient |
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Commonwealth Equity Services, Inc. dba Commonwealth Financial Network | 8032 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
29 Sawyer Road | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Waltham | MASSACHUSETTS | 02453 | |||||
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Recipient |
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LPL Financial LLC | 6413 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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4707 Executive Drive | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
San Diego | CALIFORNIA | 92121 | |||||
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Recipient |
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Morgan Stanley Smith Barney LLC | 111937 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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522 Fifth Avenue | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10036 | |||||
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Recipient |
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Raymond James & Associates Inc. | 705 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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880 Carillon Parkway | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
St. Petersburg | FLORIDA | 33716 | |||||
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Recipient |
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Robert W. Baird & Co. | 8158 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
777 E. Wisconsin Avenue | Floor 14 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Milwaukee | WISCONSIN | 53202 | |||||
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Recipient |
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S F Sentry Securities, Inc. | 27432 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
100 Pine Street | #2700 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
San Fransisco | CALIFORNIA | 94111 | |||||
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Recipient |
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Sterne, Agee, and Leach, Inc. | 791 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
800 Shades Creek Parkway | Suite 700 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Birmingham | ALABAMA | 35209 | |||||
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Recipient |
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Twenty First Securities Corporation | 14461 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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780 Third Avenue | #1503 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10017 | |||||
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Recipient |
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Snowden Account Services, Inc. | 149794 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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540 Madison Avenue | 9th Floor | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10022 | |||||
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Recipient |
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UBS Financial Services Inc. | 8174 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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1200 Harbor Boulevard | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Weehawken | NEW JERSEY | 07086 | |||||
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Recipient |
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Western International Securities, Inc. | 39262 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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70 S. Lake Avenue | Suite 700 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Pasadena | CALIFORNIA | 91101 | |||||
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Recipient |
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Charles Schwab & Co., Inc. | 5393 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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211 Main Street | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
San Fransisco | CALIFORNIA | 94105 | |||||
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Recipient |
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National Financial Services, LLC | 13041 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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200 Seaport Boulevard | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Boston | MASSACHUSETTS | 02210 | |||||
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Recipient |
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FSC Securities Corporation | 7461 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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2300 Windy Ridge Way | Suite 1100 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Atlanta | GEORGIA | 30339 | |||||
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Recipient |
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Harbor Investment Advisory, LLC | 151085 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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2300 West Joppa Road | Suite 160 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Lutherville-Timonium | MARYLAND | 21093 | |||||
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Recipient |
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RBC Capital Markets, LLC | 31194 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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3 World Financial Center | 200 Vesey Street | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10281 | |||||
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Recipient |
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Royal Alliance Associates, Inc. | 23131 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
10 Exchange Place | Suite 1410 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Jersey City | NEW JERSEY | 07302 | |||||
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Recipient |
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SagePoint Financial, Inc. | 133763 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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2800 N Central Avenue | Suite 2100 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Phoenix | ARIZONA | 85004 | |||||
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Recipient |
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Wells Fargo Advisors Financial Network, LLC | 11025 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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1 North Jefferson Avenue | MAC H0006-072 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
St. Louis | MISSOURI | 63103 | |||||
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Recipient |
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Wells Fargo Bank, N.A. | 165024 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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420 Montgomery Street | 5th Floor | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
San Fransisco | CALIFORNIA | 94104 | |||||
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Recipient |
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Woodbury Financial Services, Inc. | 421 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
7755 Third Street N | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Oakdale | MINNESOTA | 55128 | |||||
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13. Offering and Sales Amounts
Total Offering Amount | USD |
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Total Amount Sold | $1,156,829,455 | 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 | $7,741,850 | USD |
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Finders' Fees | $0 | USD |
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Clarification of Response (if Necessary):
16. Use of Proceeds
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
$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 |
---|---|---|---|---|
Exchange Place LP | /s/ David Kraut | David Kraut | Assistant Secretary of the Issuer's General Partner | 2017-10-26 |
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.