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 |
0001573727 |
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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 |
Chicagoland Fresh Market Venture DST |
Jurisdiction of Incorporation/Organization |
DELAWARE |
Year of Incorporation/Organization |
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Over Five Years Ago |
X |
Within Last Five Years (Specify Year) |
2013 |
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Yet to Be Formed |
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2. Principal Place of Business and Contact Information
Name of Issuer |
Chicagoland Fresh Market Venture 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 |
Chicagoland Fresh |
Market Venture, L.L.C. |
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 |
Chicagoland Fresh |
Market Venture 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 |
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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)
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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 |
2013-03-29 |
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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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Barry W. LeMay |
306332 |
(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 |
2542 South Bascom Avenue, Suite 110 |
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 |
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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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Robert S. Smith |
1412333 |
(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 |
8705 SW Nimbus Avenue, Suite 260 |
City |
State/Province/Country |
ZIP/Postal Code |
Beaverton |
OREGON |
97008 |
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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Susan J. Gitt |
5580509 |
(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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Allied Beacon Partners, Inc. |
46227 |
Street Address 1 |
Street Address 2 |
7801 Kingsbury Boulevard |
City |
State/Province/Country |
ZIP/Postal Code |
Claton |
MISSOURI |
63105 |
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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Jonathan D. Keller |
4344114 |
(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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Sigma Financial Corporation |
14303 |
Street Address 1 |
Street Address 2 |
3340 - A Bee Ridge Road |
City |
State/Province/Country |
ZIP/Postal Code |
Sarasota |
FLORIDA |
34239 |
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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Jack W. Ellison |
2584997 |
(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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Independent Financial Group, LLC |
7717 |
Street Address 1 |
Street Address 2 |
431 South Palm Canyon, Suite 202A |
City |
State/Province/Country |
ZIP/Postal Code |
Palm Springs |
CALIFORNIA |
92262 |
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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Stephen C. Schulmerich |
415613 |
(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 |
10260 SW Greenburg Road, Suite 400 |
City |
State/Province/Country |
ZIP/Postal Code |
Portland |
OREGON |
97223 |
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 N. Downey |
1386823 |
(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 |
525 West El Norte Parkway, Suite 81 |
City |
State/Province/Country |
ZIP/Postal Code |
Escondito |
CALIFORNIA |
92026 |
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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Gary R. Hancock, Sr. |
4701161 |
(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 |
2215 Via Linda Court |
City |
State/Province/Country |
ZIP/Postal Code |
Carmichael |
CALIFORNIA |
95608 |
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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Kyle M. Imholte |
5448950 |
(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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1st Global Capital Corp. |
30349 |
Street Address 1 |
Street Address 2 |
1215 Washington Avenue S |
City |
State/Province/Country |
ZIP/Postal Code |
Detroit Lakes |
MINNESOTA |
56502 |
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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James M. Gambaccini |
4619759 |
(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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The Strategic Financial Alliance, Inc. |
126514 |
Street Address 1 |
Street Address 2 |
3600 Chain Bridge Road |
City |
State/Province/Country |
ZIP/Postal Code |
Fairfax |
VIRGINIA |
22030 |
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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Kyle S. Jobin |
4915438 |
(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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Sigma Financial Corporation |
14303 |
Street Address 1 |
Street Address 2 |
191 North Avenue, Suite E |
City |
State/Province/Country |
ZIP/Postal Code |
Mount Clemens |
MICHIGAN |
48043 |
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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Eric J. Schindler |
1439999 |
(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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Cetera Advisors LLC |
10299 |
Street Address 1 |
Street Address 2 |
7777 Alvarado Road, Suite 621 |
City |
State/Province/Country |
ZIP/Postal Code |
La Mesa |
CALIFORNIA |
91941 |
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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Joseph G. Michaletz |
1327534 |
(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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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 |
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FLORIDA |
ILLINOIS |
MINNESOTA |
MISSOURI |
NEVADA |
TEXAS |
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Recipient |
Recipient CRD Number |
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None |
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Nathaniel M. Kuhn |
4624143 |
(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 |
1100 West Northwest Highway, Suite 114 |
City |
State/Province/Country |
ZIP/Postal Code |
Mt. Prospect |
ILLINOIS |
60056 |
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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Leslie M. Goldstein |
1300590 |
(Associated) Broker or Dealer |
|
None |
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(Associated) Broker or Dealer CRD Number |
|
None |
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Sigma Financial Corporation |
14303 |
Street Address 1 |
Street Address 2 |
626 Busse Highway |
City |
State/Province/Country |
ZIP/Postal Code |
Park Ridge |
ILLINOIS |
60068 |
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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Joral T. Schmalle |
4491484 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Sigma Financial Corporation |
14303 |
Street Address 1 |
Street Address 2 |
1009 Amito Drive |
City |
State/Province/Country |
ZIP/Postal Code |
Berkeley |
CALIFORNIA |
94705 |
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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James T. Walesa |
1061209 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Triad Advisors, Inc. |
25803 |
Street Address 1 |
Street Address 2 |
1460 Renaissance Drive, Suite 212 |
City |
State/Province/Country |
ZIP/Postal Code |
Park Ridge |
ILLINOIS |
60068 |
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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Jeffrey M. Warren |
5616071 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Crown Capital Securities, L.P. |
6312 |
Street Address 1 |
Street Address 2 |
18 Crow Canyon Court, Suite 325 |
City |
State/Province/Country |
ZIP/Postal Code |
San Ramon |
CALIFORNIA |
94583 |
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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Robert M. Hart |
1518921 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Sigma Financial Corporation |
14303 |
Street Address 1 |
Street Address 2 |
626 Busse Highway |
City |
State/Province/Country |
ZIP/Postal Code |
Park Ridge |
ILLINOIS |
60068 |
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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William A. Meloy |
1653157 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Proequities, Inc. |
15708 |
Street Address 1 |
Street Address 2 |
1208 Ballybunion Court |
City |
State/Province/Country |
ZIP/Postal Code |
Dyer |
INDIANA |
46311 |
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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Gary E. Conley |
52159 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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America Investors Company |
38 |
Street Address 1 |
Street Address 2 |
151 West Seventh Avenue, Suite 500 |
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 |
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Recipient |
Recipient CRD Number |
|
None |
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James W. Herrig |
1684201 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Proequities, Inc. |
15708 |
Street Address 1 |
Street Address 2 |
3390 Asbury Road |
City |
State/Province/Country |
ZIP/Postal Code |
Dubuque |
IOWA |
52002 |
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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Tim D. Clairmont |
2847591 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Woodbury Financial Services, Inc. |
421 |
Street Address 1 |
Street Address 2 |
Three Centerpointe Drive, Suite 100 |
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 |
|
|
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Recipient |
Recipient CRD Number |
|
None |
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John H. Scully |
803539 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Centaurus Financial, Inc. |
30833 |
Street Address 1 |
Street Address 2 |
2300 East Katella Avenue, Suite 200 |
City |
State/Province/Country |
ZIP/Postal Code |
Anaheim |
CALIFORNIA |
92806 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
John G. Chess |
4812430 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Investacorp, Inc. |
7684 |
Street Address 1 |
Street Address 2 |
4263 Gavin Lane |
City |
State/Province/Country |
ZIP/Postal Code |
Columbus |
OHIO |
43220 |
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 |
|
James M. Raine |
2360466 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Questar Capital Corporation |
43100 |
Street Address 1 |
Street Address 2 |
1180 West Ash Street, Suite 200 |
City |
State/Province/Country |
ZIP/Postal Code |
Windsor |
COLORADO |
80550 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Bruce S. Hesse |
2638672 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
1st Global Capital Corp. |
30349 |
Street Address 1 |
Street Address 2 |
11 Pruner Farm Road |
City |
State/Province/Country |
ZIP/Postal Code |
Lebanon |
NEW JERSEY |
08833 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
William G. Dorriety |
4678767 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Royal Alliance Associates, Inc. |
23131 |
Street Address 1 |
Street Address 2 |
9805 Millwood Circle, Suite A |
City |
State/Province/Country |
ZIP/Postal Code |
Daphne |
ALABAMA |
36526 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Stephen K. Davis |
1015132 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
American Portfolios Financial Services, Inc. |
18487 |
Street Address 1 |
Street Address 2 |
167 East Main Street |
City |
State/Province/Country |
ZIP/Postal Code |
Huntington |
NEW YORK |
11743 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
John P. Harvey, Jr. |
4227692 |
(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 |
|
Michael A. Bendix |
5379777 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
DFPG Investments, Inc. |
155576 |
Street Address 1 |
Street Address 2 |
903 Springwood Lane |
City |
State/Province/Country |
ZIP/Postal Code |
Encinitas |
CALIFORNIA |
92024 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Craig A. Cooper |
2553463 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Concorde Investment Services, LLC |
151604 |
Street Address 1 |
Street Address 2 |
1241 State Street |
City |
State/Province/Country |
ZIP/Postal Code |
San Diego |
CALIFORNIA |
92101 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Robert W. Bruner |
2260319 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Questar Capital Corporation |
43100 |
Street Address 1 |
Street Address 2 |
22 West Main Street |
City |
State/Province/Country |
ZIP/Postal Code |
Mountville |
PENNSYLVANIA |
17554 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Rocco A. Cortese |
4681807 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
John S. Weiss |
1097536 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Crown Capital Securities, L.P. |
6312 |
Street Address 1 |
Street Address 2 |
18 Crow Canyon Court, Suite 325 |
City |
State/Province/Country |
ZIP/Postal Code |
San Ramon |
CALIFORNIA |
94583 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Kenneth M. Chong |
2972285 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Sigma Financial Corporation |
14303 |
Street Address 1 |
Street Address 2 |
13328 Valleyheart Drive North |
City |
State/Province/Country |
ZIP/Postal Code |
Sherman Oaks |
CALIFORNIA |
91423 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Jeffery W. Graumlich |
4816380 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Sigma Financial Corporation |
14303 |
Street Address 1 |
Street Address 2 |
1078 Carol Lane, Suite 203 |
City |
State/Province/Country |
ZIP/Postal Code |
Lafayette |
CALIFORNIA |
94549 |
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 |
$21,661,955
|
USD |
|
Total Amount Sold |
$21,661,955
|
USD |
Total Remaining to be Sold |
$0
|
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 |
$1,299,717
|
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 |
Chicagoland Fresh Market Venture DST |
/s/ Keith Lampi |
Keith Lampi |
COO of the Member of the Signatory Trustee |
2014-01-28 |
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.