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 |
0001637103 |
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Corporation |
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Limited Partnership |
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Limited Liability Company |
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General Partnership |
X |
Business Trust |
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Other (Specify) |
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Name of Issuer |
Austin Lakeshore Multifamily DST |
Jurisdiction of Incorporation/Organization |
DELAWARE |
Year of Incorporation/Organization |
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Over Five Years Ago |
X |
Within Last Five Years (Specify Year) |
2015 |
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Yet to Be Formed |
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2. Principal Place of Business and Contact Information
Name of Issuer |
Austin Lakeshore Multifamily DST |
Street Address 1 |
Street Address 2 |
2901 BUTTERFIELD ROAD |
City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
OAK BROOK |
ILLINOIS |
60523 |
630-218-4916 |
3. Related Persons
Last Name |
First Name |
Middle Name |
Inland Private Capital Corporation |
N/A |
Street Address 1 |
Street Address 2 |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/PostalCode |
Oak Brook |
ILLINOIS |
60523 |
Relationship: |
X |
Executive Officer |
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Director |
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Promoter |
Clarification of Response (if Necessary):
Sponsor of the Issuer.
Last Name |
First Name |
Middle Name |
Austin Lakeshore Multifamily Exchange, L.L.C. |
N/A |
Street Address 1 |
Street Address 2 |
c/o Inland Private Capital Corporation |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/PostalCode |
Oak Brook |
ILLINOIS |
60523 |
Relationship: |
X |
Executive Officer |
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Director |
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Promoter |
Clarification of Response (if Necessary):
Signatory Trustee and Manager of the Issuer.
Last Name |
First Name |
Middle Name |
Austin Lakeshore Multifamily, L.L.C. |
N/A |
Street Address 1 |
Street Address 2 |
c/o Inland Private Capital Corporation |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/PostalCode |
Oak Brook |
ILLINOIS |
60523 |
Relationship: |
X |
Executive Officer |
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Director |
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Promoter |
Clarification of Response (if Necessary):
Depositor of the Issuer.
4. Industry Group
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Agriculture |
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Banking & Financial Services |
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Commercial Banking |
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Insurance |
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Investing |
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Investment Banking |
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Pooled Investment Fund |
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Is the issuer registered as an investment company under the Investment Company Act of 1940? |
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Other Banking & Financial Services |
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Business Services |
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Energy |
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Health Care |
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Manufacturing |
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Real Estate |
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Retailing |
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Restaurants |
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Technology |
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Travel |
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Tourism & Travel Services |
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Other |
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5. Issuer Size
Revenue Range |
OR |
Aggregate Net Asset Value Range |
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No Revenues |
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No Aggregate Net Asset Value |
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$1 - $1,000,000 |
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$1 - $5,000,000 |
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$1,000,001 - $5,000,000 |
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$5,000,001 - $25,000,000 |
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$5,000,001 - $25,000,000 |
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$25,000,001 - $50,000,000 |
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$25,000,001 - $100,000,000 |
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$50,000,001 - $100,000,000 |
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Over $100,000,000 |
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Over $100,000,000 |
X |
Decline to Disclose |
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Decline to Disclose |
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Not Applicable |
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Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
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Rule 504(b)(1) (not (i), (ii) or (iii)) |
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Rule 504 (b)(1)(i) |
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Rule 504 (b)(1)(ii) |
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Rule 504 (b)(1)(iii) |
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Rule 505 |
| X |
Rule 506(b) |
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Rule 506(c) |
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Securities Act Section 4(a)(5) |
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Investment Company Act Section 3(c) |
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Section 3(c)(1) |
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Section 3(c)(9) |
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Section 3(c)(2) |
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Section 3(c)(10) |
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Section 3(c)(3) |
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Section 3(c)(11) |
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Section 3(c)(4) |
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Section 3(c)(12) |
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Section 3(c)(5) |
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Section 3(c)(13) |
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Section 3(c)(6) |
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Section 3(c)(14) |
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7. Type of Filing
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New Notice |
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Date of First Sale |
2015-03-19 |
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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)
X |
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 |
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Other (describe) |
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10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
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Clarification of Response (if Necessary):
11. Minimum Investment
Minimum investment accepted from any outside investor |
$25,000
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USD |
12. Sales Compensation
Recipient |
Recipient CRD Number |
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None |
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John P. Harvey Jr. |
4227692 |
(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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Sandlapper Securities LLC |
137906 |
Street Address 1 |
Street Address 2 |
1 City Boulevard West |
Suite 870 |
City |
State/Province/Country |
ZIP/Postal Code |
Orange |
CALIFORNIA |
92868 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Concorde Investment Services LLC |
151604 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Concorde Investment Services LLC |
151604 |
Street Address 1 |
Street Address 2 |
1120 East Long Lake Road |
Suite 100 |
City |
State/Province/Country |
ZIP/Postal Code |
Troy |
MICHIGAN |
48085 |
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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CALIFORNIA |
ILLINOIS |
MICHIGAN |
OREGON |
PENNSYLVANIA |
WASHINGTON |
WISCONSIN |
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Recipient |
Recipient CRD Number |
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None |
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Inland Securities Corporation |
15807 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Inland Securities Corporation |
15807 |
Street Address 1 |
Street Address 2 |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/Postal Code |
Oak Brook |
ILLINOIS |
60523 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Joral Schmalle |
4491484 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Sigma Financial Corporation |
14303 |
Street Address 1 |
Street Address 2 |
1009 Amito Dr. |
City |
State/Province/Country |
ZIP/Postal Code |
Berkeley |
CALIFORNIA |
94705 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Trawnegan Gall |
6266415 |
(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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Sandlapper Securities LLC |
137906 |
Street Address 1 |
Street Address 2 |
1 City Boulevard West |
Suite 870 |
City |
State/Province/Country |
ZIP/Postal Code |
Orange |
CALIFORNIA |
92868 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Samuel T. Green |
5322474 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Sigma Financial Corporation |
14303 |
Street Address 1 |
Street Address 2 |
780 N. Watters Road |
Suite 110 |
City |
State/Province/Country |
ZIP/Postal Code |
Allen |
TEXAS |
75013 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Christina S. Nielson |
4866971 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Primex |
29394 |
Street Address 1 |
Street Address 2 |
650 Town Center |
Suite 1400 |
City |
State/Province/Country |
ZIP/Postal Code |
Costa Mesa |
CALIFORNIA |
92626 |
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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CALIFORNIA |
MINNESOTA |
NEVADA |
NEW MEXICO |
OKLAHOMA |
TEXAS |
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Recipient |
Recipient CRD Number |
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None |
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Peter A. Finnegan |
1336798 |
(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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Phalanx Trading LLC |
146993 |
Street Address 1 |
Street Address 2 |
65 Washington Street |
City |
State/Province/Country |
ZIP/Postal Code |
Hanover |
MASSACHUSETTS |
02339 |
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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Joseph G. Michaletz |
1327534 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Triad Advisors Inc. |
25803 |
Street Address 1 |
Street Address 2 |
150 St. Andrews Ct. |
Suite 210 |
City |
State/Province/Country |
ZIP/Postal Code |
Mankato |
MINNESOTA |
56001 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Jason H. Freeman |
2995587 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Triad Advisors Inc. |
25803 |
Street Address 1 |
Street Address 2 |
8 Pelham Road |
City |
State/Province/Country |
ZIP/Postal Code |
Greenville |
SOUTH CAROLINA |
29615 |
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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Timothy R. Tehan |
3230535 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Triad Advisors Inc. |
25803 |
Street Address 1 |
Street Address 2 |
7735 Old Georgetown Road |
Suite 800 |
City |
State/Province/Country |
ZIP/Postal Code |
Bethesda |
MARYLAND |
20814 |
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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Alex Filippini |
5043549 |
(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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Silver Portal Capital LLC |
114290 |
Street Address 1 |
Street Address 2 |
12265 El Camino Real |
Suite 230 |
City |
State/Province/Country |
ZIP/Postal Code |
San Diego |
CALIFORNIA |
92130 |
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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DFPG Investments Inc. |
155576 |
(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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DFPG Investments Inc. |
155576 |
Street Address 1 |
Street Address 2 |
406 W. South Jordan Pkwy. |
Suite 240 |
City |
State/Province/Country |
ZIP/Postal Code |
South Jordan |
UTAH |
84095 |
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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CALIFORNIA |
NEW JERSEY |
NEW YORK |
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Recipient |
Recipient CRD Number |
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None |
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Robert A. Horning |
2311640 |
(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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Centaurus Financial Inc. |
30833 |
Street Address 1 |
Street Address 2 |
6633 S. Halm Avenue |
City |
State/Province/Country |
ZIP/Postal Code |
Los Angeles |
CALIFORNIA |
90056 |
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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John H. Scully |
803539 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
|
None |
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Centaurus Financial Inc. |
30833 |
Street Address 1 |
Street Address 2 |
450 Skokie Blvd. |
Suite 301 |
City |
State/Province/Country |
ZIP/Postal Code |
Northbrook |
ILLINOIS |
60062 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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Recipient |
Recipient CRD Number |
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None |
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Robert J. Krakower |
2075184 |
(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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Centaurus Financial Inc. |
30833 |
Street Address 1 |
Street Address 2 |
7777 Center Avenue |
Suite 120 |
City |
State/Province/Country |
ZIP/Postal Code |
Huntington Beach |
CALIFORNIA |
92647 |
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 A. Keen |
3178657 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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The Strategic Financial Alliance Inc. |
126514 |
Street Address 1 |
Street Address 2 |
10300 Eaton Place |
Suite 470 |
City |
State/Province/Country |
ZIP/Postal Code |
Fairfax |
VIRGINIA |
22030 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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Recipient |
Recipient CRD Number |
|
None |
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Patrick Tantoco |
5249850 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Independent Financial Group LLC |
7717 |
Street Address 1 |
Street Address 2 |
1585 Kapiolani Blvd. |
Suite 1600 |
City |
State/Province/Country |
ZIP/Postal Code |
Honolulu |
HAWAII |
96814 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
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Recipient |
Recipient CRD Number |
|
None |
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Christopher Vizzi |
5095868 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Independent Financial Group LLC |
7717 |
Street Address 1 |
Street Address 2 |
4041 MacArthur Blvd. |
Suite 240 |
City |
State/Province/Country |
ZIP/Postal Code |
Newport Beach |
CALIFORNIA |
92660 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
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Shawn Williamson |
2829022 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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The Strategic Financial Alliance Inc. |
126514 |
Street Address 1 |
Street Address 2 |
374 Maple Avenue E |
Suite 204 |
City |
State/Province/Country |
ZIP/Postal Code |
Vienna |
VIRGINIA |
22180 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
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Recipient |
Recipient CRD Number |
|
None |
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Lincoln Financial Advisors Corporation |
3978 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Lincoln Financial Advisors Corporation |
3978 |
Street Address 1 |
Street Address 2 |
1300 South Clinton Street |
Suite 150 |
City |
State/Province/Country |
ZIP/Postal Code |
Fort Wayne |
INDIANA |
46802 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
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Recipient |
Recipient CRD Number |
|
None |
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David B. Levinson |
705929 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Newport Coast Securities Inc. |
16944 |
Street Address 1 |
Street Address 2 |
18872 MacArthur Blvd. |
Suite 100 |
City |
State/Province/Country |
ZIP/Postal Code |
Irvine |
CALIFORNIA |
92612 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Eric A. Bicknese |
2829451 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Nationwide Planning Associates Inc. |
31029 |
Street Address 1 |
Street Address 2 |
375 Route 32 |
City |
State/Province/Country |
ZIP/Postal Code |
Central Valley |
NEW YORK |
10917 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
John W. Goff |
1919761 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Investacorp Inc. |
7684 |
Street Address 1 |
Street Address 2 |
770 North Cotner Blvd. |
Suite 401 |
City |
State/Province/Country |
ZIP/Postal Code |
Lincoln |
NEBRASKA |
68505 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Jennifer Arnold |
4973672 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
1st Global Capital Corp. |
30349 |
Street Address 1 |
Street Address 2 |
915 N. Jefferson Avenue |
City |
State/Province/Country |
ZIP/Postal Code |
Mt. Pleasant |
TEXAS |
75455-3259 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Edwin T. Suzuki |
4851317 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Newport Coast Securities Inc. |
16944 |
Street Address 1 |
Street Address 2 |
18872 MacArthur Blvd. |
Suite 100 |
City |
State/Province/Country |
ZIP/Postal Code |
Irvine |
CALIFORNIA |
92612 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Mark J. Rychel |
2262582 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Lincoln Financial Securities Corporation |
3870 |
Street Address 1 |
Street Address 2 |
2000 Corporate Drive |
Suite 350 |
City |
State/Province/Country |
ZIP/Postal Code |
Wexford |
PENNSYLVANIA |
15090 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
13. Offering and Sales Amounts
Total Offering Amount |
$22,351,864
|
USD |
|
Total Amount Sold |
$22,351,864
|
USD |
Total Remaining to be Sold |
$0
|
USD |
|
Clarification of Response (if Necessary):
14. Investors
|
Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering. |
|
|
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: |
|
15. Sales Commissions & Finder's Fees Expenses
Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
Sales Commissions |
$1,765,797
|
USD |
|
Finders' Fees |
$0
|
USD |
|
Clarification of Response (if Necessary):
Amount includes selling commissions, dealer fee and placement agent fee.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):
Transaction based fees accruing to related parties.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).
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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 |
Austin Lakeshore Multifamily DST |
/s/ Keith Lampi |
Keith Lampi |
President of Member of Signatory Trustee |
2015-07-22 |
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.