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 |
0001606843 |
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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 |
Modesto Retail Center DST |
Jurisdiction of Incorporation/Organization |
DELAWARE |
Year of Incorporation/Organization |
|
Over Five Years Ago |
X |
Within Last Five Years (Specify Year) |
2014 |
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Yet to Be Formed |
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2. Principal Place of Business and Contact Information
Name of Issuer |
Modesto Retail Center DST |
Street Address 1 |
Street Address 2 |
2901 BUTTERFIELD ROAD |
City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
OAK BROOK |
ILLINOIS |
60523 |
630-218-8000 |
3. Related Persons
Last Name |
First Name |
Middle Name |
Inland Private |
Capital Corporation |
Street Address 1 |
Street Address 2 |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/PostalCode |
Oak Brook |
ILLINOIS |
60523 |
Relationship: |
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Executive Officer |
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Director |
X |
Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Modesto Retail |
Center, L.L.C. |
Street Address 1 |
Street Address 2 |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/PostalCode |
Oak Brook |
ILLINOIS |
60523 |
Relationship: |
|
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Modesto Retail |
Center Exchange, L.L.C. |
Street Address 1 |
Street Address 2 |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/PostalCode |
Oak Brook |
ILLINOIS |
60523 |
Relationship: |
|
Executive Officer |
|
Director |
X |
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 |
X |
Decline to Disclose |
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Decline to Disclose |
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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)) |
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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 505 |
| X |
Rule 506(b) |
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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 |
2014-04-30 |
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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 Delaware Statutory Trust reflecting beneficial interests in real estate. |
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 |
$25,000
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USD |
12. Sales Compensation
Recipient |
Recipient CRD Number |
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None |
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Inland Securities Corporation |
15807 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Inland Securities Corporation |
15807 |
Street Address 1 |
Street Address 2 |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/Postal Code |
Oak Brook |
ILLINOIS |
60523 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Christina S. Nielson |
4866971 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Primex |
29394 |
Street Address 1 |
Street Address 2 |
349 Gulf Stream Way |
City |
State/Province/Country |
ZIP/Postal Code |
Costa Mesa |
CALIFORNIA |
92627 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Michael Packman |
2518120 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Financial West Group |
16668 |
Street Address 1 |
Street Address 2 |
2 Roosevelt Avenue, Suite 101 |
City |
State/Province/Country |
ZIP/Postal Code |
Syosset |
NEW YORK |
11791 |
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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Eric R. Heckman |
2220911 |
(Associated) Broker or Dealer |
X |
None |
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(Associated) Broker or Dealer CRD Number |
X |
None |
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None |
None |
Street Address 1 |
Street Address 2 |
111 North Market Street, Suite 825 |
City |
State/Province/Country |
ZIP/Postal Code |
San Jose |
CALIFORNIA |
95113-1125 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Peter D. Fisher |
1259923 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Investacorp, Inc. |
7684 |
Street Address 1 |
Street Address 2 |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/Postal Code |
Oak Brook |
ILLINOIS |
60523 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Robert R. Tweed |
2339324 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Concorde Investment Services, LLC |
151604 |
Street Address 1 |
Street Address 2 |
2060 Huntington Drive, Suite 1 |
City |
State/Province/Country |
ZIP/Postal Code |
San Marino |
CALIFORNIA |
91108 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Keith R. Gunther |
1533552 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Crown Capital Securities, L.P. |
6312 |
Street Address 1 |
Street Address 2 |
10350 Heritage Park Drive, Suite 203 |
City |
State/Province/Country |
ZIP/Postal Code |
Santa Fe Springs |
CALIFORNIA |
90670 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Norman G. Price |
2406981 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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RP Capital LLC |
134768 |
Street Address 1 |
Street Address 2 |
7191 Wagner Way NW, Suite 302 |
City |
State/Province/Country |
ZIP/Postal Code |
Gig Harbor |
WASHINGTON |
98335 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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John W. Goff |
1919761 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Investacorp, Inc. |
7684 |
Street Address 1 |
Street Address 2 |
770 North Cotner Boulevard, Suite 401 |
City |
State/Province/Country |
ZIP/Postal Code |
Lincoln |
NEBRASKA |
68505 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Lanny R. Howarter |
813591 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Crown Capital Securities, L.P. |
6312 |
Street Address 1 |
Street Address 2 |
4747 Viewridge Avenue, Suite 109 |
City |
State/Province/Country |
ZIP/Postal Code |
San Diego |
CALIFORNIA |
92123 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Brian E. Kampbell |
4211321 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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ING Financial Partners, Inc. |
2882 |
Street Address 1 |
Street Address 2 |
4041 Ruston Way, Suite 200 |
City |
State/Province/Country |
ZIP/Postal Code |
Tacoma |
WASHINGTON |
98402 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Rocco A. Cortese |
4681807 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Concorde Investment Services, LLC |
151604 |
Street Address 1 |
Street Address 2 |
300 Montgomery Street, Suite 631 |
City |
State/Province/Country |
ZIP/Postal Code |
San Francisco |
CALIFORNIA |
94101 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Thomas Boaks, II |
719361 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Michigan Securities, Inc. |
101600 |
Street Address 1 |
Street Address 2 |
7333 Triangle Drive |
City |
State/Province/Country |
ZIP/Postal Code |
Sterling Heights |
MICHIGAN |
48314 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Kevin P. Fitzgerald |
1754938 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Investacorp, Inc. |
7684 |
Street Address 1 |
Street Address 2 |
268 East Hamilton Avenue, Suite E |
City |
State/Province/Country |
ZIP/Postal Code |
Campbell |
CALIFORNIA |
95008 |
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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Robert J. Binkele |
2393598 |
(Associated) Broker or Dealer |
|
None |
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(Associated) Broker or Dealer CRD Number |
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None |
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J.P. Turner & Company, L.L.C. |
43177 |
Street Address 1 |
Street Address 2 |
45110 Club Drive, Suite B |
City |
State/Province/Country |
ZIP/Postal Code |
Indian Wells |
CALIFORNIA |
92210 |
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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Carl F. Worden, III |
3130121 |
(Associated) Broker or Dealer |
|
None |
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(Associated) Broker or Dealer CRD Number |
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None |
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J.P. Turner & Company, L.L.C. |
43177 |
Street Address 1 |
Street Address 2 |
3031 Tisch Way, Suite 901 |
City |
State/Province/Country |
ZIP/Postal Code |
San Jose |
CALIFORNIA |
95128 |
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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Daniel P. Raupp |
4079107 |
(Associated) Broker or Dealer |
|
None |
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(Associated) Broker or Dealer CRD Number |
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None |
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J.P. Turner & Company, L.L.C. |
43177 |
Street Address 1 |
Street Address 2 |
417 East Main Street, 3rd Floor |
City |
State/Province/Country |
ZIP/Postal Code |
Port Jefferson |
NEW YORK |
11777 |
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 |
|
None |
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Eric S. Scaff |
5281210 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Concorde Investment Services, LLC |
151604 |
Street Address 1 |
Street Address 2 |
300 Montgomery Street, Suite 631 |
City |
State/Province/Country |
ZIP/Postal Code |
San Francisco |
CALIFORNIA |
94101 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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|
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Recipient |
Recipient CRD Number |
|
None |
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Brian E. Kampbell |
4211321 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Voya Financial Advisors, Inc. |
2882 |
Street Address 1 |
Street Address 2 |
4041 Ruston Way, Suite 200 |
City |
State/Province/Country |
ZIP/Postal Code |
Tacoma |
WASHINGTON |
98402 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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|
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Recipient |
Recipient CRD Number |
|
None |
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Patrick R. Conway |
1337831 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Investacorp, Inc. |
7684 |
Street Address 1 |
Street Address 2 |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/Postal Code |
Oak Brook |
ILLINOIS |
60523 |
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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Jeffrey J. McKay |
818303 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Voya Financial Advisors, Inc. |
2882 |
Street Address 1 |
Street Address 2 |
6000 Southcenter Boulevard, Suite 70 |
City |
State/Province/Country |
ZIP/Postal Code |
Tukwila |
WASHINGTON |
98188 |
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 |
|
None |
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Donald S. Meredith |
1867703 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Concorde Investment Services, LLC |
151604 |
Street Address 1 |
Street Address 2 |
16921-C Via Santa Fe |
City |
State/Province/Country |
ZIP/Postal Code |
Rancho Santa Fe |
CALIFORNIA |
92067 |
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 |
|
None |
|
Timothy J. Sherer |
833618 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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J.P. Turner & Company, L.L.C. |
43177 |
Street Address 1 |
Street Address 2 |
1754 Technology Drive, Suite 236 |
City |
State/Province/Country |
ZIP/Postal Code |
San Jose |
CALIFORNIA |
95110 |
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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Gary G. Benson |
1182211 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
NPB Financial Group, LLC |
137743 |
Street Address 1 |
Street Address 2 |
5435 Balboa Boulevard, Suite 106 |
City |
State/Province/Country |
ZIP/Postal Code |
Encino |
CALIFORNIA |
91316 |
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 |
|
None |
|
Jeffrey A. Kiesnoski |
2688017 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
J.P. Turner & Company, L.L.C. |
43177 |
Street Address 1 |
Street Address 2 |
417 East Main Street, 3rd Floor |
City |
State/Province/Country |
ZIP/Postal Code |
Port Jefferson |
NEW YORK |
11777 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Dwight K. Kay |
5376903 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Concorde Investment Services, LLC |
151604 |
Street Address 1 |
Street Address 2 |
927 Deep Valley Drive, Suite 196 |
City |
State/Province/Country |
ZIP/Postal Code |
Rolling Hills Estates |
CALIFORNIA |
90274 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
John J. Lewis |
1778039 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Questar Capital Corporation |
43100 |
Street Address 1 |
Street Address 2 |
2780 Skypark Drive, Suite 205 |
City |
State/Province/Country |
ZIP/Postal Code |
Torrance |
CALIFORNIA |
90505 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Robert B. Joki |
260759 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Voya Financial Advisors, Inc. |
2882 |
Street Address 1 |
Street Address 2 |
6912-220th Street SW, Suite 303 |
City |
State/Province/Country |
ZIP/Postal Code |
Mountlake Terrace |
WASHINGTON |
98043 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
John M. Donnelly |
4838854 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Transamerica Financial Advisors, Inc. |
16164 |
Street Address 1 |
Street Address 2 |
5844 Deerwood Lane North |
City |
State/Province/Country |
ZIP/Postal Code |
Plymouth |
MINNESOTA |
55442 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Hal P. Masover |
1621251 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Financial West Group |
16668 |
Street Address 1 |
Street Address 2 |
508 North 2nd Street, Suite 203 |
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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Larry R. Law |
1273118 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
JRL Capital Corporation |
10225 |
Street Address 1 |
Street Address 2 |
20371 Irvine Avenue, Suite A-140 |
City |
State/Province/Country |
ZIP/Postal Code |
Newport Beach |
CALIFORNIA |
92660 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Ryan J. Sherer |
5952617 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
SCF Securities, Inc. |
47275 |
Street Address 1 |
Street Address 2 |
1754 Technology Drive, Suite 236 |
City |
State/Province/Country |
ZIP/Postal Code |
San Jose |
CALIFORNIA |
95110 |
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 |
|
Sandlapper Securities, LLC |
137906 |
Street Address 1 |
Street Address 2 |
1 City Boulevard West, Suite 870 |
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 |
|
Joseph A. Graziano |
2442582 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
TFS Securities, Inc. |
20626 |
Street Address 1 |
Street Address 2 |
847 Broadway |
City |
State/Province/Country |
ZIP/Postal Code |
Bayonne |
NEW JERSEY |
07002 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Scott D. Offerman |
4619093 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Concorde Investment Services, LLC |
151604 |
Street Address 1 |
Street Address 2 |
28 West 44th Street, Suite 902 |
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 |
|
Gary E. Conley |
52159 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
American Investors Company |
38 |
Street Address 1 |
Street Address 2 |
1600 Valley River Drive, Suite 385 |
City |
State/Province/Country |
ZIP/Postal Code |
Eugene |
OREGON |
97401 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Thomas D. Sanders |
1280319 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Cambridge Investment Research, Inc. |
1280319 |
Street Address 1 |
Street Address 2 |
1509 Mart Drive, Suite B |
City |
State/Province/Country |
ZIP/Postal Code |
Little Rock |
ARKANSAS |
72202 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Jeffrey F. Bigler |
1850797 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Transamerica Financial Advisors, Inc. |
16164 |
Street Address 1 |
Street Address 2 |
2770 Commerce Drive N.W. |
City |
State/Province/Country |
ZIP/Postal Code |
Rochester |
MINNESOTA |
55901 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Robert S. Smith |
1412333 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Concorde Investment Services, LLC |
151604 |
Street Address 1 |
Street Address 2 |
5000 Meadows Road, Suite 230 |
City |
State/Province/Country |
ZIP/Postal Code |
Lake Oswego |
OREGON |
97035 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Joseph G. Michaletz |
1327534 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Triad Advisors, Inc. |
25803 |
Street Address 1 |
Street Address 2 |
150 St. Andrews Court, Suite 210 |
City |
State/Province/Country |
ZIP/Postal Code |
Mankato |
MINNESOTA |
56001 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Francis R. Bowen |
872513 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Winslow, Evans & Crocker, Inc. |
29686 |
Street Address 1 |
Street Address 2 |
175 Federal Street, 6th Floor |
City |
State/Province/Country |
ZIP/Postal Code |
Boston |
MASSACHUSETTS |
02110 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Jeffrey M. Warren |
5616071 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Crown Capital Securities, L.P. |
6312 |
Street Address 1 |
Street Address 2 |
29222 Rancho Viejo Road, Suite 126-B |
City |
State/Province/Country |
ZIP/Postal Code |
San Juan 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 |
|
Jon Paul Cirelli |
4729737 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
J.P. Turner & Company, L.L.C. |
43177 |
Street Address 1 |
Street Address 2 |
417 East Main Street, 3rd Floor |
City |
State/Province/Country |
ZIP/Postal Code |
Port Jefferson |
NEW YORK |
11777 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Curtis H. Smiley |
4443310 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Primex |
29394 |
Street Address 1 |
Street Address 2 |
45 Knollwood Road, 4th Floor |
City |
State/Province/Country |
ZIP/Postal Code |
Elmsford |
NEW YORK |
10523 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
William J. Bugdon |
5720121 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Investacorp, Inc. |
7684 |
Street Address 1 |
Street Address 2 |
Central Park East |
222 East 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 |
|
Richard P. Eckstein |
1059796 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Transamerica Financial Advisors, Inc. |
16164 |
Street Address 1 |
Street Address 2 |
1255 Treat Boulevard, Suite 300 |
City |
State/Province/Country |
ZIP/Postal Code |
Walnut Creek |
CALIFORNIA |
94597 |
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 |
$23,338,999
|
USD |
|
Total Amount Sold |
$22,848,996
|
USD |
Total Remaining to be Sold |
$490,003
|
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 |
$1,414,485
|
USD |
|
Finders' Fees |
$0
|
USD |
|
Clarification of Response (if Necessary):
This response is based on the assumption that the full amount of the potential sales commissions will be earned and 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):
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 Regulation D for one of the reasons stated in Rule 505(b)(2)(iii) 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 |
Modesto Retail Center DST |
/s/ Keith Lampi |
Keith Lampi |
President of the Member of the Signatory Trustee |
2015-05-08 |
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.