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 |
0001889361 | | | Corporation | | Limited Partnership | | Limited Liability Company | | General Partnership | | Business Trust | X | Other (Specify) | Delaware Statutory Trust |
Name of Issuer |
CX Highland, DST |
Jurisdiction of Incorporation/Organization |
DELAWARE |
Year of Incorporation/Organization |
| Over Five Years Ago | X | Within Last Five Years (Specify Year) | 2021 | | Yet to Be Formed | |
2. Principal Place of Business and Contact Information
Name of Issuer |
CX Highland, DST |
Street Address 1 | Street Address 2 |
4890 WEST KENNEDY BOULEVARD | SUITE 200 |
City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
TAMPA | FLORIDA | 33609 | (813) 281-1023 |
3. Related Persons
Last Name | First Name | Middle Name |
Carter | John | E. |
Street Address 1 | Street Address 2 |
4890 West Kennedy Boulevard | Suite 200 |
City | State/Province/Country | ZIP/PostalCode |
Tampa | FLORIDA | 33609 |
Relationship: | X | Executive Officer | | Director | | Promoter |
Clarification of Response (if Necessary):
President of the Manager of the Issuer
Last Name | First Name | Middle Name |
Carter Exchange Fund Management Company, LLC | N/A |
Street Address 1 | Street Address 2 |
4890 West Kennedy Boulevard | Suite 200 |
City | State/Province/Country | ZIP/PostalCode |
Tampa | FLORIDA | 33609 |
Relationship: | X | Executive Officer | | Director | | Promoter |
Clarification of Response (if Necessary):
Sponsor of the Issuer
Last Name | First Name | Middle Name |
CX Highland Manager, LLC | N/A |
Street Address 1 | Street Address 2 |
4890 West Kennedy Boulevard | Suite 200 |
City | State/Province/Country | ZIP/PostalCode |
Tampa | FLORIDA | 33609 |
Relationship: | X | Executive Officer | | Director | | Promoter |
Clarification of Response (if Necessary):
Manager and Signatory Trustee of the Issuer
Last Name | First Name | Middle Name |
CX Highland Depositor, LLC | N/A |
Street Address 1 | Street Address 2 |
4890 West Kennedy Boulevard | Suite 200 |
City | State/Province/Country | ZIP/PostalCode |
Tampa | FLORIDA | 33609 |
Relationship: | X | Executive Officer | | Director | | Promoter |
Clarification of Response (if Necessary):
Depositor 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 | 2021-10-28 | | | 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 | $25,000 | USD |
12. Sales Compensation
Recipient | Recipient CRD Number | | None |
|
Robert Boggess | 5007422 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Great Point Capital LLC | 114203 |
Street Address 1 | Street Address 2 |
200 West Jackson Boulevard | 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 |
|
Jordan Colman | 5860708 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Purshe Kaplan Sterling Investments | 35747 |
Street Address 1 | Street Address 2 |
7676 Hazard Center Drive | Suite 1550 |
City | State/Province/Country | ZIP/Postal Code |
San Diego | CALIFORNIA | 92108 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Kurt Volker | 5495090 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Purshe Kaplan Sterling Investments | 35747 |
Street Address 1 | Street Address 2 |
7676 Hazard Center Drive | Suite 1550 |
City | State/Province/Country | ZIP/Postal Code |
San Diego | CALIFORNIA | 92108 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Nathan Kuhn | 4624143 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
DAI Securities, LLC | 36673 |
Street Address 1 | Street Address 2 |
120 W. Eastman Street | #300 |
City | State/Province/Country | ZIP/Postal Code |
Arlington Heights | ILLINOIS | 60004 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Steve Haskell | 6864948 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Growth Capital Services, Inc. | 124658 |
Street Address 1 | Street Address 2 |
888 Prospect Street | Suite 200 |
City | State/Province/Country | ZIP/Postal Code |
La Jolla | CALIFORNIA | 92037 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Roger Bowlin | 1905652 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Aurora Securities | 46147 |
Street Address 1 | Street Address 2 |
2731 77th Street | Suite 100 |
City | State/Province/Country | ZIP/Postal Code |
Mercer Island | WASHINGTON | 98040 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
CALIFORNIA | MONTANA | WASHINGTON | |
Recipient | Recipient CRD Number | | None |
|
Trawnegan Gall | 6266415 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Wealthforge Securities, LLC | 152550 |
Street Address 1 | Street Address 2 |
130 N. Preston Road | Suite 238 |
City | State/Province/Country | ZIP/Postal Code |
Prosper | TEXAS | 75078 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
CALIFORNIA | FLORIDA | NEW YORK | |
Recipient | Recipient CRD Number | | None |
|
Scott Sheehan | 2328614 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
DFPG Investments, LLC | 155576 |
Street Address 1 | Street Address 2 |
240 Hudson Street |
City | State/Province/Country | ZIP/Postal Code |
Cornwall-On-Hudson | NEW YORK | 12520 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
GEORGIA | NEW YORK | PENNSYLVANIA | TENNESSEE | VERMONT | |
Recipient | Recipient CRD Number | | None |
|
Cory Thomas | 4234748 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
McDermott Investment Services, LLC | 154926 |
Street Address 1 | Street Address 2 |
101 Main Street | Suite 260 |
City | State/Province/Country | ZIP/Postal Code |
Huntington Beach | CALIFORNIA | 92648 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Christina Nielson | 4866971 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
DAI Securities, LLC | 36673 |
Street Address 1 | Street Address 2 |
650 Town Center Drive | Suite 1400 |
City | State/Province/Country | ZIP/Postal Code |
Costa Mesa | CALIFORNIA | 92626 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Don Meredith | 1867703 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Lightpath Capital, Inc. | 34617 |
Street Address 1 | Street Address 2 |
1560 E. Southlake Boulevard | Suite 100 |
City | State/Province/Country | ZIP/Postal Code |
Southlake | TEXAS | 76092 |
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 |
400 W. 15th Street | Suite 700 |
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 |
|
Ed 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 |
|
Sonya Gotz | 4007918 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
TCFG Wealth Management, LLC | 164153 |
Street Address 1 | Street Address 2 |
28202 Cabot Road | Suite 300 |
City | State/Province/Country | ZIP/Postal Code |
Laguna Niguel | CALIFORNIA | 92677 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Alex Madden | 7089201 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Growth Capital Services, Inc. | 124658 |
Street Address 1 | Street Address 2 |
21515 Hawthorne Boulevard | Suite 360 |
City | State/Province/Country | ZIP/Postal Code |
Torrance | CALIFORNIA | 90503 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Gordon Hamilton | 5002789 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Colorado Financial Service Corporation | 104343 |
Street Address 1 | Street Address 2 |
6025 Erin Park Drive | Suite A-3 |
City | State/Province/Country | ZIP/Postal Code |
Colorado Springs | COLORADO | 80918 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
A. Trevor Flor | 7238685 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
DAI Securities, LLC | 36673 |
Street Address 1 | Street Address 2 |
2200 Century Parkway NE | Suite 435 |
City | State/Province/Country | ZIP/Postal Code |
Atlanta | GEORGIA | 30345 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Tom Enstice | 502060 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Coastal Equities, Inc. | 23769 |
Street Address 1 | Street Address 2 |
Central Park East 222 New Road | Suite 505 |
City | State/Province/Country | ZIP/Postal Code |
Linwood | NEW JERSEY | 08221 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Jason Salmon | 6081963 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Growth Capital Services, Inc. | 124658 |
Street Address 1 | Street Address 2 |
104 East 40th Street | 5th Floor |
City | State/Province/Country | ZIP/Postal Code |
New York | NEW YORK | 10018 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Paul Lee | 5541067 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Kingswood Capital Partners, LLC | 288898 |
Street Address 1 | Street Address 2 |
11440 W. Bernardo Court | Suite 300 |
City | State/Province/Country | ZIP/Postal Code |
San Diego | CALIFORNIA | 92127 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Joyce Thomas | 2713664 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Independent Financial Group, LLC | 7717 |
Street Address 1 | Street Address 2 |
660 N. Diamond Bar Boulevard | #268 |
City | State/Province/Country | ZIP/Postal Code |
Diamond Bar | CALIFORNIA | 91765 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Robert Horning | 2311640 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
McDermott Investment Services, LLC | 154926 |
Street Address 1 | Street Address 2 |
6633 S. Halm Avenue |
City | State/Province/Country | ZIP/Postal Code |
Los Angeles | CALIFORNIA | 90056 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Ben Carmona | 5120428 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Emerson Equity LLC | 130032 |
Street Address 1 | Street Address 2 |
9940 Research Drive | Suite 200 |
City | State/Province/Country | ZIP/Postal Code |
Irvine | CALIFORNIA | 92618 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Concorde Investment Services, LLC | 151604 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
19500 Victor Parkway | Suite 550 |
City | State/Province/Country | ZIP/Postal Code |
Livonia | MICHIGAN | 48152 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
CALIFORNIA | FLORIDA | GEORGIA | NEW YORK | NORTH CAROLINA | TEXAS | WISCONSIN | |
Recipient | Recipient CRD Number | | None |
|
David Allred | 2496873 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Purshe Kaplan Sterling Investments | 35747 |
Street Address 1 | Street Address 2 |
11550 South 700 East | Suite 100 |
City | State/Province/Country | ZIP/Postal Code |
Draper | UTAH | 84020 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Daniel Williams | 5293652 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Great Point Capital LLC | 114203 |
Street Address 1 | Street Address 2 |
200 West Jackson Boulevard | 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 |
|
Jack Creighton | 1495897 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
DAI Securities, LLC | 36673 |
Street Address 1 | Street Address 2 |
350 Lincoln Street | Suite 2400 |
City | State/Province/Country | ZIP/Postal Code |
Hingham | MASSACHUSETTS | 02043 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Matthew Poole | 5074516 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
DFPG Investments, LLC | 155576 |
Street Address 1 | Street Address 2 |
5531 Cancha De Golf | Suite 201 |
City | State/Province/Country | ZIP/Postal Code |
Rancho Santa Fe | CALIFORNIA | 92091 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Shunsuke Jimmy Fukushi | 4933092 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Independent Financial Group, LLC | 7717 |
Street Address 1 | Street Address 2 |
18411 Crenshaw Boulevard | Suite 280 |
City | State/Province/Country | ZIP/Postal Code |
Torrance | CALIFORNIA | 90504 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Brad Watt | 2565438 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Patrick Capital Markets, LLC | 16518 |
Street Address 1 | Street Address 2 |
115 Wilcox Street | Suite 220 |
City | State/Province/Country | ZIP/Postal Code |
Castle Rock | COLORADO | 80104 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Christopher Zehner | 4228224 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Purshe Kaplan Sterling Investments | 35747 |
Street Address 1 | Street Address 2 |
235 West 6th Street |
City | State/Province/Country | ZIP/Postal Code |
Erie | PENNSYLVANIA | 16507 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Rich Zuvella | 5207826 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Colorado Financial Service Corporation | 104343 |
Street Address 1 | Street Address 2 |
188 Inverness Drive West | Suite 100 |
City | State/Province/Country | ZIP/Postal Code |
Centennial | COLORADO | 80112 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Chay Lapin | 6275140 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Growth Capital Services, Inc. | 124658 |
Street Address 1 | Street Address 2 |
21515 Hawthorne Boulevard | Suite 360 |
City | State/Province/Country | ZIP/Postal Code |
Torrance | CALIFORNIA | 90503 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
John Doane | 4083486 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Advisory Group Equity Services Ltd. | 15427 |
Street Address 1 | Street Address 2 |
33 Hilltop Drive |
City | State/Province/Country | ZIP/Postal Code |
Wenham | MASSACHUSETTS | 01984 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Louis Lodato | 1315583 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Great Point Capital LLC | 114203 |
Street Address 1 | Street Address 2 |
200 West Jackson Boulevard | 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 |
|
Brett Clarke | 4777354 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Independent Financial Group, LLC | 7717 |
Street Address 1 | Street Address 2 |
3720 Oceanic Way | Suite 208 |
City | State/Province/Country | ZIP/Postal Code |
Oceanside | CALIFORNIA | 92056 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
David Koehler | 4832628 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Independent Financial Group, LLC | 7717 |
Street Address 1 | Street Address 2 |
1541 The Alameda |
City | State/Province/Country | ZIP/Postal Code |
San Jose | CALIFORNIA | 95126 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Leslie Pappas | 1735372 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Lightpath Capital, Inc. | 34617 |
Street Address 1 | Street Address 2 |
8488 35th Avenue N |
City | State/Province/Country | ZIP/Postal Code |
St. Petersburg | FLORIDA | 33710 |
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 | $36,155,575 | USD | |
Total Amount Sold | $34,043,983 | USD |
Total Remaining to be Sold | $2,111,592 | 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 | $3,344,392 | USD | |
Finders' Fees | $0 | USD | |
Clarification of Response (if Necessary):
Sales Commissions include estimates of the maximum amount of Selling Commissions, Dealer Fees and Expense Reimbursements that may be paid.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 acquisition fees, reimbursements for certain acquisition and financing costs and 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 |
CX Highland, DST | /s/ Robert Dallas Whitaker, Jr | Robert Dallas Whitaker, Jr. | Vice President of the Manager of the Issuer | 2022-01-19 |
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.