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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0001797614 |
Statutory Trust | ||||||||||||||
Name of Issuer | |||||||||||||||
Flatirons Self-Storage DST | |||||||||||||||
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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Flatirons Self-Storage DST | |||
Street Address 1 | Street Address 2 | ||
10000 Memorial Drive | Suite 740 | ||
City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
Houston | TEXAS | 77024 | (720) 799-0411 |
3. Related Persons
Last Name | First Name | Middle Name |
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Flatirons Operating, LLC | N/A | |
Street Address 1 | Street Address 2 | |
10000 Memorial Drive | Suite 740 | |
City | State/Province/Country | ZIP/PostalCode |
Houston | TEXAS | 77024 |
Relationship: | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Manager of the Manager of IssuerLast Name | First Name | Middle Name |
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Flatirons Asset Management, LLC | N/A | |
Street Address 1 | Street Address 2 | |
10000 Memorial Drive | Suite 740 | |
City | State/Province/Country | ZIP/PostalCode |
Houston | TEXAS | 77024 |
Relationship: | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Manager of the Manager of the Manager of IssuerLast Name | First Name | Middle Name |
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Matheny | Kate | |
Street Address 1 | Street Address 2 | |
10000 Memorial Drive | Suite 740 | |
City | State/Province/Country | ZIP/PostalCode |
Houston | TEXAS | 77024 |
Relationship: | X | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Chief Executive Officer and Director of the Manager of the Manager of the Manager of IssuerLast Name | First Name | Middle Name |
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Hollon | David | |
Street Address 1 | Street Address 2 | |
10000 Memorial Drive | Suite 740 | |
City | State/Province/Country | ZIP/PostalCode |
Houston | TEXAS | 77024 |
Relationship: | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Director of the Manager of the Manager of the Manager of IssuerLast Name | First Name | Middle Name |
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Brock | Trevor | |
Street Address 1 | Street Address 2 | |
10000 Memorial Drive | Suite 740 | |
City | State/Province/Country | ZIP/PostalCode |
Houston | TEXAS | 77024 |
Relationship: | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Director of the Manager of the Manager of the Manager of IssuerLast Name | First Name | Middle Name |
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Bolanos | Jose | |
Street Address 1 | Street Address 2 | |
10000 Memorial Drive | Suite 740 | |
City | State/Province/Country | ZIP/PostalCode |
Houston | TEXAS | 77024 |
Relationship: | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Director of the Manager of the Manager of the Manager of IssuerLast Name | First Name | Middle Name |
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Flatirons Self-Storage DST Trustee, LLC | N/A | |
Street Address 1 | Street Address 2 | |
10000 Memorial Drive | Suite 740 | |
City | State/Province/Country | ZIP/PostalCode |
Houston | TEXAS | 77024 |
Relationship: | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Trust Manager, Manager and Signatory Trustee of Issuer4. 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 | |||
X | Decline to Disclose | 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 | 2019-12-11 | 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 | 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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Capulent, LLC | 155155 | ||||||||||||||||||||||||||||||||
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None | None | ||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||
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4144 N. 44th Street | Suite 3 | ||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||
Phoenix | ARIZONA | 85018 | |||||||||||||||||||||||||||||||
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Recipient |
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WealthForge Securities, LLC | 152550 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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3015 W. Moore Street | Suite 102 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Richmond | VIRGINIA | 23230 | |||||
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Recipient |
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Primex | 29394 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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54 West 21st Street | Suite 1210 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10010 | |||||
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Recipient |
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Berthel Fisher & Co. Financial Services, Inc. | 13609 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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4201 42nd Street NE | Suite 100 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Cedar Rapids | IOWA | 52402 | |||||
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Recipient |
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Westpark Capital, Inc. | 39914 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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1600 Dove Street | Suite 250 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Newport Beach | CALIFORNIA | 92660 | |||||
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Recipient |
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Emerson Equity LLC | 130032 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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155 Bovet Road | Suite 725 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
San Mateo | CALIFORNIA | 94402 | |||||
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Recipient |
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Arkadios Capital | 282710 | ||||||||||||||||||||||||||||||||||||||||||||||||
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None | None | ||||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||||||||||||||
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309 East Paces Ferry Road | Suite 1000 | ||||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||||||||||||
Atlanta | GEORGIA | 30305 | |||||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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Lion Street Financial, LLC | 165828 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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515 Congress Avenue | Suite 2500 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Austin | TEXAS | 78701 | |||||
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Recipient |
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McDermott Investment Services, LLC | 154926 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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44 East Broad Street | Suite 216 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Bethlehem | PENNSYLVANIA | 18018 | |||||
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Recipient |
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Thornhill Securities, Inc. | 22333 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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5906 Old Fredericksburg Road | Suite 201 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Austin | TEXAS | 78749 | |||||
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Recipient |
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Great Point Capital LLC | 114203 | |||||||||||||||||||||||||||||||||||||||||||||
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None | None | |||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||||||||||||||||||||||||||||||||||
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200 West Jackson Blvd. | Suite 1000 | |||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||||||||||||||||||||||||||||||||||
Chicago | ILLINOIS | 60606 | ||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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Cabin Securities, Inc. | 137608 | |||||||||||||||||||||||||||||||||||||||||||
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None | None | |||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||||||||||||||||||||||||||||||||
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6240 W. 135th Street | Suite 214 | |||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||||||||||||||||||||||||||||||||
Overland Park | KANSAS | 66223 | ||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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Newbridge Securities Corp. | 104065 | ||||||||||||||||||||||||||||||||||||||||||||||||||
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None | None | ||||||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||||||||||||||||
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1200 North Federal Highway | Suite 400 | ||||||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||||||||||||||
Boca Raton | FLORIDA | 33432 | |||||||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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Orchard Securities, LLC | 133378 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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365 Garden Grove Lane | Suite 100 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Pleasant Grove | UTAH | 84062 | |||||
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Recipient |
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Willow Cove Investment Group, Inc. | 107824 | ||||||||||
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None | None | ||||||||||
Street Address 1 | Street Address 2 | ||||||||||
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7561 Country Road M | |||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||
Winneconne | WISCONSIN | 549836 | |||||||||
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13. Offering and Sales Amounts
Total Offering Amount | $18,227,000 | USD |
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Total Amount Sold | $14,566,997 | USD | ||||
Total Remaining to be Sold | $3,660,003 | 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 | $1,732,565 | USD |
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Finders' Fees | $0 | USD |
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Clarification of Response (if Necessary):
This estimate assumes the sale of the total offering amount.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.
$1,916,563 | USD |
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Clarification of Response (if Necessary):
This estimate includes certain expense reimbursements and assumes the sale of the total offering amount.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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Flatirons Self-Storage DST | /s/ Kate Matheny | Kate S. Matheny | CEO of Manager of Manager of Manager of Issuer | 2020-04-23 |
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.