The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. The reader should not assume that the information is accurate and complete. |
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM D
Notice of Exempt Offering of Securities
|
OMB APPROVAL |
OMB Number: |
3235-0076 |
Estimated average burden |
hours per response: |
4.00 |
|
|
1. Issuer's Identity
CIK (Filer ID Number) |
Previous Names |
|
Entity Type |
0001043951 |
|
|
Corporation |
|
Limited Partnership |
|
Limited Liability Company |
|
General Partnership |
X |
Business Trust |
|
Other (Specify) |
|
Name of Issuer |
CAMPBELL FUND TRUST |
Jurisdiction of Incorporation/Organization |
DE |
Year of Incorporation/Organization |
X |
Over Five Years Ago |
|
Within Last Five Years (Specify Year) |
|
|
Yet to Be Formed |
|
2. Principal Place of Business and Contact Information
Name of Issuer |
CAMPBELL FUND TRUST |
Street Address 1 |
Street Address 2 |
2850 QUARRY LAKE DRIVE |
|
City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
BALTIMORE |
MD |
21209 |
410-413-2600 |
3. Related Persons
Last Name |
First Name |
Middle Name |
Campbell & Company, Inc. |
n/a |
|
Street Address 1 |
Street Address 2 |
2850 Quarry Lake Drive |
|
City |
State/Province/Country |
ZIP/PostalCode |
Baltimore |
MD |
21209 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Managing Operator
Last Name |
First Name |
Middle Name |
Andrews |
William |
G |
Street Address 1 |
Street Address 2 |
Campbell & Company, Inc. |
2850 Quarry Lake Drive |
City |
State/Province/Country |
ZIP/PostalCode |
Baltimore |
MD |
21209 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Campbell |
D |
Keith |
Street Address 1 |
Street Address 2 |
Campbell & Company, Inc. |
2850 Quarry Lake Drive |
City |
State/Province/Country |
ZIP/PostalCode |
Baltimore |
MD |
21209 |
Relationship: |
X |
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Clarke III |
William |
C |
Street Address 1 |
Street Address 2 |
Campbell & Company, Inc. |
2850 Quarry Lake Drive |
City |
State/Province/Country |
ZIP/PostalCode |
Baltimore |
MD |
21209 |
Relationship: |
|
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Cleland |
Bruce |
L |
Street Address 1 |
Street Address 2 |
Campbell & Company, Inc. |
2850 Quarry Lake Drive |
City |
State/Province/Country |
ZIP/PostalCode |
Baltimore |
MD |
21209 |
Relationship: |
X |
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Little |
James |
M |
Street Address 1 |
Street Address 2 |
Campbell & Company, Inc. |
2850 Quarry Lake Drive |
City |
State/Province/Country |
ZIP/PostalCode |
Baltimore |
MD |
21209 |
Relationship: |
X |
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Becks |
Theresa |
D |
Street Address 1 |
Street Address 2 |
Campbell & Company, Inc. |
2850 Quarry Lake Drive |
City |
State/Province/Country |
ZIP/PostalCode |
Baltimore |
MD |
21209 |
Relationship: |
X |
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Heerdt |
Kevin |
M |
Street Address 1 |
Street Address 2 |
Campbell & Company, Inc. |
2850 Quarry Lake Drive |
City |
State/Province/Country |
ZIP/PostalCode |
Baltimore |
MD |
21209 |
Relationship: |
X |
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Lloyd |
Thomas |
P |
Street Address 1 |
Street Address 2 |
Campbell & Company, Inc. |
2850 Quarry Lake Drive |
City |
State/Province/Country |
ZIP/PostalCode |
Baltimore |
MD |
21209 |
Relationship: |
X |
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Donovan |
Gregory |
T |
Street Address 1 |
Street Address 2 |
Campbell & Company, Inc. |
2850 Quarry Lake Drive |
City |
State/Province/Country |
ZIP/PostalCode |
Baltimore |
MD |
21209 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Harris |
Michael |
S |
Street Address 1 |
Street Address 2 |
Campbell & Company, Inc. |
2850 Quarry Lake Drive |
City |
State/Province/Country |
ZIP/PostalCode |
Baltimore |
MD |
21209 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Hebrank |
Michael |
J |
Street Address 1 |
Street Address 2 |
Campbell & Company, Inc. |
2850 Quarry Lake Drive |
City |
State/Province/Country |
ZIP/PostalCode |
Baltimore |
MD |
21209 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
4. Industry Group
|
Agriculture |
|
Banking & Financial Services |
|
|
Commercial Banking |
|
Insurance |
|
Investing |
|
Investment Banking |
X |
Pooled Investment Fund |
|
|
Hedge Fund |
|
Private Equity Fund |
|
Venture Capital Fund |
X |
Other Investment Fund |
|
|
Is the issuer registered as an investment company under the Investment Company Act of 1940? |
|
|
|
Other Banking & Financial Services |
|
|
Business Services |
|
Energy |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Health Care |
|
|
|
|
|
|
|
|
|
|
|
Manufacturing |
|
Real Estate |
|
|
|
|
|
|
|
|
|
|
|
|
Retailing |
|
Restaurants |
|
Technology |
|
|
|
|
|
|
|
Travel |
|
|
|
|
|
|
Tourism & Travel Services |
|
|
|
|
Other |
|
5. Issuer Size
Revenue Range |
OR |
Aggregate Net Asset Value Range |
|
No Revenues |
|
No Aggregate Net Asset Value |
|
$1 - $1,000,000 |
|
$1 - $5,000,000 |
|
$1,000,001 - $5,000,000 |
|
$5,000,001 - $25,000,000 |
|
$5,000,001 - $25,000,000 |
|
$25,000,001 - $50,000,000 |
|
$25,000,001 - $100,000,000 |
|
$50,000,001 - $100,000,000 |
|
Over $100,000,000 |
|
Over $100,000,000 |
|
Decline to Disclose |
X |
Decline to Disclose |
|
Not Applicable |
|
Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
|
Rule 504(b)(1) (not (i), (ii) or (iii)) |
|
Rule 505 |
|
Rule 504 (b)(1)(i) |
X |
Rule 506 |
|
Rule 504 (b)(1)(ii) |
|
Securities Act Section 4(5) |
|
Rule 504 (b)(1)(iii) |
|
Investment Company Act Section 3(c) |
|
|
Section 3(c)(1) |
|
Section 3(c)(9) |
|
|
Section 3(c)(2) |
|
Section 3(c)(10) |
|
|
Section 3(c)(3) |
|
Section 3(c)(11) |
|
|
Section 3(c)(4) |
|
Section 3(c)(12) |
|
|
Section 3(c)(5) |
|
Section 3(c)(13) |
|
|
Section 3(c)(6) |
|
Section 3(c)(14) |
|
|
|
7. Type of Filing
|
New Notice |
|
Date of First Sale |
1996-01-01 |
|
|
First Sale Yet to Occur |
X |
Amendment |
8. Duration of Offering
Does the Issuer intend this offering to last more than one year? |
|
|
9. Type(s) of Securities Offered (select all that apply)
|
Equity |
X |
Pooled Investment Fund Interests |
|
Debt |
|
Tenant-in-Common Securities |
|
Option, Warrant or Other Right to Acquire Another Security |
|
Mineral Property Securities |
|
Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security |
|
Other (describe) |
|
|
10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
|
|
Clarification of Response (if Necessary):
11. Minimum Investment
Minimum investment accepted from any outside investor |
$500,000
|
USD |
12. Sales Compensation
Recipient |
Recipient CRD Number |
|
None |
|
A.G. Edwards & Sons, Inc. |
4 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
One North Jefferson Avenue |
|
City |
State/Province/Country |
ZIP/Postal Code |
St. Louis |
MO |
63103 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Altegris Investments, Inc |
8258 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
1020 Prospect Street |
Suite 405 |
City |
State/Province/Country |
ZIP/Postal Code |
LoJolla |
CA |
92037 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Berthel, Fisher & Company Financial Services, Inc. |
13609 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
701 Tama Street |
Building B |
City |
State/Province/Country |
ZIP/Postal Code |
Marion |
IA |
52302 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Cambridge Investment Research, Inc. |
39543 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
1776 Pleasant Plain Road |
|
City |
State/Province/Country |
ZIP/Postal Code |
Fairfield |
IA |
52556 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Campbell Financial Services, Inc. |
42953 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
2850 Quarry Lake Drive |
|
City |
State/Province/Country |
ZIP/Postal Code |
Baltimore |
MD |
21209 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Capital Analysts Incorporated |
5478 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
3 Radnor Corporate Center |
Suite 220 |
City |
State/Province/Country |
ZIP/Postal Code |
Radnor |
PA |
19087 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Citigroup Global Markets, Inc. |
7059 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
388 Greenwich Street |
7th Floor |
City |
State/Province/Country |
ZIP/Postal Code |
New York |
NY |
10013 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Commonwealth Financial Network |
8032 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
29 Sawyer Road |
|
City |
State/Province/Country |
ZIP/Postal Code |
Waltham |
MA |
02453 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Confidential Management Financial Services, Inc. |
18214 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
555 South Old Woodward Avenue |
Suite 600 |
City |
State/Province/Country |
ZIP/Postal Code |
Birmingham |
MI |
48009 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Ferris, Baker Watts, Incorporated |
285 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
1700 Pennsylvania Avenue |
Suite 700 |
City |
State/Province/Country |
ZIP/Postal Code |
Washington |
DC |
20006 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
First Allied Securities, Inc. |
32444 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
525 B. Street |
17th Floor |
City |
State/Province/Country |
ZIP/Postal Code |
San Diego |
CA |
92101 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
FSC Securities Corporation |
7461 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
2300 Windy Ridge Parkway |
Suite 1100 |
City |
State/Province/Country |
ZIP/Postal Code |
Atlanta |
GA |
30339 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
H. Beck, Inc. |
1763 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
11140 Rockville Pike-400 |
|
City |
State/Province/Country |
ZIP/Postal Code |
Rockville |
MD |
20852 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
JAE Securities, Inc. |
42807 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
7310 Dover Court |
|
City |
State/Province/Country |
ZIP/Postal Code |
Parkland |
FL |
33067 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
IMS Securities, Inc. |
35567 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
1500 City West Boulevard |
Suite 500 |
City |
State/Province/Country |
ZIP/Postal Code |
Houston |
TX |
77042 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Morgan Keegan & Company, Inc. |
4161 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
50 Front Street |
Morgan Keegan Tower |
City |
State/Province/Country |
ZIP/Postal Code |
Memphis |
TN |
38103 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Northeast Securities, Inc. |
25996 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
333 Earle Ovington Boulevard |
7th Floor |
City |
State/Province/Country |
ZIP/Postal Code |
Mitchelfield |
NY |
11553 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Pacific West Securities, Inc. |
6390 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
One Renton Place, 555 South Renton Vil. |
Suite 700 |
City |
State/Province/Country |
ZIP/Postal Code |
Renton |
WA |
98055 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Polar Investment Counsel, Inc. |
42847 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
28798 Cramer Court |
|
City |
State/Province/Country |
ZIP/Postal Code |
Burlington |
WI |
53105 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
AL |
AK |
AZ |
AR |
CA |
CO |
CT |
DC |
FL |
GA |
HI |
ID |
IL |
IN |
IA |
KS |
KY |
LA |
ME |
MD |
MA |
MI |
MN |
MS |
MO |
MT |
NE |
NV |
NH |
NJ |
NM |
NY |
NC |
ND |
OH |
OK |
OR |
PA |
SC |
SD |
TN |
TX |
UT |
VT |
VA |
WA |
WV |
WI |
WY |
|
Recipient |
Recipient CRD Number |
|
None |
|
Raymond James & Associates, Inc. |
705 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
880 Carillon Parkway |
|
City |
State/Province/Country |
ZIP/Postal Code |
St. Petersburg |
FL |
33716 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
RBC Capital Markets Corporation |
31194 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
One Liberty Plaza |
165 Broadway |
City |
State/Province/Country |
ZIP/Postal Code |
New York |
NY |
10006 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Royal Alliance Associates, Inc. |
23131 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
733 Third Avenue |
|
City |
State/Province/Country |
ZIP/Postal Code |
New York |
NY |
10017 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Sanders Morris Harris, Inc. |
20580 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
600 Travis Street |
Suite 3100 |
City |
State/Province/Country |
ZIP/Postal Code |
Houston |
TX |
77002 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Scott & Stringfellow, Inc. |
6255 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
909 East Main Street |
|
City |
State/Province/Country |
ZIP/Postal Code |
Richmond |
VA |
23219 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Securities America, Inc. |
10205 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
7100 West Center Road |
Suite 500 |
City |
State/Province/Country |
ZIP/Postal Code |
Omaha |
NE |
68106 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
AL |
AK |
AZ |
AR |
CA |
CO |
CT |
DE |
DC |
FL |
GA |
HI |
ID |
IL |
IN |
IA |
KS |
KY |
LA |
ME |
MD |
MA |
MI |
MN |
MS |
MO |
MT |
NE |
NV |
NH |
NJ |
NM |
NY |
NC |
ND |
OH |
OK |
OR |
PA |
RI |
SC |
SD |
TN |
TX |
UT |
VT |
VA |
WA |
WV |
WI |
WY |
|
Recipient |
Recipient CRD Number |
|
None |
|
SII Investments, Inc. |
2225 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
5555 Grande Market Drive |
|
City |
State/Province/Country |
ZIP/Postal Code |
Appleton |
WI |
54913 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
AL |
AK |
AZ |
AR |
CA |
CO |
CT |
DE |
DC |
FL |
GA |
HI |
ID |
IL |
IN |
IA |
KS |
KY |
LA |
ME |
MD |
MA |
MI |
MN |
MS |
MO |
MT |
NE |
NV |
NH |
NJ |
NM |
NY |
NC |
ND |
OH |
OK |
OR |
PA |
RI |
SC |
SD |
TN |
TX |
UT |
VT |
VA |
WA |
WV |
WI |
WY |
|
Recipient |
Recipient CRD Number |
|
None |
|
Steben & Company, Inc. |
117808 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
2099 Gaither Road |
Suite 200 |
City |
State/Province/Country |
ZIP/Postal Code |
Rockville |
MD |
20850 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
AL |
AK |
AZ |
AR |
CA |
CO |
CT |
DE |
DC |
FL |
GA |
HI |
ID |
IL |
IN |
IA |
KS |
KY |
LA |
ME |
MD |
MA |
MI |
MN |
MS |
MO |
MT |
NE |
NV |
NH |
NJ |
NM |
NY |
NC |
ND |
OH |
OK |
OR |
PA |
RI |
SC |
SD |
TN |
TX |
UT |
VT |
VA |
WA |
WV |
WI |
WY |
|
Recipient |
Recipient CRD Number |
|
None |
|
Stephen A. Kohn & Associates, Ltd. |
41067 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
3333 South Wadsworth Boulevard |
Suite 231 |
City |
State/Province/Country |
ZIP/Postal Code |
Lakewood |
CO |
80227 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
AZ |
CA |
CO |
CT |
FL |
ID |
IL |
MA |
MI |
MN |
NV |
NY |
NC |
OH |
OR |
WA |
|
Recipient |
Recipient CRD Number |
|
None |
|
UBS Financial Services, Inc. |
8174 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
1285 Avenue of the Americas |
|
City |
State/Province/Country |
ZIP/Postal Code |
New York |
NY |
10019 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Uhlmann Price Securities, LLC |
42854 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
141 West Jackson Boulevard |
Suite 1340A |
City |
State/Province/Country |
ZIP/Postal Code |
Chicago |
IL |
60604 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
AL |
AK |
AZ |
AR |
CA |
CO |
CT |
DE |
DC |
FL |
GA |
HI |
ID |
IL |
IN |
IA |
KS |
KY |
LA |
ME |
MD |
MA |
MI |
MN |
MS |
MO |
MT |
NE |
NV |
NH |
NJ |
NM |
NY |
NC |
ND |
OH |
OK |
OR |
PA |
RI |
SC |
SD |
TN |
TX |
UT |
VT |
VA |
WA |
WV |
WI |
WY |
|
Recipient |
Recipient CRD Number |
|
None |
|
VSR Financial Services, Inc. |
14503 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
8620 West 110th Street |
Suite 200 |
City |
State/Province/Country |
ZIP/Postal Code |
Overland Park |
KS |
66210 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Wachovia Securities Financial Network, LLC |
11025 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
901 East Byrd Street |
WS 2022 |
City |
State/Province/Country |
ZIP/Postal Code |
Richmond |
VA |
23219 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Wachovia Securities, LLC |
19616 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
One North Jefferson Avenue |
|
City |
State/Province/Country |
ZIP/Postal Code |
St. Louis |
MO |
63103 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
AIG Financial Advisors, Inc. |
133763 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
2800 North Central Avenue |
Suite 2100 |
City |
State/Province/Country |
ZIP/Postal Code |
Phoenix |
AZ |
85004 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
American Securities Group |
43730 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
400 South Dixie Highway |
Suite 220 |
City |
State/Province/Country |
ZIP/Postal Code |
Boca Raton |
FL |
33432 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
AL |
AK |
AZ |
AR |
CA |
CO |
CT |
DE |
DC |
FL |
GA |
HI |
ID |
IL |
IN |
IA |
KS |
KY |
LA |
ME |
MD |
MA |
MI |
MN |
MS |
MO |
MT |
NE |
NV |
NH |
NJ |
NM |
NY |
NC |
ND |
OH |
OK |
OR |
PA |
RI |
SC |
SD |
TN |
TX |
UT |
VT |
VA |
WA |
WV |
WI |
WY |
|
Recipient |
Recipient CRD Number |
|
None |
|
Geneos Wealth Management |
120894 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
4700 South Syracuse Parkway |
Suite 1000 |
City |
State/Province/Country |
ZIP/Postal Code |
Denver |
CO |
80237 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Morgan Stanley & Co. Incorporated |
8209 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
1585 Broadway |
|
City |
State/Province/Country |
ZIP/Postal Code |
New York |
NY |
10036 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Stifel, Nicolaus & Company, Incorporated |
793 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
501 North Broadway |
|
City |
State/Province/Country |
ZIP/Postal Code |
St. Louis |
MO |
63102 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Credit Suisse Securities (USA) LLC |
816 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
1 Madison Avenue |
9th Floor |
City |
State/Province/Country |
ZIP/Postal Code |
New York |
NY |
10010 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
7691 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
ATTN: Marla Moskowitz-Hesse |
222 Broadway, 16th Floor |
City |
State/Province/Country |
ZIP/Postal Code |
New York |
NY |
10038 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Stephens, Inc. |
3496 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
111 Center Street |
|
City |
State/Province/Country |
ZIP/Postal Code |
Little Rock |
AR |
72201 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Bear Stearns & Co. Inc. |
79 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
115 South Jefferson Road |
|
City |
State/Province/Country |
ZIP/Postal Code |
Whippany |
NJ |
07981 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
H&R Block Financial Advisors, Inc. |
5979 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
719 Griswold Street |
Suite 1700 |
City |
State/Province/Country |
ZIP/Postal Code |
Detroit |
MI |
48226 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Janney Montgomery Scott, LLC |
463 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
1801 Market Street |
|
City |
State/Province/Country |
ZIP/Postal Code |
Philadelphia |
PA |
19103 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Purshe, Kaplan, Sterling Investments |
35747 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
18 Corporate Woods Boulevard |
|
City |
State/Province/Country |
ZIP/Postal Code |
Albany |
NY |
12211 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
AL |
AK |
AZ |
AR |
CA |
CO |
CT |
DE |
DC |
FL |
GA |
HI |
ID |
IL |
IN |
IA |
KS |
KY |
LA |
ME |
MD |
MA |
MI |
MN |
MS |
MO |
MT |
NE |
NV |
NH |
NJ |
NM |
NY |
NC |
ND |
OH |
OK |
OR |
PA |
RI |
SC |
SD |
TN |
TX |
UT |
VT |
VA |
WA |
WV |
WI |
WY |
|
Recipient |
Recipient CRD Number |
|
None |
|
Portfolio Resources Group, Inc. |
31155 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
800 Brickell Avenue |
Suite 903 |
City |
State/Province/Country |
ZIP/Postal Code |
Miami |
FL |
33131 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
AZ |
CA |
CO |
CT |
DE |
FL |
GA |
HI |
ID |
IL |
IN |
KS |
KY |
ME |
MD |
MA |
MI |
MT |
NV |
NH |
NJ |
NM |
NY |
NC |
OH |
OR |
PA |
SC |
TN |
TX |
VT |
VA |
WA |
WI |
|
Recipient |
Recipient CRD Number |
|
None |
|
Wunderlich Securities, Inc. |
2543 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
6000 Poplar Avenue |
Suite 150 |
City |
State/Province/Country |
ZIP/Postal Code |
Memphis |
TN |
38119 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
AL |
AK |
AZ |
AR |
CA |
CO |
CT |
DE |
DC |
FL |
GA |
HI |
ID |
IL |
IN |
IA |
KS |
KY |
LA |
ME |
MD |
MA |
MI |
MN |
MS |
MO |
MT |
NE |
NV |
NH |
NJ |
NM |
NY |
NC |
ND |
OH |
OK |
OR |
PA |
RI |
SC |
SD |
TN |
TX |
UT |
VT |
VA |
WA |
WV |
WI |
WY |
|
Recipient |
Recipient CRD Number |
|
None |
|
ING Financial Partnes, Inc. |
2882 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
909 Locust Street |
|
City |
State/Province/Country |
ZIP/Postal Code |
Des Moines |
IA |
50309 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Hilliard Lyons |
453 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
500 West Jefferson Street |
|
City |
State/Province/Country |
ZIP/Postal Code |
Louisville |
KY |
40202 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
AL |
AK |
AZ |
AR |
CA |
CO |
CT |
DE |
DC |
FL |
GA |
HI |
ID |
IL |
IN |
IA |
KS |
KY |
LA |
ME |
MD |
MA |
MI |
MN |
MS |
MO |
MT |
NE |
NV |
NH |
NJ |
NM |
NY |
NC |
ND |
OH |
OK |
OR |
PA |
RI |
SC |
SD |
TN |
TX |
UT |
VT |
VA |
WA |
WV |
WI |
WY |
|
Recipient |
Recipient CRD Number |
|
None |
|
Robert W. Baird & Co. Inc. |
8158 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
777 East Wisconsin Avenue |
|
City |
State/Province/Country |
ZIP/Postal Code |
Milwaukee |
WI |
53202 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
DeWaay Financial Network LLC |
30767 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
13001 University Avenue |
|
City |
State/Province/Country |
ZIP/Postal Code |
Clive |
IA |
50325 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
AL |
AK |
AZ |
AR |
CA |
CO |
CT |
DE |
DC |
FL |
GA |
HI |
ID |
IL |
IN |
IA |
KS |
KY |
LA |
ME |
MD |
MA |
MI |
MN |
MS |
MO |
MT |
NE |
NV |
NH |
NJ |
NM |
NY |
NC |
ND |
OH |
OK |
OR |
PA |
RI |
SC |
SD |
TN |
TX |
UT |
VT |
VA |
WA |
WV |
WI |
WY |
|
Recipient |
Recipient CRD Number |
|
None |
|
Stanford Group Company |
39285 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
5051 Westheimer |
14th Floor |
City |
State/Province/Country |
ZIP/Postal Code |
Houston |
TX |
77056 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
USA Financial Securities Corporation |
103857 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
6020 East Fulton |
|
City |
State/Province/Country |
ZIP/Postal Code |
Ada |
MI |
49301 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
AL |
AK |
AZ |
AR |
CA |
CO |
CT |
DE |
DC |
FL |
GA |
HI |
ID |
IL |
IN |
IA |
KS |
KY |
LA |
ME |
MD |
MA |
MI |
MN |
MS |
MO |
MT |
NE |
NV |
NH |
NJ |
NM |
NY |
NC |
ND |
OH |
OK |
OR |
PA |
RI |
SC |
SD |
TN |
TX |
UT |
VT |
VA |
WA |
WV |
WI |
WY |
|
Recipient |
Recipient CRD Number |
|
None |
|
Winslow Evans & Crocker Inc. |
29686 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
175 Federal Street |
|
City |
State/Province/Country |
ZIP/Postal Code |
Boston |
MA |
02110 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
AL |
AZ |
AR |
CA |
CO |
CT |
DE |
DC |
FL |
GA |
HI |
ID |
IL |
IN |
IA |
KY |
LA |
ME |
MD |
MA |
MI |
MN |
MS |
MO |
MT |
NV |
NH |
NJ |
NM |
NY |
NC |
ND |
OH |
OK |
OR |
PA |
PR |
RI |
SC |
SD |
TN |
TX |
UT |
VT |
VA |
WA |
WV |
WI |
WY |
|
13. Offering and Sales Amounts
Total Offering Amount |
|
USD |
|
Total Amount Sold |
$1,101,264,489
|
USD |
Total Remaining to be Sold |
|
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 |
$0
|
USD |
|
Finders' Fees |
$0
|
USD |
|
Clarification of Response (if Necessary):
Selling Agents receive approximately .50% of average month-end net assets per year - see Item 12. The current offering commenced prior to 3/15/2009; item 15 reflects the requested information commencing from such date.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 Rule 505 exemption, the issuer is not disqualified
from relying on Rule 505 for one of the reasons stated in Rule 505(b)(2)(iii).
|
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 |
CAMPBELL FUND TRUST |
Theresa D. Becks |
Theresa D. Becks |
Chief Exec Officer and President of the Managing Operator |
2009-04-16 |
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.