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. |
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM D
Notice of Exempt Offering of Securities
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OMB APPROVAL |
OMB Number: |
3235-0076 |
Estimated average burden |
hours per response: |
4.00 |
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1. Issuer's Identity
CIK (Filer ID Number) |
Previous Names |
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Entity Type |
0001957612 |
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Corporation |
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Limited Partnership |
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Limited Liability Company |
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General Partnership |
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Business Trust |
X |
Other (Specify) |
Delaware Statutory Trust |
Name of Issuer |
GSA CIS CAMP SPRINGS DST |
Jurisdiction of Incorporation/Organization |
DELAWARE |
Year of Incorporation/Organization |
|
Over Five Years Ago |
X |
Within Last Five Years (Specify Year) |
2022 |
|
Yet to Be Formed |
|
2. Principal Place of Business and Contact Information
Name of Issuer |
GSA CIS CAMP SPRINGS DST |
Street Address 1 |
Street Address 2 |
C/O NET LEASE CAPITAL ADVISORS LLC |
10 TARA BOULEVARD, SUITE 501 |
City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
NASHUA |
NEW HAMPSHIRE |
03062 |
801-419-9610 |
3. Related Persons
Last Name |
First Name |
Middle Name |
Blough |
Douglas |
F. |
Street Address 1 |
Street Address 2 |
c/o Net Lease Capital Advisors LLC |
10 Tara Boulevard, Suite 501 |
City |
State/Province/Country |
ZIP/PostalCode |
Nashua |
NEW HAMPSHIRE |
03062 |
Relationship: |
X |
Executive Officer |
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Director |
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Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
MacDonald |
Bruce |
S. |
Street Address 1 |
Street Address 2 |
c/o Net Lease Capital Advisors LLC |
10 Tara Boulevard, Suite 501 |
City |
State/Province/Country |
ZIP/PostalCode |
Nashua |
NEW HAMPSHIRE |
03062 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
4. Industry Group
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Agriculture |
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Banking & Financial Services |
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Commercial Banking |
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Insurance |
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Investing |
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Investment Banking |
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Pooled Investment Fund |
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Is the issuer registered as an investment company under the Investment Company Act of 1940? |
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Other Banking & Financial Services |
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Business Services |
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Energy |
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Health Care |
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Manufacturing |
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Real Estate |
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Retailing |
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Restaurants |
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Technology |
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Travel |
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Tourism & Travel Services |
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Other |
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5. Issuer Size
Revenue Range |
OR |
Aggregate Net Asset Value Range |
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No Revenues |
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No Aggregate Net Asset Value |
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$1 - $1,000,000 |
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$1 - $5,000,000 |
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$1,000,001 - $5,000,000 |
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$5,000,001 - $25,000,000 |
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$5,000,001 - $25,000,000 |
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$25,000,001 - $50,000,000 |
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$25,000,001 - $100,000,000 |
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$50,000,001 - $100,000,000 |
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Over $100,000,000 |
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Over $100,000,000 |
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Decline to Disclose |
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Decline to Disclose |
X |
Not Applicable |
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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) |
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Rule 504 (b)(1)(ii) |
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Rule 504 (b)(1)(iii) |
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Rule 506(b) |
| X |
Rule 506(c) |
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Securities Act Section 4(a)(5) |
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Investment Company Act Section 3(c) |
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Section 3(c)(1) |
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Section 3(c)(9) |
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Section 3(c)(2) |
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Section 3(c)(10) |
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Section 3(c)(3) |
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Section 3(c)(11) |
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Section 3(c)(4) |
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Section 3(c)(12) |
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Section 3(c)(5) |
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Section 3(c)(13) |
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Section 3(c)(6) |
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Section 3(c)(14) |
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7. Type of Filing
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New Notice |
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Date of First Sale |
2022-12-28 |
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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)
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Equity |
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Pooled Investment Fund Interests |
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Debt |
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Tenant-in-Common Securities |
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Option, Warrant or Other Right to Acquire Another Security |
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Mineral Property Securities |
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Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security |
X |
Other (describe) |
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Beneficial interests in a Delaware statutory trust |
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 |
$100,000
|
USD |
12. Sales Compensation
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 |
X |
All States |
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Recipient |
Recipient CRD Number |
|
None |
|
Colorado Financial Service Corporation |
104343 |
(Associated) Broker or Dealer |
X |
None |
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(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
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 |
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ALABAMA |
ALASKA |
ARIZONA |
ARKANSAS |
CALIFORNIA |
COLORADO |
CONNECTICUT |
DELAWARE |
DISTRICT OF COLUMBIA |
FLORIDA |
GEORGIA |
HAWAII |
IDAHO |
ILLINOIS |
INDIANA |
IOWA |
KANSAS |
KENTUCKY |
LOUISIANA |
MAINE |
MARYLAND |
MASSACHUSETTS |
MICHIGAN |
MINNESOTA |
MISSISSIPPI |
MISSOURI |
MONTANA |
NEBRASKA |
NEVADA |
NEW HAMPSHIRE |
NEW JERSEY |
NEW MEXICO |
NEW YORK |
NORTH CAROLINA |
NORTH DAKOTA |
OHIO |
OKLAHOMA |
OREGON |
PENNSYLVANIA |
RHODE ISLAND |
SOUTH CAROLINA |
SOUTH DAKOTA |
TENNESSEE |
TEXAS |
UTAH |
VERMONT |
VIRGINIA |
WASHINGTON |
WEST VIRGINIA |
WISCONSIN |
WYOMING |
|
Recipient |
Recipient CRD Number |
|
None |
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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 ROAD |
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 |
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ALABAMA |
ARIZONA |
ARKANSAS |
CALIFORNIA |
COLORADO |
CONNECTICUT |
DELAWARE |
DISTRICT OF COLUMBIA |
FLORIDA |
GEORGIA |
HAWAII |
IDAHO |
ILLINOIS |
INDIANA |
IOWA |
KANSAS |
KENTUCKY |
LOUISIANA |
MAINE |
MARYLAND |
MASSACHUSETTS |
MICHIGAN |
MINNESOTA |
MISSISSIPPI |
MISSOURI |
MONTANA |
NEBRASKA |
NEVADA |
NEW HAMPSHIRE |
NEW JERSEY |
NEW MEXICO |
NEW YORK |
NORTH CAROLINA |
OHIO |
OKLAHOMA |
OREGON |
PENNSYLVANIA |
RHODE ISLAND |
SOUTH CAROLINA |
SOUTH DAKOTA |
TENNESSEE |
TEXAS |
UTAH |
VERMONT |
VIRGINIA |
WASHINGTON |
WISCONSIN |
|
Recipient |
Recipient CRD Number |
|
None |
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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 |
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|
ALABAMA |
ALASKA |
ARIZONA |
ARKANSAS |
CALIFORNIA |
COLORADO |
CONNECTICUT |
DELAWARE |
DISTRICT OF COLUMBIA |
FLORIDA |
GEORGIA |
HAWAII |
IDAHO |
ILLINOIS |
INDIANA |
IOWA |
KANSAS |
KENTUCKY |
LOUISIANA |
MAINE |
MARYLAND |
MASSACHUSETTS |
MICHIGAN |
MINNESOTA |
MISSISSIPPI |
MISSOURI |
MONTANA |
NEBRASKA |
NEVADA |
NEW HAMPSHIRE |
NEW JERSEY |
NEW MEXICO |
NEW YORK |
NORTH CAROLINA |
NORTH DAKOTA |
OHIO |
OKLAHOMA |
OREGON |
PENNSYLVANIA |
RHODE ISLAND |
SOUTH CAROLINA |
SOUTH DAKOTA |
TENNESSEE |
TEXAS |
UTAH |
VERMONT |
VIRGINIA |
WASHINGTON |
WEST VIRGINIA |
WISCONSIN |
WYOMING |
|
Recipient |
Recipient CRD Number |
|
None |
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TCFG Wealth Management, LLC |
164153 |
(Associated) Broker or Dealer |
X |
None |
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(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
28202 CABOT ROAFD |
SUITE 300 |
City |
State/Province/Country |
ZIP/Postal Code |
LAGUNA MIQUEL |
CALIFORNIA |
92677 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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ALABAMA |
ALASKA |
ARIZONA |
ARKANSAS |
CALIFORNIA |
COLORADO |
CONNECTICUT |
DELAWARE |
FLORIDA |
GEORGIA |
HAWAII |
IDAHO |
ILLINOIS |
INDIANA |
IOWA |
KANSAS |
KENTUCKY |
LOUISIANA |
MARYLAND |
MASSACHUSETTS |
MICHIGAN |
MINNESOTA |
MISSISSIPPI |
MISSOURI |
MONTANA |
NEBRASKA |
NEVADA |
NEW HAMPSHIRE |
NEW JERSEY |
NEW MEXICO |
NEW YORK |
NORTH CAROLINA |
NORTH DAKOTA |
OHIO |
OKLAHOMA |
OREGON |
PENNSYLVANIA |
RHODE ISLAND |
SOUTH CAROLINA |
SOUTH DAKOTA |
TENNESSEE |
TEXAS |
UTAH |
VIRGINIA |
WASHINGTON |
WEST VIRGINIA |
WISCONSIN |
WYOMING |
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Recipient |
Recipient CRD Number |
|
None |
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James Lee Torti |
7011095 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Colorado Financial Service Corporeation |
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 |
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Recipient |
Recipient CRD Number |
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None |
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Jeffrey Smitherman |
7646807 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
|
None |
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Saxony Securities, Inc. |
115547 |
Street Address 1 |
Street Address 2 |
11152 S. TOWNE SQUARE |
City |
State/Province/Country |
ZIP/Postal Code |
ST. LOUIS |
MISSOURI |
63123 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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Recipient |
Recipient CRD Number |
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None |
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Douglas M. Zator |
6321246 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Emerson Equity, LLC |
130032 |
Street Address 1 |
Street Address 2 |
155 BOVET ROAD |
SUITE 725 |
City |
State/Province/Country |
ZIP/Postal Code |
SAN MATEO |
CALIFORNIA |
94402 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
William LaPiana |
4580411 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Newbridge Securities Corporation |
104065 |
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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
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Bradford Lee Watt |
2565438 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Saxony Securities, Inc. |
115547 |
Street Address 1 |
Street Address 2 |
11152 S. TOWNE SQUARE |
City |
State/Province/Country |
ZIP/Postal Code |
ST. LOUIS |
MISSOURI |
63123 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
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Steven Alan Arnold |
710263 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Emerson Equity LLC |
130032 |
Street Address 1 |
Street Address 2 |
9699 BAY HARBOR CIRCLE |
SUITE 203 |
City |
State/Province/Country |
ZIP/Postal Code |
FORT MYERS |
FLORIDA |
33919 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Stacey Jim Morimoto |
4420782 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Stax Capital |
300607 |
Street Address 1 |
Street Address 2 |
7960 ENTRADA LAZANJA |
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 |
|
Stanford Graham Simmons |
1018907 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Saxony Securities, Inc. |
115547 |
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 |
|
Jason Finley |
6602034 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Stax Capital |
300607 |
Street Address 1 |
Street Address 2 |
7960 ENTRADA LAZANJA |
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 |
|
Lucas K. Lofman |
5718121 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Saxony Securities, Inc. |
115547 |
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 |
|
Joseph F. Eschleman |
3237843 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Purshe Kaplan Sterling Investments |
35747 |
Street Address 1 |
Street Address 2 |
500 CAPITOL MALL |
SUITE 1060 |
City |
State/Province/Country |
ZIP/Postal Code |
SACRAMENTO |
CALIFORNIA |
95814 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Lawrence B. Miller |
335166 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Emerson Equity LLC |
130032 |
Street Address 1 |
Street Address 2 |
155 BOVET ROAD |
SUITE 275 |
City |
State/Province/Country |
ZIP/Postal Code |
SAN MATEO |
CALIFORNIA |
94402 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Vincent J. Klein |
6405729 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Saxony Securities, Inc. |
115547 |
Street Address 1 |
Street Address 2 |
425 S. WOODSMILL ROAD |
SUITE 290 |
City |
State/Province/Country |
ZIP/Postal Code |
CHESTERFIELD |
MISSOURI |
63017 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
John D. Williamson |
2357023 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Alexander Capital, LP. |
40077 |
Street Address 1 |
Street Address 2 |
17 STATE STREET |
5TH FLOOR |
City |
State/Province/Country |
ZIP/Postal Code |
NEW YORK |
NEW YORK |
10004 |
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 |
|
Troy Thomas |
4691720 |
(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 |
92548 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Ronald Stillman Cole |
1434325 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Emerson Equity LLC |
130032 |
Street Address 1 |
Street Address 2 |
155 BOVET ROAD |
SUITE 725 |
City |
State/Province/Country |
ZIP/Postal Code |
SAN MATEO |
CALIFORNIA |
94402 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Scott David Offerman |
4619093 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
TCFG Wealth Management, LLC |
164153 |
Street Address 1 |
Street Address 2 |
25300 W 13 MILE ROAD |
City |
State/Province/Country |
ZIP/Postal Code |
FRANKLIN |
MICHIGAN |
48025 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Sam Bhushan |
4884714 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Cabin Securities, Inc. |
137608 |
Street Address 1 |
Street Address 2 |
30012 IVY GLENN DRIVE |
SUITE 180A |
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 |
|
Debra Jo Schleining |
2768752 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
McDermott Investment Services, LLC |
154926 |
Street Address 1 |
Street Address 2 |
13530 PARKER STREET |
City |
State/Province/Country |
ZIP/Postal Code |
OMAHA |
NEBRASKA |
68154 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
David Christian Waal |
1226437 |
(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 |
|
Karen Templeton |
6461480 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Innovation Partners LLC |
146344 |
Street Address 1 |
Street Address 2 |
5950 FAIRVIEW ROAD |
SUITE 140 |
City |
State/Province/Country |
ZIP/Postal Code |
CHARLOTTE |
NORTH CAROLINA |
28210 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Mark Richard Baran |
870541 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
McDermott Investment Services, LLC |
154926 |
Street Address 1 |
Street Address 2 |
44 EAST BROAD STREET |
2ND FLOOR |
City |
State/Province/Country |
ZIP/Postal Code |
BETHLEHEM |
PENNSYLVANIA |
18018 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Mathias Eduardo Ichaso |
6598007 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Lighthouse Capital Group, LLC |
1691351 |
Street Address 1 |
Street Address 2 |
1055 E. COLORADO BOULEVARD |
SUITE 310 |
City |
State/Province/Country |
ZIP/Postal Code |
PASADENA |
CALIFORNIA |
91106 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Roger William Bowlin |
1905652 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Aurora Securities |
46147 |
Street Address 1 |
Street Address 2 |
650 NE HOLLADAY STREET |
SUITE 1600 |
City |
State/Province/Country |
ZIP/Postal Code |
PORTLAND |
OREGON |
97232 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Ryan Walter Charles Thomas |
5090417 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Lighthouse Capital Group, LLC |
169135 |
Street Address 1 |
Street Address 2 |
1055 E. COLORADO BOULEVARD |
SUITE 310 |
City |
State/Province/Country |
ZIP/Postal Code |
PASADENA |
CALIFORNIA |
91106 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
John Paul Ledesma |
2379751 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Emerson Equity |
130032 |
Street Address 1 |
Street Address 2 |
9870 RESEARCH DRIVE |
#104 |
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 |
|
Craig E. Fernsler |
5558907 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
McDermott Investment Services, LLC |
154926 |
Street Address 1 |
Street Address 2 |
44 EAST BROAD STREET |
2ND FLOOR |
City |
State/Province/Country |
ZIP/Postal Code |
BETHLEHEM |
PENNSYLVANIA |
18018 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Quinn Akira Morimoto |
71440545 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Stax Capital |
300607 |
Street Address 1 |
Street Address 2 |
7960 ENTRADA LAZANJA |
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 |
|
Susan Jane Gitt |
5580509 |
(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 |
|
Andres Pablo Ichaso |
6265351 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Lighthouse Capital Group, LLC |
169135 |
Street Address 1 |
Street Address 2 |
1055 E. COLORADO BOULEVARD |
SUITE 310 |
City |
State/Province/Country |
ZIP/Postal Code |
PASADENA |
CALIFORNIA |
91106 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
James Min Woo |
4640401 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Colorado Financial Services 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 |
|
Kirsten Rebecca Eriksson |
7475882 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Cabin Securities, Inc. |
137608 |
Street Address 1 |
Street Address 2 |
3141 MICHELSON DRIVE |
SUITE 504 |
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 |
|
Stephen Haskell |
6864948 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
FNEX Capital, LLC |
166316 |
Street Address 1 |
Street Address 2 |
ONE INDIANA SQUARE |
SUITE 2252 |
City |
State/Province/Country |
ZIP/Postal Code |
INDIANAPOLIS |
INDIANA |
46204 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Jonathan Andrew Taylor |
7086106 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Lighthouse Capital Group, LLC |
169135 |
Street Address 1 |
Street Address 2 |
1055 E. COLORADO BLVD. |
SUITE 310 |
City |
State/Province/Country |
ZIP/Postal Code |
PASADENA |
CALIFORNIA |
91106 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Joshua David Chapin |
5825638 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Emerson Equity LLC |
130032 |
Street Address 1 |
Street Address 2 |
9870 RESEARCH DRIVE |
#104 |
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 |
|
Gabriel D. Candea |
5531840 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Emerson Equity LLC |
130032 |
Street Address 1 |
Street Address 2 |
4241 JUTLAND DRIVE |
SUITE 205 |
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 |
|
Ran Fuchs |
5593133 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
IDB Capital Corp. |
106032 |
Street Address 1 |
Street Address 2 |
1114 AVENUE OF THE AMERICAS |
City |
State/Province/Country |
ZIP/Postal Code |
NEW YORK |
NEW YORK |
10036 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Maureen Linda Verduyn |
1239558 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Great Point Capital LLC |
114203 |
Street Address 1 |
Street Address 2 |
17 CORPORATE DRIVE |
2ND FLOOR |
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 |
|
Nicholas J. Gardner |
5777904 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Great Point Capital LL |
114203 |
Street Address 1 |
Street Address 2 |
17 CORPORATE DRIVE |
2ND FLOOR |
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 |
|
Orrin Foster Barrow |
6784158 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
FNEX Capital, LLC |
166316 |
Street Address 1 |
Street Address 2 |
ONE INDIANA SQUARE |
SUITE 2252 |
City |
State/Province/Country |
ZIP/Postal Code |
INDIANAPOLIS |
INDIANA |
46204 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Matthew Douglas McFarland |
6675310 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
FNEX Capital, LLC |
1661316 |
Street Address 1 |
Street Address 2 |
2958 COLUMBIA STREET |
City |
State/Province/Country |
ZIP/Postal Code |
TORRENCE |
CALIFORNIA |
90503 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Justin Wayne Fordice |
7328445 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Lighthouse Capital Group, LLC |
169135 |
Street Address 1 |
Street Address 2 |
1055 COLORADO BOULEVARD |
SUITE 310 |
City |
State/Province/Country |
ZIP/Postal Code |
PASADENA |
CALIFORNIA |
91106 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
David Andrew Kangas |
6591398 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Wealthforge Securities, LLC |
152550 |
Street Address 1 |
Street Address 2 |
738 E. CHAPMAN AVENUE |
City |
State/Province/Country |
ZIP/Postal Code |
ORANGE |
CALIFORNIA |
92866 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
KANSAS |
NEW JERSEY |
NEW YORK |
UTAH |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Randolph Alan Barmache |
4607939 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
American Trust Investment Services, Inc. |
3001 |
Street Address 1 |
Street Address 2 |
4035 EAST THOUSAND OAKS BOULEVARD |
SUITE 232 |
City |
State/Province/Country |
ZIP/Postal Code |
THOUSAND OAKS |
CALIFORNIA |
91362 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Michael Hunter |
6765821 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Wealthforge Securities, LLC |
152550 |
Street Address 1 |
Street Address 2 |
738 E. CHAPMAN AVENUE |
City |
State/Province/Country |
ZIP/Postal Code |
ORANGE |
CALIFORNIA |
92866 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
John Danh Nguyen |
4919629 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Money Concepts Capital Corp |
12963 |
Street Address 1 |
Street Address 2 |
550 W. ORANGETHROPE AVENUE |
SUITE A |
City |
State/Province/Country |
ZIP/Postal Code |
PLACENTIA |
CALIFORNIA |
92870 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Daniel Edward Nemeth |
6150953 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
McDermott Investment Securities, LLC |
154926 |
Street Address 1 |
Street Address 2 |
44 EAST BROAD STREET |
2ND FLOOR |
City |
State/Province/Country |
ZIP/Postal Code |
BETHLEHEM |
PENNSYLVANIA |
18018 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Brian Forrest Stokes |
1060238 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Emerson Equity LLC |
130032 |
Street Address 1 |
Street Address 2 |
155 BOVET ROAD |
SUITE 725 |
City |
State/Province/Country |
ZIP/Postal Code |
SAN MATEO |
CALIFORNIA |
90503 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Alex Madden Sanford |
7089201 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
FNEX Capital, LLC |
166316 |
Street Address 1 |
Street Address 2 |
2958 COLUMBIA STREET |
City |
State/Province/Country |
ZIP/Postal Code |
TORRENCE |
CALIFORNIA |
90503 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
NEW HAMPSHIRE |
NEW JERSEY |
VIRGINIA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Robert Scott Smith |
1412333 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Emerson Equity LLC |
130032 |
Street Address 1 |
Street Address 2 |
22210 NE SUNNYCREST ROAD |
City |
State/Province/Country |
ZIP/Postal Code |
NEWBERG |
OREGON |
97132 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Kyle Thomas Kadish |
4864706 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
IBN Financial Services, Inc. |
42360 |
Street Address 1 |
Street Address 2 |
55 ENTERPRISE DRIVE |
City |
State/Province/Country |
ZIP/Postal Code |
WINDHAM |
NEW HAMPSHIRE |
03087 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Ehud Gerstein |
7066119 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Arkadios Capital |
282710 |
Street Address 1 |
Street Address 2 |
2827 PEACHTREE ROAD NE |
SUITE 510 |
City |
State/Province/Country |
ZIP/Postal Code |
ATLANTA |
GEORGIA |
30305 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
John Butler Marvin |
1951436 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Investment Security Corporation |
47536 |
Street Address 1 |
Street Address 2 |
7240 S. HIGHLAND DRIVE |
SUITE 103 |
City |
State/Province/Country |
ZIP/Postal Code |
SALT LAKE CITY |
UTAH |
84121 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Andrew Arne Lee |
2588504 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Money Concepts Capital Corp. |
12963 |
Street Address 1 |
Street Address 2 |
204 S. 4TH STREET |
City |
State/Province/Country |
ZIP/Postal Code |
DOVER |
IDAHO |
83825 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Kevin Jerold Clifford |
1281831 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Money Concepts Capital Corp. |
12963 |
Street Address 1 |
Street Address 2 |
11440 JOG ROAD |
City |
State/Province/Country |
ZIP/Postal Code |
PALM BEACH GARDENS |
FLORIDA |
33418 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
David George Bulger |
3180806 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Arkadios Capital |
282710 |
Street Address 1 |
Street Address 2 |
2827 PEACHTREE ROAD NE |
SUITE 510 |
City |
State/Province/Country |
ZIP/Postal Code |
ATLANTA |
GEORGIA |
30305 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Rena Bonnie Morrison |
4867589 |
(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 |
|
Robert Langhorst |
1832998 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Aurora Securities |
46147 |
Street Address 1 |
Street Address 2 |
8740 BIG BEND |
City |
State/Province/Country |
ZIP/Postal Code |
ST. LOUIS |
MISSOURI |
63119 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Ashley Quinn Romiti |
7636987 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Arkadios Capital |
282710 |
Street Address 1 |
Street Address 2 |
29122 RANCHO VIEJO ROAD |
SUITE 111 |
City |
State/Province/Country |
ZIP/Postal Code |
SAN CAPISTRANO |
CALIFORNIA |
92675 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Alexander Vincent Lagerborg |
2373366 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Saxony Securities, Inc. |
115547 |
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 |
|
John Paul Harvey |
4227692 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Wealthforge Securities, LLC |
152550 |
Street Address 1 |
Street Address 2 |
7051 HEATHCOTE VILLAGE WAY |
SUITE 200 |
City |
State/Province/Country |
ZIP/Postal Code |
GAINSVILLE |
VIRGINIA |
20155 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Nicholas Robert Snyder |
7138151 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
FNEX Capital, LLC |
166316 |
Street Address 1 |
Street Address 2 |
2958 COLUMBIA STREET |
City |
State/Province/Country |
ZIP/Postal Code |
TORRENCE |
CALIFORNIA |
90503 |
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 |
$295,000,000
|
USD |
|
Total Amount Sold |
$138,340,860
|
USD |
Total Remaining to be Sold |
$156,659,140
|
USD |
|
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: |
|
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 |
$5,340,438
|
USD |
|
Finders' Fees |
$0
|
USD |
|
Clarification of Response (if Necessary):
No sales commissions are paid to Clearview Trading Advisors, Inc., however they will receive a placement fee of 0.10% of the aggregate purchase price of the Interests, and a $5,000 monthly advisory fee.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):
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 |
GSA CIS CAMP SPRINGS DST |
/s/ Douglas F. Blough |
Douglas F. Blough |
Manager |
2024-02-08 |
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.