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 |
0001811927 |
|
|
Corporation |
|
Limited Partnership |
X |
Limited Liability Company |
|
General Partnership |
|
Business Trust |
|
Other (Specify) |
|
Name of Issuer |
Legendary A-1 Bonds, LLC |
Jurisdiction of Incorporation/Organization |
DELAWARE |
Year of Incorporation/Organization |
|
Over Five Years Ago |
X |
Within Last Five Years (Specify Year) |
2020 |
|
Yet to Be Formed |
|
2. Principal Place of Business and Contact Information
Name of Issuer |
Legendary A-1 Bonds, LLC |
Street Address 1 |
Street Address 2 |
1635 43RD STREET S, SUITE 205 |
City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
FARGO |
NORTH DAKOTA |
58103 |
701-630-6500 |
3. Related Persons
Last Name |
First Name |
Middle Name |
Maple |
Corey |
R. |
Street Address 1 |
Street Address 2 |
1635 43rd Street S, Suite 205 |
City |
State/Province/Country |
ZIP/PostalCode |
Fargo |
NORTH DAKOTA |
58103 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Managing Member of Manager
Last Name |
First Name |
Middle Name |
Legendary Capital, LLC |
N/A |
Street Address 1 |
Street Address 2 |
1635 43rd Street S, Suite 205 |
City |
State/Province/Country |
ZIP/PostalCode |
Fargo |
NORTH DAKOTA |
58103 |
Relationship: |
|
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Manager of Issuer
Last Name |
First Name |
Middle Name |
Leslie |
Norman |
Street Address 1 |
Street Address 2 |
1635 43rd Street S, Suite 205 |
City |
State/Province/Country |
ZIP/PostalCode |
Fargo |
NORTH DAKOTA |
58103 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Managing Member of Manager
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) |
| 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 |
2020-07-07 |
|
|
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)
|
Equity |
|
Pooled Investment Fund Interests |
X |
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 |
$10,000
|
USD |
12. Sales Compensation
Recipient |
Recipient CRD Number |
|
None |
|
The M&A Group LLC |
144909 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
900 IDS Center |
80th South 8th Street |
City |
State/Province/Country |
ZIP/Postal Code |
Minneapolis |
MINNESOTA |
55402 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
CENTER STREET SECURITIES INC |
26898 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
2 INTERNATIONAL PLAZA |
SUITE 301 |
City |
State/Province/Country |
ZIP/Postal Code |
NASHVILLE |
TENNESSEE |
37217 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARKANSAS |
COLORADO |
CONNECTICUT |
FLORIDA |
GEORGIA |
ILLINOIS |
INDIANA |
KENTUCKY |
LOUISIANA |
MINNESOTA |
MISSOURI |
NEVADA |
NORTH DAKOTA |
OHIO |
SOUTH CAROLINA |
TENNESSEE |
TEXAS |
UTAH |
|
Recipient |
Recipient CRD Number |
|
None |
|
GREAT POINT CAPITAL LLC |
114203 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
200 WEST JACKSON BLVD. |
SUITE 1000 |
City |
State/Province/Country |
ZIP/Postal Code |
CHICAGO |
ILLINOIS |
60606 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
WHITEHALL-PARKER SECURITIES INC |
10608 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
117 PAUL DRIVE |
SUITE B |
City |
State/Province/Country |
ZIP/Postal Code |
SAN RAFAEL |
CALIFORNIA |
94903 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
IBN FINANCIAL SERVICES, INC. |
42360 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
404 OLD LIVERPOOL RD |
City |
State/Province/Country |
ZIP/Postal Code |
LIVERPOOL |
NEW YORK |
13088 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ALASKA |
ARIZONA |
ARKANSAS |
CALIFORNIA |
GEORGIA |
MICHIGAN |
NEW JERSEY |
NEW YORK |
NORTH CAROLINA |
PENNSYLVANIA |
|
Recipient |
Recipient CRD Number |
|
None |
|
JRL CAPITAL CORPORATION |
10225 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
20371 IRVINE AVE |
SUITE A-140 |
City |
State/Province/Country |
ZIP/Postal Code |
NEWPORT BEACH |
CALIFORNIA |
92660 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
NEWBRIDGE SECURITIES CORPORATION |
104065 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
1200 NORTH FEDERAL HIGHWAY |
SUITE 400 |
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 |
|
|
ALABAMA |
FLORIDA |
LOUISIANA |
MARYLAND |
MICHIGAN |
NEW JERSEY |
NEW YORK |
|
Recipient |
Recipient CRD Number |
|
None |
|
NI ADVISORS |
134502 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
1138 CADILLAC COURT |
City |
State/Province/Country |
ZIP/Postal Code |
MILPITAS |
CALIFORNIA |
95035 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
NEVADA |
NEW JERSEY |
NEW YORK |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
TITAN SECURITIES |
131392 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
16775 ADDISON ROAD |
SUITE 525 |
City |
State/Province/Country |
ZIP/Postal Code |
ADDISON |
TEXAS |
75001 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
CALIFORNIA |
COLORADO |
FLORIDA |
GEORGIA |
KANSAS |
MISSOURI |
NEVADA |
NORTH CAROLINA |
OKLAHOMA |
TEXAS |
VERMONT |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
LANDOLT SECURITIES INC |
28352 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
41412 N. HWY 83 |
City |
State/Province/Country |
ZIP/Postal Code |
ANTIOCH |
ILLINOIS |
60002 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ILLINOIS |
NEW JERSEY |
SOUTH CAROLINA |
WISCONSIN |
|
Recipient |
Recipient CRD Number |
|
None |
|
INVICTA CAPITAL LLC |
288101 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
2790 MOSSIDE BOULEVARD |
SUITE 530 |
City |
State/Province/Country |
ZIP/Postal Code |
MONROEVILLE |
PENNSYLVANIA |
15146 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
AMERICAN TRUST INVESTMENT SERVICES, INC. |
3001 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
1244 119TH STREET |
City |
State/Province/Country |
ZIP/Postal Code |
WHITING |
INDIANA |
46394 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
COLORADO |
ILLINOIS |
TEXAS |
|
Recipient |
Recipient CRD Number |
|
None |
|
DEMPSEY LORD SMITH LLC |
141238 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
901 N BROAD STREET |
141,238 |
City |
State/Province/Country |
ZIP/Postal Code |
ROME |
GEORGIA |
30161 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
LION STREET FINANCIAL LLC |
165828 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
515 CONGRESS AVE |
SUITE 2500 |
City |
State/Province/Country |
ZIP/Postal Code |
AUSTIN |
TEXAS |
78701 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
COLORADO |
MISSISSIPPI |
TEXAS |
|
Recipient |
Recipient CRD Number |
|
None |
|
WESTPARK CAPITAL INC |
39914 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
1900 AVENUE OF THE STARS |
SUITE 310 |
City |
State/Province/Country |
ZIP/Postal Code |
LOS ANGELES |
CALIFORNIA |
90067 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
NEVADA |
NEW JERSEY |
NEW YORK |
|
Recipient |
Recipient CRD Number |
|
None |
|
PEAK BROKERAGE SERVICES LLC |
157045 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
1070 EAST INDIANTOWN ROAD |
SUITE 208 - 210 |
City |
State/Province/Country |
ZIP/Postal Code |
JUPITER |
FLORIDA |
33477 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
NEW YORK |
SOUTH CAROLINA |
TEXAS |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
INFINITY FINANCIAL SERVICES |
144302 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
212 9TH STREET |
SUITE 202 |
City |
State/Province/Country |
ZIP/Postal Code |
OAKLAND |
CALIFORNIA |
94607 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Lifemark Securities Corp. |
16204 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
400 West Metro Park |
City |
State/Province/Country |
ZIP/Postal Code |
Rochester |
NEW YORK |
14623 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
MICHIGAN |
NEW JERSEY |
NEW YORK |
NORTH CAROLINA |
TEXAS |
|
Recipient |
Recipient CRD Number |
|
None |
|
Intercarolina Financial Services, Inc. |
19475 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
3300 Battleground Avenue |
Suite 400 |
City |
State/Province/Country |
ZIP/Postal Code |
Greensboro |
NORTH CAROLINA |
27410 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Cape Securities Inc. |
7072 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
1600 Pennsylvania Avenue |
City |
State/Province/Country |
ZIP/Postal Code |
McDonough |
GEORGIA |
30253 |
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 |
|
USD |
|
Total Amount Sold |
$115,494,210
|
USD |
Total Remaining to be Sold |
|
USD |
|
Clarification of Response (if Necessary):
Bonds may be offered & sold in unlimited principal amount, provided, however, that aggregate principal amount of Bonds outstanding at any time after accounting for the Bonds that have been repaid upon maturity or redemption shall not exceed $75,000,00014. 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 |
$2,250,000
|
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):
Estimate of Dealer Manager Fee, Due Diligence Fee and Organizational Expenses which may accrue to one or more Related Persons.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 Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) 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 |
Legendary A-1 Bonds, LLC |
Corey R. Maple |
Corey R. Maple |
Manager of Legendary Capital LLC, sole member of Issuer |
2024-01-02 |
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.