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 |
0001631994 |
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Corporation |
X |
Limited Partnership |
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Limited Liability Company |
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General Partnership |
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Business Trust |
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Other (Specify) |
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Name of Issuer |
Payson Drilling Fund 2015 I, LP |
Jurisdiction of Incorporation/Organization |
TEXAS |
Year of Incorporation/Organization |
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Over Five Years Ago |
X |
Within Last Five Years (Specify Year) |
2014 |
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Yet to Be Formed |
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2. Principal Place of Business and Contact Information
Name of Issuer |
Payson Drilling Fund 2015 I, LP |
Street Address 1 |
Street Address 2 |
2652 FM 407 E |
SUITE 250 |
City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
BARTONVILLE |
TEXAS |
76226 |
940-455-5555 |
3. Related Persons
Last Name |
First Name |
Middle Name |
Griffin |
Matthew |
Carl |
Street Address 1 |
Street Address 2 |
2652 FM 407 E |
Suite 250 |
City |
State/Province/Country |
ZIP/PostalCode |
Bartonville |
TEXAS |
76226 |
Relationship: |
X |
Executive Officer |
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Director |
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Promoter |
Clarification of Response (if Necessary):
President of the Managing General Partner
Last Name |
First Name |
Middle Name |
Griffin |
William |
Daniel |
Street Address 1 |
Street Address 2 |
2652 FM 407 E |
Suite 250 |
City |
State/Province/Country |
ZIP/PostalCode |
Bartonville |
TEXAS |
76226 |
Relationship: |
X |
Executive Officer |
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Director |
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Promoter |
Clarification of Response (if Necessary):
Vice President of the Managing General Partner
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 |
X |
$1 - $1,000,000 |
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$1 - $5,000,000 |
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$1,000,001 - $5,000,000 |
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$5,000,001 - $25,000,000 |
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$5,000,001 - $25,000,000 |
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$25,000,001 - $50,000,000 |
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$25,000,001 - $100,000,000 |
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$50,000,001 - $100,000,000 |
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Over $100,000,000 |
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Over $100,000,000 |
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Decline to Disclose |
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Decline to Disclose |
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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 |
2015-01-29 |
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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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working interest in oil/gas well production |
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 |
$10,000
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USD |
12. Sales Compensation
Recipient |
Recipient CRD Number |
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None |
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Terry D. Harvey |
2364966 |
(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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PTX Securities, LLC |
7735 |
Street Address 1 |
Street Address 2 |
6221 Chapel Hill Rd. |
Suite 200 |
City |
State/Province/Country |
ZIP/Postal Code |
Plano |
TEXAS |
75093 |
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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Mark J Smith |
2683491 |
(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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EDI Financial Inc. |
15699 |
Street Address 1 |
Street Address 2 |
6112 McCart Ave. |
Suite 104 |
City |
State/Province/Country |
ZIP/Postal Code |
Fort Worth |
TEXAS |
76133 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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ARIZONA |
CALIFORNIA |
KENTUCKY |
OKLAHOMA |
TEXAS |
|
Recipient |
Recipient CRD Number |
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None |
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Michael Packman |
2518120 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Financial West Group |
16668 |
Street Address 1 |
Street Address 2 |
2 Roosevelt Ave |
Suite 101 |
City |
State/Province/Country |
ZIP/Postal Code |
Syosset |
NEW YORK |
11791 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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ARIZONA |
CALIFORNIA |
COLORADO |
CONNECTICUT |
DELAWARE |
DISTRICT OF COLUMBIA |
FLORIDA |
GEORGIA |
HAWAII |
ILLINOIS |
INDIANA |
IOWA |
KENTUCKY |
LOUISIANA |
MARYLAND |
MASSACHUSETTS |
MICHIGAN |
MINNESOTA |
MISSOURI |
MONTANA |
NEBRASKA |
NEVADA |
NEW HAMPSHIRE |
NEW JERSEY |
NEW YORK |
NORTH CAROLINA |
NORTH DAKOTA |
OHIO |
OKLAHOMA |
PENNSYLVANIA |
RHODE ISLAND |
SOUTH CAROLINA |
TENNESSEE |
TEXAS |
VIRGINIA |
WASHINGTON |
WISCONSIN |
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Recipient |
Recipient CRD Number |
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None |
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Norman Harp |
2480563 |
(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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Moloney Securities Co., Inc. |
38535 |
Street Address 1 |
Street Address 2 |
13537 Barrett Parkway Dr. |
#300 |
City |
State/Province/Country |
ZIP/Postal Code |
Manchester |
MISSOURI |
63021 |
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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Sara A. Ng |
2701165 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Financial West Group |
16668 |
Street Address 1 |
Street Address 2 |
1415 West 22nd Street |
Tower Floor |
City |
State/Province/Country |
ZIP/Postal Code |
Oak Brook |
ILLINOIS |
60523 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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ARIZONA |
CALIFORNIA |
ILLINOIS |
INDIANA |
MARYLAND |
MINNESOTA |
NEW JERSEY |
NEW YORK |
OREGON |
TENNESSEE |
WISCONSIN |
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Recipient |
Recipient CRD Number |
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None |
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Steven P. Sappington |
2335721 |
(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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G.A. Repple & Company |
17486 |
Street Address 1 |
Street Address 2 |
2341 Mt. Carmel Drive |
City |
State/Province/Country |
ZIP/Postal Code |
Waco |
TEXAS |
76710 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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ARIZONA |
ARKANSAS |
CALIFORNIA |
COLORADO |
GEORGIA |
KANSAS |
LOUISIANA |
MISSOURI |
NEW MEXICO |
OKLAHOMA |
TENNESSEE |
TEXAS |
WYOMING |
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Recipient |
Recipient CRD Number |
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None |
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Todd Gregory |
2473459 |
(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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D. H. Hill Securities LLLP |
41528 |
Street Address 1 |
Street Address 2 |
600 West Republic Rd. |
Ste. A116 |
City |
State/Province/Country |
ZIP/Postal Code |
Springfield |
MISSOURI |
65807 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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ARIZONA |
FLORIDA |
ILLINOIS |
KANSAS |
MISSOURI |
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Recipient |
Recipient CRD Number |
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None |
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Scott R. Mrozek |
2410838 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Financial West Group |
16668 |
Street Address 1 |
Street Address 2 |
2298 W. Horizon Ridge Pkwy |
Suite 106 |
City |
State/Province/Country |
ZIP/Postal Code |
Henderson |
NEVADA |
89052 |
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 D. Vallender |
4667608 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Financial West Group |
16668 |
Street Address 1 |
Street Address 2 |
2298 W. Horizon Ridge Pkwy |
Suite 106 |
City |
State/Province/Country |
ZIP/Postal Code |
Henderson |
NEVADA |
89052 |
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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Anders A. DeJounge |
2318841 |
(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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Security Research Associates Inc |
8200 |
Street Address 1 |
Street Address 2 |
100 Pine Street |
Suite 605 |
City |
State/Province/Country |
ZIP/Postal Code |
San Francisco |
CALIFORNIA |
94111 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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CALIFORNIA |
CONNECTICUT |
NEW JERSEY |
NEW YORK |
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Recipient |
Recipient CRD Number |
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None |
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Timothy Collins |
51366 |
(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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Security Research Associates |
8200 |
Street Address 1 |
Street Address 2 |
100 Pine Street |
Suite 605 |
City |
State/Province/Country |
ZIP/Postal Code |
San Francisco |
CALIFORNIA |
94111 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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ARIZONA |
CALIFORNIA |
COLORADO |
CONNECTICUT |
DELAWARE |
FLORIDA |
GEORGIA |
MARYLAND |
MASSACHUSETTS |
MINNESOTA |
MISSOURI |
MONTANA |
NEW JERSEY |
NEW YORK |
OHIO |
PENNSYLVANIA |
TEXAS |
VIRGINIA |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
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Bryan A. Repple |
3200280 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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G.A. Repple & Company |
17486 |
Street Address 1 |
Street Address 2 |
101 Normandy Road |
Suite 101 |
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 |
|
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ALABAMA |
ARKANSAS |
CALIFORNIA |
COLORADO |
CONNECTICUT |
DELAWARE |
FLORIDA |
GEORGIA |
INDIANA |
KANSAS |
LOUISIANA |
MONTANA |
NEW MEXICO |
NEW YORK |
NORTH CAROLINA |
OHIO |
OKLAHOMA |
PENNSYLVANIA |
SOUTH CAROLINA |
TEXAS |
VIRGINIA |
WASHINGTON |
WEST VIRGINIA |
|
Recipient |
Recipient CRD Number |
|
None |
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Anthony Cottone |
4394861 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Financial West Group |
16668 |
Street Address 1 |
Street Address 2 |
4800 NO. Federal Hwy, #301-A |
City |
State/Province/Country |
ZIP/Postal Code |
Boca Raton |
FLORIDA |
33431 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
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FLORIDA |
GEORGIA |
NEW YORK |
TEXAS |
|
Recipient |
Recipient CRD Number |
|
None |
|
Brian Corrigan |
4258969 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Moloney Securities Co. Inc |
38535 |
Street Address 1 |
Street Address 2 |
13537 Barrett Parkway Dr. |
#300 |
City |
State/Province/Country |
ZIP/Postal Code |
Manchester |
MISSOURI |
63021 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
COLORADO |
FLORIDA |
ILLINOIS |
KENTUCKY |
MASSACHUSETTS |
MISSOURI |
MONTANA |
TEXAS |
|
Recipient |
Recipient CRD Number |
|
None |
|
Darrell P. Roberts |
4244624 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Financial West Group |
16668 |
Street Address 1 |
Street Address 2 |
1120 W. Campbell |
Suite 101 |
City |
State/Province/Country |
ZIP/Postal Code |
Richardson |
TEXAS |
75080 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
NEW YORK |
OKLAHOMA |
TEXAS |
VIRGINIA |
|
Recipient |
Recipient CRD Number |
|
None |
|
David Brunswick Jr. |
2381997 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
G.A. Repple & Company |
17486 |
Street Address 1 |
Street Address 2 |
335 S. White Street |
Suite E |
City |
State/Province/Country |
ZIP/Postal Code |
Wake Forest |
NORTH CAROLINA |
27587 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
FLORIDA |
NEW YORK |
NORTH CAROLINA |
OHIO |
OKLAHOMA |
SOUTH CAROLINA |
TENNESSEE |
|
Recipient |
Recipient CRD Number |
|
None |
|
David N. Wood |
2306563 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Moloney Securities Co, Inc. |
38535 |
Street Address 1 |
Street Address 2 |
824 Main Street |
Suite A |
City |
State/Province/Country |
ZIP/Postal Code |
Mount Vernon |
ILLINOIS |
62864 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Douglas J. Hillenbrand |
4608869 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
MidAmerica Financial Services |
47351 |
Street Address 1 |
Street Address 2 |
2101 Glenview Lane NE |
City |
State/Province/Country |
ZIP/Postal Code |
Rochester |
MINNESOTA |
55906 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Glennon Cole |
1999588 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Moloney Securities Co., Inc |
38535 |
Street Address 1 |
Street Address 2 |
13537 Barrett Parkway Drive |
#300 |
City |
State/Province/Country |
ZIP/Postal Code |
Manchester |
MISSOURI |
63021 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Joel Woods |
1470780 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
EDI Financial Inc. |
15699 |
Street Address 1 |
Street Address 2 |
6112 McCart Ave. |
Suite 104 |
City |
State/Province/Country |
ZIP/Postal Code |
Fort Worth |
TEXAS |
76133 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
COLORADO |
FLORIDA |
GEORGIA |
ILLINOIS |
KENTUCKY |
MISSOURI |
NEW MEXICO |
OKLAHOMA |
SOUTH CAROLINA |
TENNESSEE |
TEXAS |
|
Recipient |
Recipient CRD Number |
|
None |
|
John Poolman |
735316 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
DH Hill Securities LLLP |
41528 |
Street Address 1 |
Street Address 2 |
7821 FM 1960 E |
Suite B |
City |
State/Province/Country |
ZIP/Postal Code |
Humble |
TEXAS |
77346 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
John Starke Sr. |
3154774 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Financial West Group |
16668 |
Street Address 1 |
Street Address 2 |
312 Lightfoot Road |
Suite B |
City |
State/Province/Country |
ZIP/Postal Code |
Williamsburg |
VIRGINIA |
23188 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
FLORIDA |
GEORGIA |
IDAHO |
KENTUCKY |
MAINE |
MARYLAND |
MICHIGAN |
MISSISSIPPI |
MISSOURI |
NEW JERSEY |
NEW YORK |
NORTH CAROLINA |
OHIO |
OKLAHOMA |
OREGON |
PENNSYLVANIA |
SOUTH CAROLINA |
TENNESSEE |
TEXAS |
VERMONT |
VIRGINIA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Joseph Merback |
2156180 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Financial West Group |
16668 |
Street Address 1 |
Street Address 2 |
4510 E. Thousand Oaks Blvd. |
City |
State/Province/Country |
ZIP/Postal Code |
Westlake Village |
CALIFORNIA |
91362 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
FLORIDA |
NEVADA |
NEW JERSEY |
PENNSYLVANIA |
SOUTH CAROLINA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Kurt Johnson |
2008977 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
MidAmerica Financial Services Inc. |
47351 |
Street Address 1 |
Street Address 2 |
11201 Nall Ave |
Suite 150 |
City |
State/Province/Country |
ZIP/Postal Code |
Leawood |
KANSAS |
66211 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
INDIANA |
IOWA |
KANSAS |
MISSOURI |
TEXAS |
|
Recipient |
Recipient CRD Number |
|
None |
|
Jeffrey Arburn |
1475817 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Whitehall-Parker Securities, Inc. |
10608 |
Street Address 1 |
Street Address 2 |
880 East Campbell Ave |
Suite 206 |
City |
State/Province/Country |
ZIP/Postal Code |
Campbell |
CALIFORNIA |
95008 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
NEVADA |
NEW YORK |
OREGON |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Roy A. Williams Sr. |
1069297 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
EDI Financial Inc |
15699 |
Street Address 1 |
Street Address 2 |
3200 Main Street |
City |
State/Province/Country |
ZIP/Postal Code |
Stratford |
CONNECTICUT |
06614 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CONNECTICUT |
HAWAII |
NEVADA |
NEW JERSEY |
NEW YORK |
RHODE ISLAND |
|
Recipient |
Recipient CRD Number |
|
None |
|
Scott L. Olson |
711256 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Financial West Group |
16668 |
Street Address 1 |
Street Address 2 |
3682 N. Wickham Rd, |
Suite C |
City |
State/Province/Country |
ZIP/Postal Code |
Melbourne |
FLORIDA |
32935 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
CONNECTICUT |
FLORIDA |
GEORGIA |
MICHIGAN |
MINNESOTA |
NEVADA |
NEW YORK |
TENNESSEE |
UTAH |
VIRGINIA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Alan T. Lane |
2463160 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Financial West Group |
16668 |
Street Address 1 |
Street Address 2 |
11801 Sandy Bluff Drive |
City |
State/Province/Country |
ZIP/Postal Code |
Henrico |
VIRGINIA |
23233 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
FLORIDA |
OHIO |
TEXAS |
VIRGINIA |
WISCONSIN |
|
Recipient |
Recipient CRD Number |
|
None |
|
George Phelps |
362302 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
DH Hill Securities, LLLP |
41528 |
Street Address 1 |
Street Address 2 |
112 E. 2nd Street |
Suite 100 |
City |
State/Province/Country |
ZIP/Postal Code |
Wayne |
NEBRASKA |
68787 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
David Winner |
4775864 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
CFD Investments Inc. |
25427 |
Street Address 1 |
Street Address 2 |
3606 Dover Road |
City |
State/Province/Country |
ZIP/Postal Code |
Wooster |
OHIO |
44691 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
ILLINOIS |
INDIANA |
NEVADA |
OHIO |
PENNSYLVANIA |
SOUTH CAROLINA |
|
Recipient |
Recipient CRD Number |
|
None |
|
H. Dewey Thompson |
1694244 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
CFD Investments Inc |
25427 |
Street Address 1 |
Street Address 2 |
218 Cambridge Road |
City |
State/Province/Country |
ZIP/Postal Code |
Coshocton |
OHIO |
43812 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
FLORIDA |
NORTH CAROLINA |
OHIO |
PENNSYLVANIA |
TEXAS |
|
Recipient |
Recipient CRD Number |
|
None |
|
James Weldon Wright |
2460998 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
DH Hill Securities, LLLP |
41528 |
Street Address 1 |
Street Address 2 |
1543 Green Oak Place |
Suite 100 |
City |
State/Province/Country |
ZIP/Postal Code |
Kingwood |
TEXAS |
77339 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Mick Owens |
1437001 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
CFD Investments, Inc. |
25427 |
Street Address 1 |
Street Address 2 |
2704 S. Goyer Rd |
City |
State/Province/Country |
ZIP/Postal Code |
Kokomo |
INDIANA |
46902 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ALABAMA |
ARIZONA |
CALIFORNIA |
COLORADO |
CONNECTICUT |
DELAWARE |
FLORIDA |
IDAHO |
ILLINOIS |
INDIANA |
IOWA |
KANSAS |
KENTUCKY |
MICHIGAN |
MINNESOTA |
MISSISSIPPI |
MISSOURI |
NORTH CAROLINA |
OHIO |
OKLAHOMA |
PENNSYLVANIA |
SOUTH CAROLINA |
TENNESSEE |
VIRGINIA |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Ricky L. Bain |
4525494 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
CFD Investments Inc. |
25427 |
Street Address 1 |
Street Address 2 |
5145 SW Raintree Pkwy. |
City |
State/Province/Country |
ZIP/Postal Code |
Lees Summit |
MISSOURI |
64082 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
CALIFORNIA |
COLORADO |
FLORIDA |
GEORGIA |
ILLINOIS |
INDIANA |
IOWA |
KANSAS |
MAINE |
MICHIGAN |
MISSOURI |
NEBRASKA |
OKLAHOMA |
SOUTH CAROLINA |
TENNESSEE |
TEXAS |
UTAH |
VIRGINIA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Brett Bacon |
6080375 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
CFD Investments Inc. |
25427 |
Street Address 1 |
Street Address 2 |
8730 Bourgade Ave |
Suite 100 |
City |
State/Province/Country |
ZIP/Postal Code |
Lenexa |
KANSAS |
66219 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
David Rick Colglazier |
1029660 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
CFD Investments Inc. |
25427 |
Street Address 1 |
Street Address 2 |
904 Washington St. |
City |
State/Province/Country |
ZIP/Postal Code |
Columbus |
INDIANA |
47201 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
COLORADO |
FLORIDA |
ILLINOIS |
INDIANA |
IOWA |
KANSAS |
KENTUCKY |
OHIO |
SOUTH CAROLINA |
SOUTH DAKOTA |
TENNESSEE |
VIRGINIA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Kenneth Zupo |
4509502 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Whitehall Parker Securities Inc. |
10608 |
Street Address 1 |
Street Address 2 |
1990 N. California Blvd. |
8th Floor |
City |
State/Province/Country |
ZIP/Postal Code |
Walnut Creek |
CALIFORNIA |
94596 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
NEVADA |
NEW YORK |
TEXAS |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Benjamin Todd Glenn |
5587328 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
CFD Investments Inc. |
25427 |
Street Address 1 |
Street Address 2 |
3955 SIngers Glen Road |
City |
State/Province/Country |
ZIP/Postal Code |
Harrisonburg |
VIRGINIA |
22802 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
KENTUCKY |
MARYLAND |
OHIO |
VIRGINIA |
WEST VIRGINIA |
|
Recipient |
Recipient CRD Number |
|
None |
|
David L. Drummond |
3214329 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
CFD Investments Inc. |
25427 |
Street Address 1 |
Street Address 2 |
1409 Portage Street NW |
Center Suite |
City |
State/Province/Country |
ZIP/Postal Code |
North Canton |
OHIO |
44720 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Charles T. Stevens |
1698058 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
DH Hill Securities |
41528 |
Street Address 1 |
Street Address 2 |
2744 US 1 South |
City |
State/Province/Country |
ZIP/Postal Code |
St. Augustine |
FLORIDA |
32086 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
FLORIDA |
GEORGIA |
INDIANA |
MASSACHUSETTS |
MICHIGAN |
NEW YORK |
NORTH CAROLINA |
TEXAS |
|
Recipient |
Recipient CRD Number |
|
None |
|
James Guyot |
4517834 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
CFD Investments Inc. |
25427 |
Street Address 1 |
Street Address 2 |
8730 Bourgage |
Suite 100 |
City |
State/Province/Country |
ZIP/Postal Code |
Lenexa |
KANSAS |
66219 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
ARKANSAS |
CALIFORNIA |
COLORADO |
FLORIDA |
ILLINOIS |
INDIANA |
IOWA |
KANSAS |
MASSACHUSETTS |
MINNESOTA |
MISSOURI |
NEBRASKA |
NEVADA |
NORTH CAROLINA |
OHIO |
SOUTH CAROLINA |
TEXAS |
UTAH |
WASHINGTON |
|
13. Offering and Sales Amounts
Total Offering Amount |
$32,640,000
|
USD |
|
Total Amount Sold |
$4,486,437
|
USD |
Total Remaining to be Sold |
$28,153,563
|
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 |
$2,404,075
|
USD |
|
Finders' Fees |
$0
|
USD |
|
Clarification of Response (if Necessary):
Commissions (amount represented above) also includes the managing broker dealer fee and due diligence fee16. 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 |
Payson Drilling Fund 2015 I, LP |
William D. Griffin |
William D. Griffin |
VP of Managing General Partner |
2015-08-06 |
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.