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 |
|
|
1. Issuer's Identity
CIK (Filer ID Number) | Previous Names | | Entity Type |
---|
0001636344 | | | Corporation | X | Limited Partnership | | Limited Liability Company | | General Partnership | | Business Trust | | Other (Specify) |
|
Name of Issuer |
---|
APX Drilling Partners 2015-A, LP |
Jurisdiction of Incorporation/Organization |
---|
DELAWARE |
Year of Incorporation/Organization |
---|
| Over Five Years Ago | X | Within Last Five Years (Specify Year) | 2015 | | Yet to Be Formed |
|
2. Principal Place of Business and Contact Information
Name of Issuer |
---|
APX Drilling Partners 2015-A, LP |
Street Address 1 | Street Address 2 |
---|
591 DELAWARE AVE |
City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
---|
BUFFALO | NEW YORK | 14202 | 7168558090 |
3. Related Persons
Last Name | First Name | Middle Name |
---|
Reich | Justin |
Street Address 1 | Street Address 2 |
---|
591 Delaware Ave |
City | State/Province/Country | ZIP/PostalCode |
---|
Buffalo | NEW YORK | 14202 |
Relationship: | X | Executive Officer | | Director | | Promoter |
---|
Clarification of Response (if Necessary):
Executive officer of APX Energy, LLC the managing general partner and promoter of the issuer.
Last Name | First Name | Middle Name |
---|
Dancy | Scott |
Street Address 1 | Street Address 2 |
---|
591 Delaware Ave |
City | State/Province/Country | ZIP/PostalCode |
---|
Buffalo | NEW YORK | 14202 |
Relationship: | X | Executive Officer | | Director | | Promoter |
---|
Clarification of Response (if Necessary):
Executive officer of APX Energy, LLC, the managing general partner and promoter of the issuer.
Last Name | First Name | Middle Name |
---|
Cohen | David |
Street Address 1 | Street Address 2 |
---|
591 Delaware Ave |
City | State/Province/Country | ZIP/PostalCode |
---|
Buffalo | NEW YORK | 14202 |
Relationship: | X | Executive Officer | | Director | | Promoter |
---|
Clarification of Response (if Necessary):
Executive officer of APX Energy, LLC, the managing general partner and promoter of the issuer.
Last Name | First Name | Middle Name |
---|
Fagan | Josh |
Street Address 1 | Street Address 2 |
---|
723 S. Interstate East |
City | State/Province/Country | ZIP/PostalCode |
---|
Denton | TEXAS | 76205 |
Relationship: | X | Executive Officer | | Director | | Promoter |
---|
Clarification of Response (if Necessary):
National Sales Director of APX Energy, LLC, the managing general partner and promoter of the issuer.
Last Name | First Name | Middle Name |
---|
Donnelly | Kyle |
Street Address 1 | Street Address 2 |
---|
723 S. Interstate East |
City | State/Province/Country | ZIP/PostalCode |
---|
Denton | TEXAS | 76205 |
Relationship: | X | Executive Officer | | Director | | Promoter |
---|
Clarification of Response (if Necessary):
Vice President of Sales of APX Energy, LLC, the managing general partner and promoter of the issuer.
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 |
---|
| 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 504 (b)(1)(i) |
| | Rule 504 (b)(1)(ii) |
| | Rule 504 (b)(1)(iii) |
| | Rule 505 |
| X | Rule 506(b) |
| | Rule 506(c) |
| | Securities Act Section 4(a)(5) |
| 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 | 2015-06-17 | | | 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)
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? | | |
Clarification of Response (if Necessary):
11. Minimum Investment
Minimum investment accepted from any outside investor | $5,000 | USD |
12. Sales Compensation
Recipient | Recipient CRD Number | | None |
|
JCC Advisors, LCC | 146776 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
---|
201 S. Lake | Suite 302 |
City | State/Province/Country | ZIP/Postal Code |
Pasadena | CALIFORNIA | 91101 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
ARIZONA | CALIFORNIA | COLORADO | CONNECTICUT | FLORIDA | GEORGIA | HAWAII | ILLINOIS | INDIANA | IOWA | KANSAS | LOUISIANA | MARYLAND | MASSACHUSETTS | MICHIGAN | MINNESOTA | MISSOURI | NEBRASKA | NEVADA | NEW HAMPSHIRE | NEW JERSEY | NEW YORK | NORTH CAROLINA | OHIO | OREGON | PENNSYLVANIA | SOUTH CAROLINA | SOUTH DAKOTA | TENNESSEE | TEXAS | UTAH | VIRGINIA | WASHINGTON | WEST VIRGINIA |
|
Recipient | Recipient CRD Number | | None |
|
Ameritas Investment Corp | 14869 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
---|
5900 O Street |
City | State/Province/Country | ZIP/Postal Code |
Lincoln | NEBRASKA | 68510 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | X | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Berthel Fisher & Co Fin Serv | 13609 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
---|
701 Tama Street | Building B |
City | State/Province/Country | ZIP/Postal Code |
Marion | IOWA | 52302 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | X | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Independent Financial Group | 7717 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
---|
12671 High Bluff Dr | Suite 200 |
City | State/Province/Country | ZIP/Postal Code |
San Diego | CALIFORNIA | 92130 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | X | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Kalos Capital | 44337 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
---|
11525 Park Woods Circle | Suite 280 |
City | State/Province/Country | ZIP/Postal Code |
Alphretta | GEORGIA | 30005 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | X | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Transamerica Fin Advisors | 16164 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
---|
570 Carillion Pkwy |
City | State/Province/Country | ZIP/Postal Code |
St. Petersburg | FLORIDA | 33716 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | X | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Douglas Conoway | 1363289 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
American Portfolios Fin Serv | 18487 |
Street Address 1 | Street Address 2 |
---|
4250 Veterans Memorial Hwy | 4th Floor |
City | State/Province/Country | ZIP/Postal Code |
Holbrook | NEW YORK | 11741 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Richard Brydges | 2719756 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
ARI Financial Services | 137608 |
Street Address 1 | Street Address 2 |
---|
9120 W 135th St | Suite 212 |
City | State/Province/Country | ZIP/Postal Code |
Overland Park | KANSAS | 66221 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Timothy Snodgrass | 4426613 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
ARI Financial Services | 137608 |
Street Address 1 | Street Address 2 |
---|
9120 W 135th St | Suite 212 |
City | State/Province/Country | ZIP/Postal Code |
Overland Park | KANSAS | 66221 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Bruce Drooks | 2440188 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Centaurus Financial Serv | 30833 |
Street Address 1 | Street Address 2 |
---|
2300 E. Katella | Suite 200 |
City | State/Province/Country | ZIP/Postal Code |
Anaheim | CALIFORNIA | 92806 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
David Kosen | 274166 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Centaurus Financial Serv | 30833 |
Street Address 1 | Street Address 2 |
---|
2300 E. Katella | Suite 200 |
City | State/Province/Country | ZIP/Postal Code |
Anaheim | CALIFORNIA | 92806 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
James Peters | 2665577 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Centaurus Financial Serv | 30833 |
Street Address 1 | Street Address 2 |
---|
2300 E. Katella | Suite 200 |
City | State/Province/Country | ZIP/Postal Code |
Anaheim | CALIFORNIA | 92806 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Jane Prugsanapan | 5270442 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Centaurus Financial Serv | 30833 |
Street Address 1 | Street Address 2 |
---|
2300 E. Katella | Suite 200 |
City | State/Province/Country | ZIP/Postal Code |
Anaheim | CALIFORNIA | 92806 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Arlo Stoll | 2863903 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Cetera Advisors | 80237 |
Street Address 1 | Street Address 2 |
---|
4600 S. Syracuse | Suite 600 |
City | State/Province/Country | ZIP/Postal Code |
Denver | COLORADO | 80237 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Wendy Fleischmann | 5561064 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Crown Capital Securities | 6312 |
Street Address 1 | Street Address 2 |
---|
725 Town & Country Rd | Suite 530 |
City | State/Province/Country | ZIP/Postal Code |
Orange | CALIFORNIA | 92863 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
John Levee | 2022567 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
DFPG Investments | 155576 |
Street Address 1 | Street Address 2 |
---|
406 W. South Jordan Pkwy | Suite 240 |
City | State/Province/Country | ZIP/Postal Code |
S. Jordan | UTAH | 84095 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Thomas M. Nixon | 833930 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Elish & Elish | 24409 |
Street Address 1 | Street Address 2 |
---|
165 E. Pike St. |
City | State/Province/Country | ZIP/Postal Code |
Canonsburg | PENNSYLVANIA | 15317 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Matthew Poole | 5074516 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
First Allied Securities | 32444 |
Street Address 1 | Street Address 2 |
---|
6555 W. Broadway | 12th Fllor |
City | State/Province/Country | ZIP/Postal Code |
San Diego | CALIFORNIA | 92101 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Scott Olson | 711256 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Financial West Group | 16668 |
Street Address 1 | Street Address 2 |
---|
4510 E. Thousand Oaks Blvd |
City | State/Province/Country | ZIP/Postal Code |
West Lake Village | CALIFORNIA | 91362 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Scott Mrozek | 2410838 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Financial West Group | 16668 |
Street Address 1 | Street Address 2 |
---|
4510 E. Thousand Oaks Blvd |
City | State/Province/Country | ZIP/Postal Code |
West Lake Village | CALIFORNIA | 91362 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Stephen Vallender | 4667608 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Financial West Group | 2410838 |
Street Address 1 | Street Address 2 |
---|
4510 E. Thousand Oaks Blvd |
City | State/Province/Country | ZIP/Postal Code |
West Lake Village | CALIFORNIA | 91362 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Jingbo Pan | 5266959 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
International Assets Advisory | 10645 |
Street Address 1 | Street Address 2 |
---|
390 N. Orange Avenue | Suite 750 |
City | State/Province/Country | ZIP/Postal Code |
Orlando | FLORIDA | 32801 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Jason Lambert | 6155850 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Madison Avenue Securities | 23224 |
Street Address 1 | Street Address 2 |
---|
15050 Avenue of Science | Suite 150 |
City | State/Province/Country | ZIP/Postal Code |
San Diego | CALIFORNIA | 92128 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Jeffrey Dixson | 4166311 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Madison Avenue Securities | 23224 |
Street Address 1 | Street Address 2 |
---|
15050 Avenue of Science | Suite 150 |
City | State/Province/Country | ZIP/Postal Code |
San Diego | CALIFORNIA | 92128 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
John Hose II | 5824275 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Madison Avenue Securities | 23224 |
Street Address 1 | Street Address 2 |
---|
15050 Avenue of Science | Suite 150 |
City | State/Province/Country | ZIP/Postal Code |
San Diego | CALIFORNIA | 92128 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Nathan Tiarks | 4130957 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Parkland Securities | 155368 |
Street Address 1 | Street Address 2 |
---|
300 Parkland Plaza |
City | State/Province/Country | ZIP/Postal Code |
Ann Arbor | MICHIGAN | 48103 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Taylor Ashland | 5732470 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Parkland Securities | 155368 |
Street Address 1 | Street Address 2 |
---|
300 Parkland Plaza |
City | State/Province/Country | ZIP/Postal Code |
Ann Arbor | MICHIGAN | 48103 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Chris St. John | 4357665 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
The Strategic Fin Alliance | 126514 |
Street Address 1 | Street Address 2 |
---|
2200 Century Parkway | Suite 500 |
City | State/Province/Country | ZIP/Postal Code |
Atlanta | GEORGIA | 30345 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Matthew Lowery | 5141483 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
The Strategic Fin Alliance | 126514 |
Street Address 1 | Street Address 2 |
---|
2200 Century Parkway | Suite 500 |
City | State/Province/Country | ZIP/Postal Code |
Atlanta | GEORGIA | 30345 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Josette Smith | 4403152 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
The Strategic Fin Alliance | 126514 |
Street Address 1 | Street Address 2 |
---|
2200 Century Parkway | Suite 500 |
City | State/Province/Country | ZIP/Postal Code |
Atlanta | GEORGIA | 30345 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Kristine Howell | 2214295 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Sigma Financial Corp | 14303 |
Street Address 1 | Street Address 2 |
---|
3680 W.Liberty |
City | State/Province/Country | ZIP/Postal Code |
Ann Arbor | MICHIGAN | 48103 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Scott Hayden | 4082716 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Sigma Financial Corp | 14303 |
Street Address 1 | Street Address 2 |
---|
3680 W. Liberty |
City | State/Province/Country | ZIP/Postal Code |
Ann Arbor | MICHIGAN | 48103 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Timothy Greene | 2622877 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Sigma Financial Corp | 14303 |
Street Address 1 | Street Address 2 |
---|
3680 W. Libery |
City | State/Province/Country | ZIP/Postal Code |
Ann Arbor | MICHIGAN | 48103 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Brion Harris | 3199095 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Summit Brokerage Services | 34643 |
Street Address 1 | Street Address 2 |
---|
595 S. Federal Highway | Suite 500 |
City | State/Province/Country | ZIP/Postal Code |
Boca Raton | FLORIDA | 33432 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Gregory Schowe | 5472166 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Summit Brokerage Services | 34643 |
Street Address 1 | Street Address 2 |
---|
595 S. Federal Highway | Suite 500 |
City | State/Province/Country | ZIP/Postal Code |
Boca Raton | FLORIDA | 334322 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Ronald Clark | 1086724 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Summit Brokerage Services | 34643 |
Street Address 1 | Street Address 2 |
---|
595 S. Federal Highway | Suite 500 |
City | State/Province/Country | ZIP/Postal Code |
Boca Raton | FLORIDA | 334322 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Mark Trewitt | 1364490 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
VFG Securities | 15121 |
Street Address 1 | Street Address 2 |
---|
100 Corporate Pointe | Suite 382 |
City | State/Province/Country | ZIP/Postal Code |
Culver City | CALIFORNIA | 90230 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Charles Geraci | 1475021 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
VSR Financial Serv | 14503 |
Street Address 1 | Street Address 2 |
---|
8620 W. 110th Street |
City | State/Province/Country | ZIP/Postal Code |
Overland Park | KANSAS | 66210 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
JayWallinger | 2407056 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
VSR Financial Serv | 14503 |
Street Address 1 | Street Address 2 |
---|
8620 110th Street |
City | State/Province/Country | ZIP/Postal Code |
Overland Park | KANSAS | 66210 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Marc Seeherman | 1131557 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
VSR Financial Serv | 14503 |
Street Address 1 | Street Address 2 |
---|
8620 110th Street |
City | State/Province/Country | ZIP/Postal Code |
Overland Park | KANSAS | 66210 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Mark Ellingson | 2498688 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
VSR Financial Serv | 14503 |
Street Address 1 | Street Address 2 |
---|
8620 110th Street |
City | State/Province/Country | ZIP/Postal Code |
Overland Park | KANSAS | 66210 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Robert Hardcastle | 1101791 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
VSR Financial Serv | 14503 |
Street Address 1 | Street Address 2 |
---|
8620 110th Street |
City | State/Province/Country | ZIP/Postal Code |
Overland Park | KANSAS | 66210 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
David McAdams | 2626940 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
WFG Investments | 13169 |
Street Address 1 | Street Address 2 |
---|
2711 N. Haskell Ave | Suite 2900 |
City | State/Province/Country | ZIP/Postal Code |
Dallas | TEXAS | 75204 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Murray Petersen | 1311730 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
WFG Investments | 13169 |
Street Address 1 | Street Address 2 |
---|
2711 N. Haskell Ave | Suite 2900 |
City | State/Province/Country | ZIP/Postal Code |
Dallas | TEXAS | 75204 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Robert Messett | 2918392 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
WFG Investments | 13169 |
Street Address 1 | Street Address 2 |
---|
2711 N. Haskell Ave | Suite 2900 |
City | State/Province/Country | ZIP/Postal Code |
Dallas | TEXAS | 75204 |
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 | $100,000,000 | USD | |
Total Amount Sold | $14,573,250 | USD |
Total Remaining to be Sold | $85,426,750 | USD | |
Clarification of Response (if Necessary):
Offering is closed.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 | $1,120,713 | 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.
Clarification of Response (if Necessary):
The managing general partner received an engineering and completion fee based on the issuer's share of drilling and completion costs of its wells.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 Regulation D exemption for the offering, the issuer is not disqualified from relying on Regulation D for one of the reasons stated in Rule 505(b)(2)(iii) or Rule 506(d).
|
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 |
---|
APX Drilling Partners 2015-A, LP | David Cohen | David Cohen | VP, APX Energy, LLC, MGP | 2016-01-08 |
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.