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
Intentional misstatements or omissions of fact constitute federal criminal violations. See 18 U.S.C. 1001.
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 |
| 0001602167 |
|
| |
Corporation |
| X |
Limited Partnership |
| |
Limited Liability Company |
| |
General Partnership |
| |
Business Trust |
| |
Other (Specify) |
|
| Name of Issuer |
|---|
| MDS 2014-Marcellus Shale Development, LP |
| Jurisdiction of Incorporation/Organization |
|---|
| DELAWARE |
| Year of Incorporation/Organization |
|---|
| |
Over Five Years Ago |
| X |
Within Last Five Years (Specify Year) |
2014 |
| |
Yet to Be Formed |
|
2. Principal Place of Business and Contact Information
| Name of Issuer |
|---|
| MDS 2014-Marcellus Shale Development, LP |
| Street Address 1 |
Street Address 2 |
| 2605 NICHOLSON ROAD |
BUILDING 02, SUITE 101 |
| City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
| SEWICKLEY |
PENNSYLVANIA |
15143-7607 |
(855)807-0807 |
3. Related Persons
| Last Name |
First Name |
Middle Name |
| MDS Energy Development, LLC |
MDS Energy Development, LLC |
| Street Address 1 |
Street Address 2 |
| 409 Butler Road |
Suite A |
| City |
State/Province/Country |
ZIP/PostalCode |
| Kittanning |
PENNSYLVANIA |
16201 |
| Relationship: |
X |
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
| Last Name |
First Name |
Middle Name |
| Snyder |
Michael |
D. |
| Street Address 1 |
Street Address 2 |
| 409 Butler Road |
Suite A |
| City |
State/Province/Country |
ZIP/PostalCode |
| Kittanning |
PENNSYLVANIA |
16201 |
| Relationship: |
X |
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
| Last Name |
First Name |
Middle Name |
| Hinderliter |
Dennis |
L. |
| Street Address 1 |
Street Address 2 |
| 409 Butler Road |
Suite A |
| City |
State/Province/Country |
ZIP/PostalCode |
| Kittanning |
PENNSYLVANIA |
16201 |
| Relationship: |
X |
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
| Last Name |
First Name |
Middle Name |
| McPherson |
Brannon |
P. |
| Street Address 1 |
Street Address 2 |
| 409 Butler Road |
Suite A |
| City |
State/Province/Country |
ZIP/PostalCode |
| Kitanning |
PENNSYLVANIA |
16201 |
| Relationship: |
X |
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
| Last Name |
First Name |
Middle Name |
| Morris |
Randall |
L. |
| Street Address 1 |
Street Address 2 |
| 409 Butler Road |
Suite A |
| City |
State/Province/Country |
ZIP/PostalCode |
| Kittanning |
PENNSYLVANIA |
16201 |
| Relationship: |
X |
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
| Last Name |
First Name |
Middle Name |
| Knapp |
Michael |
S. |
| Street Address 1 |
Street Address 2 |
| 409 Butler Road |
Suite A |
| City |
State/Province/Country |
ZIP/PostalCode |
| Kittanning |
PENNSYLVANIA |
16201 |
| Relationship: |
X |
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
| Last Name |
First Name |
Middle Name |
| Zellman |
Adam |
W. |
| Street Address 1 |
Street Address 2 |
| 409 Butler Road |
Suite A |
| City |
State/Province/Country |
ZIP/PostalCode |
| Kittanning |
PENNSYLVANIA |
16201 |
| Relationship: |
X |
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
| Last Name |
First Name |
Middle Name |
| Knapp |
Jason |
C. |
| Street Address 1 |
Street Address 2 |
| 409 Butler Road |
Suite A |
| City |
State/Province/Country |
ZIP/PostalCode |
| Kittanning |
PENNSYLVANIA |
16201 |
| Relationship: |
X |
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
4. Industry Group
| |
Agriculture |
|
Banking & Financial Services |
|
| |
Commercial Banking |
| |
Insurance |
| |
Investing |
| |
Investment Banking |
| |
Pooled Investment Fund |
|
|
|
Is the issuer registered as
an investment company under
the Investment Company
Act of 1940? |
|
|
| |
Other Banking & Financial Services |
|
| |
Business Services |
|
Energy |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Health Care |
|
|
|
|
|
|
|
|
|
|
| |
Manufacturing |
|
Real Estate |
|
|
|
|
|
|
|
|
|
|
|
|
Retailing |
|
Restaurants |
|
Technology |
|
|
|
|
|
|
|
Travel |
|
|
|
|
|
| |
Tourism & Travel Services |
|
|
|
|
Other |
|
5. Issuer Size
| Revenue Range |
OR |
Aggregate Net Asset Value Range |
| X |
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 |
|
Decline to Disclose |
| |
Not Applicable |
|
Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
|
| |
Rule 504(b)(1) (not (i), (ii) or (iii)) |
|
| |
Rule 504 (b)(1)(i) |
|
| |
Rule 504 (b)(1)(ii) |
|
| |
Rule 504 (b)(1)(iii) |
|
| |
Rule 505 |
|
| X |
Rule 506(b) |
|
| |
Rule 506(c) |
|
| |
Securities Act Section 4(a)(5) |
|
| X |
Investment Company Act Section 3(c) |
|
| |
Section 3(c)(1) |
X |
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 |
2014-08-12 |
|
|
First Sale Yet to Occur |
| X |
Amendment |
8. Duration of Offering
| Does the Issuer intend this offering to last more than one year? |
|
|
9. Type(s) of Securities Offered (select all that apply)
| X |
Equity |
|
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 |
$0
|
USD |
12. Sales Compensation
| Recipient |
| Recipient CRD Number |
|
None |
|
| MDS Securities, LLC |
159555 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 409 Butler Road |
Suite A |
| City |
State/Province/Country |
ZIP/Postal Code |
| Kittanning |
PENNSYLVANIA |
16201 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Ausdal Financial Partners |
7995 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 5187 Utica Ridge Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Davenport |
IOWA |
52807 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| WISCONSIN |
| KENTUCKY |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| 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 |
IOWA |
52302 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| WISCONSIN |
| KENTUCKY |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Boenning & Scattergood, Inc. |
100 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 4 Tower Bridge-200 Harbor Drive |
No. 300 |
| City |
State/Province/Country |
ZIP/Postal Code |
| West Conshohocken |
PENNSYLVANIA |
19428 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| WISCONSIN |
| KENTUCKY |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Calton & Associates, Inc. |
20999 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 14497 North Dale Mabry |
Suite 215 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Tampa |
FLORIDA |
33618 |
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 |
IOWA |
52556 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Coastal Equities, Inc. |
23769 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 1201 North Orange Street |
Suite 729 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Wilmington |
DELAWARE |
19801 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| VERMONT |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| PUERTO RICO |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| KENTUCKY |
| WISCONSIN |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| CV Brokerage, Inc. |
462 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 1001 Conshohocken State Road |
Suite 211 |
| City |
State/Province/Country |
ZIP/Postal Code |
| West Conshohocken |
PENNSYLVANIA |
19428 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| VERMONT |
| RHODE ISLAND |
| HAWAII |
| NEW YORK |
| GEORGIA |
| TENNESSEE |
| CALIFORNIA |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| OHIO |
| DELAWARE |
| FLORIDA |
| MARYLAND |
| MASSACHUSETTS |
| SOUTH CAROLINA |
| ILLINOIS |
| INDIANA |
| CONNECTICUT |
| DISTRICT OF COLUMBIA |
| MINNESOTA |
| WISCONSIN |
| KENTUCKY |
| ARIZONA |
| MISSOURI |
| KANSAS |
| OREGON |
| NEW HAMPSHIRE |
| WASHINGTON |
| NEW JERSEY |
| NEW MEXICO |
| TEXAS |
| COLORADO |
| PENNSYLVANIA |
| NORTH CAROLINA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| First Canterbury Securities, Inc. |
13121 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 12989 Jupiter Road |
Suite 203 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Dallas |
TEXAS |
75238 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| LOUISIANA |
| TEXAS |
| MISSOURI |
| FLORIDA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| G. A. Repple & Company |
17486 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 101 Normandy Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Casselberry |
FLORIDA |
32707 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| WISCONSIN |
| KENTUCKY |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| 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 |
| 6600 Rockledge Drive |
6th floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| Bethesda |
MARYLAND |
20817 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| WISCONSIN |
| KENTUCKY |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Neidiger, Tucker, Bruner, Inc. |
7425 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 9540 South Maroon Circle |
Suite 250 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Englewood |
COLORADO |
80112 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Newbridge Securities Corporation |
104065 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 1451 Cypress Creek Road |
Suite 204 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Fort Lauderdale |
FLORIDA |
33309 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| PUERTO RICO |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| WISCONSIN |
| KENTUCKY |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| SCF Securities,Inc. |
47275 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 155 East Shaw Avenue |
Suite 102 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Fresno |
CALIFORNIA |
93710 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| KENTUCKY |
| WISCONSIN |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| 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 |
| 3232 South Vance Street |
Suite 210 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lakewood |
COLORADO |
80227 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| HAWAII |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| VIRGINIA |
| MICHIGAN |
| OHIO |
| IDAHO |
| IOWA |
| FLORIDA |
| MASSACHUSETTS |
| SOUTH CAROLINA |
| UTAH |
| ILLINOIS |
| INDIANA |
| CONNECTICUT |
| MINNESOTA |
| WISCONSIN |
| ARIZONA |
| MISSOURI |
| MONTANA |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| NEW JERSEY |
| NEW MEXICO |
| TEXAS |
| COLORADO |
| PENNSYLVANIA |
| NORTH CAROLINA |
| NEBRASKA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| The Strategic Financial Alliance, Inc. |
126514 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 2200 Century Parkway |
Suite 500 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Atlanta |
GEORGIA |
30345 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| WISCONSIN |
| KENTUCKY |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Triad Advisors, Inc. |
25803 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 5185 Peachtree Parkway |
Suite 280 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Norcorss |
GEORGIA |
30092 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Chapin Davis, Inc. |
28116 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 2 Village Square |
Suite 200 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Baltimore |
MARYLAND |
21210 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| VERMONT |
| RHODE ISLAND |
| HAWAII |
| NEW YORK |
| GEORGIA |
| NEVADA |
| CALIFORNIA |
| OKLAHOMA |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| OHIO |
| IDAHO |
| DELAWARE |
| WYOMING |
| FLORIDA |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| ARKANSAS |
| UTAH |
| ILLINOIS |
| INDIANA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| MINNESOTA |
| WISCONSIN |
| ARIZONA |
| KENTUCKY |
| MISSOURI |
| OREGON |
| MONTANA |
| MISSISSIPPI |
| LOUISIANA |
| NEW HAMPSHIRE |
| WASHINGTON |
| NEW JERSEY |
| NEW MEXICO |
| ALASKA |
| TEXAS |
| ALABAMA |
| COLORADO |
| PENNSYLVANIA |
| NORTH CAROLINA |
| NEBRASKA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| NFP Securities, Inc. |
42046 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 1250 Capital of Texas HWY S. |
#2-125 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Austin |
TEXAS |
78746 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Resource Horizons Group LLC |
104368 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 1350 Church St. EXT |
Third Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| Marietta |
GEORGIA |
30060 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| WISCONSIN |
| KENTUCKY |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Sandlapper Securities, LLC |
137906 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 300 E. North Street |
2nd Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| Greenville |
SOUTH CAROLINA |
29601 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| KENTUCKY |
| WISCONSIN |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Transam Securities, Inc. |
18923 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 111 Douglas Avenue |
| City |
State/Province/Country |
ZIP/Postal Code |
| Altamonte Springs |
FLORIDA |
32714 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| SOUTH CAROLINA |
| NEW YORK |
| INDIANA |
| GEORGIA |
| ARIZONA |
| OREGON |
| VIRGINIA |
| NEW JERSEY |
| MICHIGAN |
| OHIO |
| TEXAS |
| ALABAMA |
| COLORADO |
| FLORIDA |
| NORTH CAROLINA |
| MASSACHUSETTS |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Voya Financial Advisors, 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 |
IOWA |
50309 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Dempsey Lord Smith, LLC |
141238 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 901 N Broad Street |
Suite 400 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Rome |
GEORGIA |
30161 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| VIRGINIA |
| MICHIGAN |
| OHIO |
| WYOMING |
| FLORIDA |
| MARYLAND |
| MASSACHUSETTS |
| SOUTH CAROLINA |
| ARKANSAS |
| ILLINOIS |
| CONNECTICUT |
| MINNESOTA |
| WISCONSIN |
| KENTUCKY |
| ARIZONA |
| OREGON |
| MISSISSIPPI |
| LOUISIANA |
| NEW MEXICO |
| TEXAS |
| ALABAMA |
| COLORADO |
| NORTH CAROLINA |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| IBN Financial Services, Inc. |
42360 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 8035 Oswego Rd. |
| City |
State/Province/Country |
ZIP/Postal Code |
| Liverpool |
NEW YORK |
13090 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| VERMONT |
| NEW YORK |
| GEORGIA |
| TENNESSEE |
| CALIFORNIA |
| VIRGINIA |
| MICHIGAN |
| OHIO |
| DELAWARE |
| FLORIDA |
| MARYLAND |
| MASSACHUSETTS |
| SOUTH CAROLINA |
| ILLINOIS |
| CONNECTICUT |
| MINNESOTA |
| KENTUCKY |
| ARIZONA |
| WISCONSIN |
| NEW HAMPSHIRE |
| NEW JERSEY |
| TEXAS |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Merrimac Corporate Securities, Inc. |
35463 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 1150 Douglas Avenue |
Suite 1080 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Altamonte Springs |
FLORIDA |
32714 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| VERMONT |
| RHODE ISLAND |
| HAWAII |
| NEW YORK |
| GEORGIA |
| NEVADA |
| CALIFORNIA |
| OKLAHOMA |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| OHIO |
| IDAHO |
| WYOMING |
| IOWA |
| FLORIDA |
| MARYLAND |
| MASSACHUSETTS |
| SOUTH CAROLINA |
| UTAH |
| ILLINOIS |
| INDIANA |
| CONNECTICUT |
| WEST VIRGINIA |
| MINNESOTA |
| WISCONSIN |
| ARIZONA |
| KENTUCKY |
| MISSOURI |
| OREGON |
| MONTANA |
| MISSISSIPPI |
| LOUISIANA |
| WASHINGTON |
| NEW JERSEY |
| PUERTO RICO |
| NEW MEXICO |
| ALASKA |
| TEXAS |
| ALABAMA |
| COLORADO |
| PENNSYLVANIA |
| NORTH CAROLINA |
| NEBRASKA |
|
13. Offering and Sales Amounts
| Total Offering Amount |
$50,000,000
|
USD |
|
| Total Amount Sold |
$2,589,900
|
USD |
| Total Remaining to be Sold |
$47,410,100
|
USD |
|
Clarification of Response (if Necessary):
14. Investors
|
Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering. |
|
|
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: |
|
15. Sales Commissions & Finder's Fees Expenses
Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
| Sales Commissions |
$5,250,000
|
USD |
|
| Finders' Fees |
$0
|
USD |
|
Clarification of Response (if Necessary):
Assumes the maximum offering proceeds are received.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):
Assumes the maximum offering proceeds are received.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 |
| MDS 2014-Marcellus Shale Development, LP |
/s/ Michael D. Snyder |
Michael D. Snyder |
President |
2014-11-12 |
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.