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 | ||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
0001752572 |
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Name of Issuer | |||||||||||||||
Belgard Capital 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 | |||
---|---|---|---|
Belgard Capital Fund LLC | |||
Street Address 1 | Street Address 2 | ||
TWO INTERNATIONAL PLACE | |||
City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
BOSTON | MASSACHUSETTS | 02110 | 617-482-8260 |
3. Related Persons
Last Name | First Name | Middle Name |
---|---|---|
Eaton Vance | Management | |
Street Address 1 | Street Address 2 | |
Two International Place | ||
City | State/Province/Country | ZIP/PostalCode |
Boston | MASSACHUSETTS | 02110 |
Relationship: | Executive Officer | Director | X | Promoter |
---|
Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
---|---|---|
Marius | Frederick | S. |
Street Address 1 | Street Address 2 | |
c/o Eaton Vance Management | Two International Place | |
City | State/Province/Country | ZIP/PostalCode |
Boston | MASSACHUSETTS | 02110 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
Executive Officer of the ManagerLast Name | First Name | Middle Name |
---|---|---|
Faust Jr. | Thomas | |
Street Address 1 | Street Address 2 | |
c/o Eaton Vance Management | Two International Place | |
City | State/Province/Country | ZIP/PostalCode |
Boston | MASSACHUSETTS | 02110 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
Executive Officer of the ManagerLast Name | First Name | Middle Name |
---|---|---|
Murphy | A. John | |
Street Address 1 | Street Address 2 | |
c/o Eaton Vance Management | Two International Place | |
City | State/Province/Country | ZIP/PostalCode |
Boston | MASSACHUSETTS | 02110 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
Executive Officer of the ManagerLast Name | First Name | Middle Name |
---|---|---|
Hylton | Laurie | G. |
Street Address 1 | Street Address 2 | |
c/o Eaton Vance Management | Two International Place | |
City | State/Province/Country | ZIP/PostalCode |
Boston | MASSACHUSETTS | 02110 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
Executive Officer of the ManagerLast Name | First Name | Middle Name |
---|---|---|
Cataldo | Daniel | |
Street Address 1 | Street Address 2 | |
c/o Eaton Vance Management | Two International Place | |
City | State/Province/Country | ZIP/PostalCode |
Boston | MASSACHUSETTS | 02110 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
Executive Officer of the Manager4. 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)
| |||
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 | X | 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 | X | Other (describe) | |
Shares of the Fund |
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 | $1,000,000 | USD |
12. Sales Compensation
Recipient |
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Eaton Vance Distributors, Inc. | 37731 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
Two International Place | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Boston | MASSACHUSETTS | 02110 | |||||
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Recipient |
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BB&T SECURITIES, LLC | 142785 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
901 EAST BYRD STREET | RIVERFRONT PLAZA, WEST TOWER | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Richmond | VIRGINIA | 23219 | |||||
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Recipient |
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NORTHERN TRUST SECURITIES, INC. | 7927 | |||||||||||||||||||
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None | None | |||||||||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
50 SOUTH LASALLE STREET | ||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||||||||
Chicago | ILLINOIS | 60603 | ||||||||||||||||||
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Recipient |
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OPPENHEIMER & CO. INC | 249 | ||||||||||||||||||||||||||||||||||||||||||||||||||
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None | None | ||||||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
85 BROAD STREET | 22ND,24TH FLOOR | ||||||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||||||||||||||
New York | NEW YORK | 10004 | |||||||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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ROBERT W. BAIRD & CO. INCORPORATED | 8158 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
777 E. WISCONSIN AVENUE | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Milwaukee | WISCONSIN | 53202 | |||||
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Recipient |
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SANFORD C. BERNSTEIN & CO., LLC | 104474 | ||||||||||||||||||||||||||||||||||||||||||||||||||
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None | None | ||||||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
1345 AVENUE OF THE AMERICAS | |||||||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||||||||||||||
New York | NEW YORK | 10105-0096 | |||||||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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Hightower Advisors, LLC | 145323 | |||||||||||||||||||||||||||||||||||||||||||||||||
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None | None | |||||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||||||||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
200 W. Madison St. | Suite 2500 | |||||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||||||||||||||||||||||||||||||||||||||
Chicago | ILLINOIS | 60606 | ||||||||||||||||||||||||||||||||||||||||||||||||
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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 | ||||||
---|---|---|---|---|---|---|---|
3 WORLD FINANCIAL CENTER | 200 VESEY ST. | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10281 | |||||
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Recipient |
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CIBC Private Wealth Advisors (Atlantic Trust) | 109644 | ||||||||||||||||||||||||||||||||||||||||||||||||||
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None | None | ||||||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
One South Wacker Drive | suite 3500 | ||||||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||||||||||||||
Chicago | ILLINOIS | 60606 | |||||||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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Mercer Advisors | 147363 | ||||||||||||||||||||||||||||||||||||||||||||||||||
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None | None | ||||||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
1801 East Cabrillo Blvd | |||||||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||||||||||||||
Santa Barbara | CALIFORNIA | 93108 | |||||||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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First Republic Securities LLC | 105108 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
111 Pine Street | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
San Francisco | CALIFORNIA | 94111 | |||||
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Recipient |
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Ameriprise Financial | 6363 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
707 2nd Avenue South | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Minneapolis | MINNESOTA | 55402 | |||||
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Recipient |
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Merrill Lynch, Pierce Fenner, & Smith | 7691 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
One Bryant Park | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10036 | |||||
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Recipient |
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Stifel Nicolaus & Company, Inc. | 793 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
501 North Broadway | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
St Louis | MISSOURI | 63102 | |||||
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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 | ||||||
---|---|---|---|---|---|---|---|
211 Main Street | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
San Francisco | CALIFORNIA | 94105 | |||||
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Recipient |
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Morgan Stanley | 8209 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
1585 Broadway | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10036-8293 | |||||
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Recipient |
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Bessemer Investor Services | 17442 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
630 Fifth Avenue | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10111-0333 | |||||
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Recipient |
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JP Morgan Securities (Private Bank uses JPM Securities) | 79 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
383 Madison Avenue | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10179 | |||||
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Recipient |
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UBS Financial Services | 8174 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
1200 Harbor Blvd | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Weehawken | NEW JERSEY | 07086 | |||||
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Recipient |
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Cetera Advisors LLC | 10299 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
4600 South Syracuse St | Suite 600 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Denver | COLORADO | 80237 | |||||
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Recipient |
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Cetera Advisors LLC | 10299 | ||||||
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Cetera Advisor Networks | 13572 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
200 N Pacific Coast Hwy | Suite 1300 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
El Segundo | CALIFORNIA | 90245-5672 | |||||
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Recipient |
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Cetera Advisors LLC | 10299 | ||||||
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Cetera Financial Specialists | 10358 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
200 North Martingale RD | 7th fl | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Schaumburg | ILLINOIS | 60173 | |||||
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Recipient |
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Cetera Advisors LLC | 10299 | ||||||
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Cetera Investment Services | 15340 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
400 First St S. | Suite 300 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
St Cloud | MINNESOTA | 56032 | |||||
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Recipient |
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Cetera Advisors LLC | 10299 | ||||||||||||||||||||||||||||||||||||||||||||||||||
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Summit Brokerage Services | 34643 | ||||||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
595 S. Federal Hwy | Suite 500 | ||||||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||||||||||||||
Boca Raton | FLORIDA | 33432 | |||||||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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Cetera Advisors LLC | 10299 | ||||||
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First Allied Securities | 32444 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
655 West Broadway | 12th fl | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
San Diego | CALIFORNIA | 92101 | |||||
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Recipient |
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SunTrust Investment Services | 17499 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
303 Peachtree Center Ave. | suite 140 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Atlanta | GEORGIA | 30303 | |||||
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Recipient |
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Wells Fargo Advisors | 11025 | ||||||
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Wells Fargo Clearing Services | 37180 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
One North Jefferson Ave. | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
ST Louis | MISSOURI | 63103 | |||||
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Recipient |
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Janney Montgomery Scott | 463 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
1717 Arch Street | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Philidelphia | PENNSYLVANIA | 19103 | |||||
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Recipient |
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Sentry Advisors | 174042 | |||||||||||
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None | None | |||||||||||
Street Address 1 | Street Address 2 | |||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|
100 Pine Street | suite 2700 | |||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||
San Francisco | CALIFORNIA | 94111 | ||||||||||
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Recipient |
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Fieldpoint Private Securities LLC | 18975 | |||||||||||||||
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Fieldpoint Private Advisors, Inc. | 113673 | |||||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
100 Field Point Rd. | 2nd fl | |||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||||
greenwich | CONNECTICUT | 06830 | ||||||||||||||
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Recipient |
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Raymond James & Associates | 705 | ||||||||||||||||||||||||||||||||||||||||||||||||||
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Raymond James Financial Services | 6694 | ||||||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
880 Carillon Pkwy | |||||||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||||||||||||||
St Petersburg | FLORIDA | 33716 | |||||||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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CapTrust Financial Advisors | 41727 | ||||||
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CapFinancial Partners LLC | 175112 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
4208 Six Forks Road | suite 1700 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Raleigh | CALIFORNIA | 27609 | |||||
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Recipient |
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Rockefeller Financial LLC | 291361 | ||||||
|
| ||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
10 Rockefeller Plaza | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10020 | |||||
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Recipient |
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Plante Moran Financial Advisors LLC | 112158 | |||||||||||||||||||||||||||||
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None | None | |||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
27400 Northwestern Hwy | ||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||||||||||||||||||
Southfield | MICHIGAN | 48034 | ||||||||||||||||||||||||||||
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Recipient |
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Fifth Third Bank | 628 | ||||||
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Fifth Third Securities Inc | 3155 | ||||||
Street Address 1 | Street Address 2 | ||||||
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34 Fountain Square Plaza | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Cincinatti | OHIO | 45263 | |||||
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Recipient |
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CitiGroup Global Markets inc. | 7059 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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388 Greenwich Street | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10013 | |||||
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Recipient |
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Wilmington Trust Company | None | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
1100 North Market Street, | suite 1300 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Wilmington | DELAWARE | 19890 | |||||
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Recipient |
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Wilmington Trust NA | None | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
1100 North Market Street, | suite 1300 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
wilmington | DELAWARE | 19890 | |||||
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Recipient |
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M&T Bank | None | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
One M&T Plaza | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Buffalo | NEW YORK | 14203 | |||||
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Recipient |
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Sun Trust Bank | None | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
303 Peachtree Center Avenue | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Atlanta | GEORGIA | 30303 | |||||
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Recipient |
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Bank of America Private Bank (AKA US Trust) | None | ||||||
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Merrill Lynch | 7961 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
One Bryant Park | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10036 | |||||
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Recipient |
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Wells Fargo Bank | None | ||||||
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Wells Fargo Advisors | 11025 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
One North Jefferson Ave. | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
St louis | MISSOURI | 63103 | |||||
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Recipient |
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Altegris Investments LLC | 8258 | ||||||
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Artivest Alternative Advisors LLC | 291989 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
1200 Prospect St, | suite 400 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
La Jolla | CALIFORNIA | 92037 | |||||
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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 | ||||||
---|---|---|---|---|---|---|---|
75 State Street, | 22nd fl | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Boston | MASSACHUSETTS | 02103 | |||||
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Recipient |
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PNC National Bank NA | None | ||||||||||||||||||||
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None | None | ||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
1600 Mark | 4th fl | ||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||
Philadelphia | PENNSYLVANIA | 19103 | |||||||||||||||||||
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Recipient |
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BOK Financial Securities Inc. | 17530 | ||||||
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| ||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
One Williams Center, Plaza Southeast | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Tulsa | OKLAHOMA | 74172 | |||||
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13. Offering and Sales Amounts
Total Offering Amount | USD |
| ||||
Total Amount Sold | $1,076,309,000 | 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 | $0 | USD |
| ||
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 |
|
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: |
|
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 |
---|---|---|---|---|
Belgard Capital Fund LLC | /s/ A. John Murphy | A. John Murphy | Vice President | 2019-11-20 |
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.