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 |
0001830097 | | | Corporation | X | Limited Partnership | | Limited Liability Company | | General Partnership | | Business Trust | | Other (Specify) | |
Name of Issuer |
Griffin Capital Qualified Opportunity Zone Fund II, L.P. |
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 |
Griffin Capital Qualified Opportunity Zone Fund II, L.P. |
Street Address 1 | Street Address 2 |
C/O GRIFFIN CAPITAL PLAZA | 1520 EAST GRAND AVENUE |
City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
EL SEGUNDO | CALIFORNIA | 90245 | (310) 469-6100 |
3. Related Persons
Last Name | First Name | Middle Name |
Shields | Kevin | A. |
Street Address 1 | Street Address 2 |
Griffin Capital Plaza | 1520 E. Grand Avenue |
City | State/Province/Country | ZIP/PostalCode |
El Segundo | CALIFORNIA | 90245 |
Relationship: | X | Executive Officer | | Director | | Promoter |
Clarification of Response (if Necessary):
Chief Executive Officer of the General Partner of the Issuer
Last Name | First Name | Middle Name |
Griffin Capital Company, LLC | N/A |
Street Address 1 | Street Address 2 |
Griffin Capital Plaza | 1520 E. Grand Avenue |
City | State/Province/Country | ZIP/PostalCode |
El Segundo | CALIFORNIA | 90245 |
Relationship: | X | Executive Officer | | Director | | Promoter |
Clarification of Response (if Necessary):
Sponsor of the Issuer
Last Name | First Name | Middle Name |
Griffin Capital QOZ II, LLC | N/A |
Street Address 1 | Street Address 2 |
Griffin Capital Plaza | 1520 E. Grand Avenue |
City | State/Province/Country | ZIP/PostalCode |
El Segundo | CALIFORNIA | 90245 |
Relationship: | X | Executive Officer | | Director | | Promoter |
Clarification of Response (if Necessary):
General Partner 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) | | 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 | 2020-10-13 | | | First Sale Yet to Occur |
X | Amendment |
8. Duration of Offering
Does the Issuer intend this offering to last more than one year? | | |
9. Type(s) of Securities Offered (select all that apply)
X | Equity | X | Pooled Investment Fund Interests |
| Debt | | Tenant-in-Common Securities |
| Option, Warrant or Other Right to Acquire Another Security | | Mineral Property Securities |
| Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security | | Other (describe) |
| |
10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? | | |
Clarification of Response (if Necessary):
11. Minimum Investment
Minimum investment accepted from any outside investor | $150,000 | USD |
12. Sales Compensation
Recipient | Recipient CRD Number | | None |
|
Adam M. Carmel | 1074710 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Larimer Capital Corporation | 18189 |
Street Address 1 | Street Address 2 |
1720 South Bellaire Street | Suite 1110 |
City | State/Province/Country | ZIP/Postal Code |
Denver | COLORADO | 80222 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Mark Herding | 2239357 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Harbour Investments, Inc. | 19258 |
Street Address 1 | Street Address 2 |
2198 E. Camelback Road | Suite 315 |
City | State/Province/Country | ZIP/Postal Code |
Phoenix | ARIZONA | 85016 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Timothy Sherer | 833618 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Emerson Equity LLC | 130032 |
Street Address 1 | Street Address 2 |
455 Los Gatos Boulevard | Suite 206 |
City | State/Province/Country | ZIP/Postal Code |
Los Gatos | CALIFORNIA | 95032 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Ryan Sherer | 5952617 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Emerson Equity LLC | 130032 |
Street Address 1 | Street Address 2 |
455 Los Gatos Boulevard | Suite 206 |
City | State/Province/Country | ZIP/Postal Code |
Los Gatos | CALIFORNIA | 95032 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Rob Johnson | 4318220 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Thornhill Securities, Inc. | 22333 |
Street Address 1 | Street Address 2 |
111 Congress Avenue | Suite 1000 |
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 |
| |
|
Recipient | Recipient CRD Number | | None |
|
Clay Schmidt | 6920482 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Thornhill Securities, Inc. | 22333 |
Street Address 1 | Street Address 2 |
111 Congress Avenue | Suite 1000 |
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 |
| |
|
Recipient | Recipient CRD Number | | None |
|
Sudhir Pai | 5928622 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Emerson Equity LLC | 130032 |
Street Address 1 | Street Address 2 |
4512 Legacy Drive | Suite 100 |
City | State/Province/Country | ZIP/Postal Code |
Plano | TEXAS | 75024 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
CALIFORNIA | FLORIDA | TEXAS | WASHINGTON | |
Recipient | Recipient CRD Number | | None |
|
Amanda Steele | 6566472 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
McDermott Investment Services, LLC | 154926 |
Street Address 1 | Street Address 2 |
3325 Turnbridge Drive |
City | State/Province/Country | ZIP/Postal Code |
Raleigh | NORTH CAROLINA | 27609 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Betty Friant | 2122446 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Growth Capital Services, Inc. | 124658 |
Street Address 1 | Street Address 2 |
1101 Pennsylvania Avenue N.W. | Suite 300 |
City | State/Province/Country | ZIP/Postal Code |
Washington | DISTRICT OF COLUMBIA | 20004 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
MARYLAND | MINNESOTA | SOUTH CAROLINA | |
Recipient | Recipient CRD Number | | None |
|
David B. Levinson | 705929 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
American Trust Investment Services, Inc. | 3001 |
Street Address 1 | Street Address 2 |
4722 Main Street |
City | State/Province/Country | ZIP/Postal Code |
Lisle | ILLINOIS | 60532 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Steven McNeilly | 5614719 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
American Portfolios Financial Services, Inc. | 18487 |
Street Address 1 | Street Address 2 |
7 Cypress Lane |
City | State/Province/Country | ZIP/Postal Code |
Cedar Grove | NEW JERSEY | 07009 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Ivan West | 4921015 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
American Trust Investment Services, Inc. | 3001 |
Street Address 1 | Street Address 2 |
4722 Main Street |
City | State/Province/Country | ZIP/Postal Code |
Lisle | ILLINOIS | 60532 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Jennifer Gorlaski | 6737853 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Harbour Investments, Inc. | 19258 |
Street Address 1 | Street Address 2 |
2198 E. Camelback Road | Suite 315 |
City | State/Province/Country | ZIP/Postal Code |
Phoenix | ARIZONA | 85016 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
James Parry | 1877092 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Arkadios Capital | 282710 |
Street Address 1 | Street Address 2 |
2591 Dallas Parkway | #300 |
City | State/Province/Country | ZIP/Postal Code |
Frisco | TEXAS | 75034 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Justin Kiehne | 7076691 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Concorde Investment Services, LLC | 151604 |
Street Address 1 | Street Address 2 |
4600 Military Trail | Suite A-224 |
City | State/Province/Country | ZIP/Postal Code |
Jupiter | FLORIDA | 33458 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Kent A. Fitzpatrick | 1998842 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Concorde Investment Services, LLC | 151604 |
Street Address 1 | Street Address 2 |
24 Superior Drive | Suite 101 |
City | State/Province/Country | ZIP/Postal Code |
Natick | MASSACHUSETTS | 01760 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Jerry Dempsey | 1869325 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Dempsey Lord Smith LLC | 141238 |
Street Address 1 | Street Address 2 |
901 N. Broad Street | Suite 400 |
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 |
|
Carmen D. Marrone | 1898874 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
National Securities Corporation | 7569 |
Street Address 1 | Street Address 2 |
11 Gay Road |
City | State/Province/Country | ZIP/Postal Code |
East Hampton | NEW YORK | 11937 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Richard Chess | 1127716 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Crescent Securities Group, Inc. | 114993 |
Street Address 1 | Street Address 2 |
8750 N. Central Expressway | Suite 750 |
City | State/Province/Country | ZIP/Postal Code |
Dallas | TEXAS | 75231 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Brent Honea | 2289905 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Crown Capital Securities, LP | 6312 |
Street Address 1 | Street Address 2 |
333 City Boulevard West | Suite 2050 |
City | State/Province/Country | ZIP/Postal Code |
Orange | CALIFORNIA | 92868 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Adam Shipley | 6482848 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
National Securities Corporation | 7569 |
Street Address 1 | Street Address 2 |
4695 MacArthur Court | Suite 1100 |
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 |
|
Cambridge Investment Research, Inc. | 39543 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
1776 Pleasant Plain Road |
City | State/Province/Country | ZIP/Postal Code |
Fairfield | IOWA | 52556 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
CALIFORNIA | COLORADO | FLORIDA | ILLINOIS | KENTUCKY | MASSACHUSETTS | OHIO | VIRGINIA | |
Recipient | Recipient CRD Number | | None |
|
DFPG Investments, LLC | 155576 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
9017 S. Riverside Drive | Suite 210 |
City | State/Province/Country | ZIP/Postal Code |
Sandy | UTAH | 84070 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
ALABAMA | CALIFORNIA | SOUTH CAROLINA | UTAH | |
Recipient | Recipient CRD Number | | None |
|
Amr Tenney | 5506866 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Thornhill Securities, Inc. | 22333 |
Street Address 1 | Street Address 2 |
111 Congress Avenue | Suite 1000 |
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 |
| |
|
Recipient | Recipient CRD Number | | None |
|
Edward Fernandez | 2956661 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Capulent LLC | 155155 |
Street Address 1 | Street Address 2 |
2603 Main Street | Suite 1050 |
City | State/Province/Country | ZIP/Postal Code |
Irvine | CALIFORNIA | 92614 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Stacey Morimoto | 4420782 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Stax Capital | 300607 |
Street Address 1 | Street Address 2 |
4901 Morena Boulevard | Suite 121 |
City | State/Province/Country | ZIP/Postal Code |
San Diego | CALIFORNIA | 92117 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Jason Finley | 6602034 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Stax Capital | 300607 |
Street Address 1 | Street Address 2 |
4901 Morena Boulevard | Suite 121 |
City | State/Province/Country | ZIP/Postal Code |
San Diego | CALIFORNIA | 92117 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Barry Levan | 1130895 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Crown Capital Securities, LP | 6312 |
Street Address 1 | Street Address 2 |
8383 NE Sandy Boulevard | Suite 420 |
City | State/Province/Country | ZIP/Postal Code |
Portland | OREGON | 97220 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Blake V. Barnett | 5713662 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Calton & Associates, Inc. | 20999 |
Street Address 1 | Street Address 2 |
5975 South Quebec Street | Suite 130 |
City | State/Province/Country | ZIP/Postal Code |
Centennial | COLORADO | 80111 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Marc Zaro | 6613514 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Invicta Cpaital LLC | 288101 |
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 |
|
Gerard P. Gloisten | 2579962 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Western International Securities, Inc. | 39262 |
Street Address 1 | Street Address 2 |
558 B Street |
City | State/Province/Country | ZIP/Postal Code |
Santa Rosa | CALIFORNIA | 95401 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Independent Financial Group, LLC | 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 Drive | 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 | | All States |
| |
CALIFORNIA | NEW JERSEY | OREGON | UTAH | WISCONSIN | |
Recipient | Recipient CRD Number | | None |
|
Joseph W. Brezden | 1293907 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Lincoln Financial Advisors Corp | 3978 |
Street Address 1 | Street Address 2 |
18400 Von Karman Avenue | Suite 400 |
City | State/Province/Country | ZIP/Postal Code |
Irvine | CALIFORNIA | 92612 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Michael J. Brezden | 5982363 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Lincoln Financial Advisors Corp | 3978 |
Street Address 1 | Street Address 2 |
18400 Von Karman Avenue | Suite 400 |
City | State/Province/Country | ZIP/Postal Code |
Irvine | CALIFORNIA | 92612 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
David O'Brien | 2722690 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Concorde Investment Services, LLC | 151604 |
Street Address 1 | Street Address 2 |
24 Superior Drive | Suite 101 |
City | State/Province/Country | ZIP/Postal Code |
Natick | MASSACHUSETTS | 01760 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Drew Reynolds | 6646813 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Thornhill Securities, Inc. | 22333 |
Street Address 1 | Street Address 2 |
111 Congress Avenue | Suite 1000 |
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 |
| |
|
Recipient | Recipient CRD Number | | None |
|
Salvadore Salvo | 409637 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Purshe Kaplan Sterling Investments | 35747 |
Street Address 1 | Street Address 2 |
4 Campus Drive |
City | State/Province/Country | ZIP/Postal Code |
Parsippany | NEW JERSEY | 07054 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Michael MacDougal | 2739184 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Purshe Kaplan Sterling Investments | 35747 |
Street Address 1 | Street Address 2 |
4 Campus Drive |
City | State/Province/Country | ZIP/Postal Code |
Parsippany | NEW JERSEY | 07054 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
William Colvett | 4311759 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
H. Beck, Inc. | 1763 |
Street Address 1 | Street Address 2 |
300 Cayuga Road |
City | State/Province/Country | ZIP/Postal Code |
Lake Orion | MICHIGAN | 48362 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Kestra Investment Services, LLC | 42046 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
5707 Southwest Parkway | Building 2 Suite 400 |
City | State/Province/Country | ZIP/Postal Code |
Austin | TEXAS | 78735 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
CALIFORNIA | CONNECTICUT | FLORIDA | GEORGIA | MINNESOTA | TEXAS | |
Recipient | Recipient CRD Number | | None |
|
John Bussa | 4418922 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Lincoln Financial Advisors Corporation | 3978 |
Street Address 1 | Street Address 2 |
1000 Town Center | 26th Floor |
City | State/Province/Country | ZIP/Postal Code |
Southfield | MICHIGAN | 48075 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Dean Clemons | 4118648 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Lincoln Financial Advisors Corporation | 3978 |
Street Address 1 | Street Address 2 |
1000 Town Center | 26th Floor |
City | State/Province/Country | ZIP/Postal Code |
Southfield | MICHIGAN | 48075 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Guy Anthony Harrigan | 1817525 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Lion Street Financial, LLC | 165828 |
Street Address 1 | Street Address 2 |
4770 Baseline Road | Suite 380 |
City | State/Province/Country | ZIP/Postal Code |
Boulder | COLORADO | 80303 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
James B. Teegarden | 2812366 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Lion Street Financial, LLC | 165828 |
Street Address 1 | Street Address 2 |
4770 Baseline Road | Suite 380 |
City | State/Province/Country | ZIP/Postal Code |
Boulder | COLORADO | 80303 |
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 | $180,000,000 | USD | |
Total Amount Sold | $115,123,698 | USD |
Total Remaining to be Sold | $64,876,302 | USD | |
Clarification of Response (if Necessary):
Regarding Item 11, the Issuer may accept smaller investments in the Issuer's sole discretion.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 | $11,700,000 | USD | |
Finders' Fees | $0 | USD | |
Clarification of Response (if Necessary):
Sales Commissions include estimates of the maximum amount of Placement Agent Fees that may be paid to one or more Related Persons.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):
Item 16 is an estimate of offering and organizational expenses that 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).
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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 |
Griffin Capital Qualified Opportunity Zone Fund II, L.P. | /s/ Joseph E. Miller | Joseph E. Miller | Chief Financial Officer & Treasurer of the GP of the Issuer | 2021-04-29 |
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.