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 Intentional misstatements or omissions of fact constitute federal criminal violations. See 18 U.S.C. 1001.
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 |
| 0001648484 |
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| |
Corporation |
| |
Limited Partnership |
| |
Limited Liability Company |
| |
General Partnership |
| X |
Business Trust |
| |
Other (Specify) |
|
| Name of Issuer |
| Park Creek Steeple Multifamily DST |
| Jurisdiction of Incorporation/Organization |
| DELAWARE |
| Year of Incorporation/Organization |
| |
Over Five Years Ago |
| X |
Within Last Five Years (Specify Year) |
2015 |
| |
Yet to Be Formed |
|
2. Principal Place of Business and Contact Information
| Name of Issuer |
| Park Creek Steeple 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 |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Sponsor of the Issuer.
| Last Name |
First Name |
Middle Name |
| Park Creek Steeple 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 |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Signatory Trustee of the Issuer.
| Last Name |
First Name |
Middle Name |
| Park Creek Steeple 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 |
|
Director |
|
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 |
| |
No Revenues |
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No Aggregate Net Asset Value |
| |
$1 - $1,000,000 |
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$1 - $5,000,000 |
| |
$1,000,001 - $5,000,000 |
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$5,000,001 - $25,000,000 |
| |
$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 |
| |
Over $100,000,000 |
|
Over $100,000,000 |
| X |
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)) |
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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 |
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| 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
| |
New Notice |
|
Date of First Sale |
2015-08-07 |
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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 |
| |
Debt |
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Tenant-in-Common Securities |
| |
Option, Warrant or Other Right to Acquire Another Security |
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Mineral Property Securities |
| |
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
|
USD |
12. Sales Compensation
| Recipient |
| Recipient CRD Number |
|
None |
|
| Christina S. Nielson |
4866971 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Primex |
29394 |
| Street Address 1 |
Street Address 2 |
| 650 Town Center Drive |
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 |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| NEVADA |
|
| Recipient |
| Recipient CRD Number |
|
None |
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| Corbin Thomas |
4234748 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| McDermott Investment Services LLC |
154926 |
| Street Address 1 |
Street Address 2 |
| 101 Main Street |
Suite 260 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Huntington Beach |
CALIFORNIA |
92648 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Inland Securities Corporation |
15807 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| 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 |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| ILLINOIS |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Troy Thomas |
4691720 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| McDermott Investment Services LLC |
154926 |
| Street Address 1 |
Street Address 2 |
| 101 Main Street |
Suite 260 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Huntington Beach |
CALIFORNIA |
92648 |
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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| Concorde Investment Services LLC |
151604 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Concorde Investment Services LLC |
151604 |
| Street Address 1 |
Street Address 2 |
| 19500 Victor Parkway |
Suite 550 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Livonia |
MICHIGAN |
48152 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| MICHIGAN |
| NEW YORK |
| NORTH CAROLINA |
| OREGON |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Investacorp Inc. |
7684 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Investacorp Inc. |
7684 |
| Street Address 1 |
Street Address 2 |
| 4400 Biscayne Blvd. |
11th Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| Miami |
FLORIDA |
33137 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| ILLINOIS |
| IOWA |
| NEBRASKA |
| OHIO |
|
| Recipient |
| Recipient CRD Number |
|
None |
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| Ramsey K. Reich |
1491924 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| ProEquities Inc. |
15708 |
| Street Address 1 |
Street Address 2 |
| 1747 Reese Street |
Suite 215 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Birmingham |
ALABAMA |
35209 |
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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| Jules Spindler |
823214 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| ProEquities Inc. |
15708 |
| Street Address 1 |
Street Address 2 |
| 100 Washington Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Robinson |
ILLINOIS |
62454-0577 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
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| Recipient |
| Recipient CRD Number |
|
None |
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| James A. Davenport |
2200818 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Triad Advisors Inc. |
25803 |
| Street Address 1 |
Street Address 2 |
| 505 Olive Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Winston-Salem |
NORTH CAROLINA |
27103 |
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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| Joseph G. Michaletz |
1327534 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Triad Advisors Inc. |
25803 |
| Street Address 1 |
Street Address 2 |
| 5155 Peachtree Parkway |
Suite 3220 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Norcross |
GEORGIA |
30092 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| FLORIDA |
| ILLINOIS |
| IOWA |
| OKLAHOMA |
| TEXAS |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Timothy W. Greer |
731658 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Triad Advisors Inc. |
25803 |
| Street Address 1 |
Street Address 2 |
| 100 Winners Circle N. |
Suite 105 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Brentwood |
TENNESSEE |
37027-1064 |
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 |
|
| Crown Capital Securities LP |
6312 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Crown Capital Securities LP |
6312 |
| Street Address 1 |
Street Address 2 |
| 725 Town & Country Road |
Suite 530 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Orange |
CALIFORNIA |
92868 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| FLORIDA |
| IOWA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| 1st Global Capital Corp. |
30349 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| 1st Global Capital Corp. |
30349 |
| Street Address 1 |
Street Address 2 |
| 12750 Merit Drive |
Suite 1200 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Dallas |
TEXAS |
75251 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| NORTH CAROLINA |
| OREGON |
| TEXAS |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| John M. Donnelly |
4838854 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Transamerica Financial Advisors Inc. |
16164 |
| Street Address 1 |
Street Address 2 |
| 570 Carillon Parkway |
| City |
State/Province/Country |
ZIP/Postal Code |
| St. Petersburg |
FLORIDA |
33716-9053 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Mitchal O'Hare |
4561108 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Transamerica Financial Advisors Inc. |
16164 |
| Street Address 1 |
Street Address 2 |
| 515 S. Howes Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Fort Collins |
COLORADO |
80521 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Sigrid Daugaard |
5481583 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Transamerica Financial Advisors Inc. |
16164 |
| Street Address 1 |
Street Address 2 |
| 515 S. Howes Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Fort Collins |
COLORADO |
80521 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Thomas R. Bates |
1037294 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Cambridge Investment Research Inc. |
39543 |
| Street Address 1 |
Street Address 2 |
| 4656 Executive Drive |
Suite 100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Columbus |
OHIO |
43220 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Raymond Harrison |
2287436 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Cambridge Investment Research Inc. |
39543 |
| Street Address 1 |
Street Address 2 |
| 1013 Galleria Blvd. |
Suite 280 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Roseville |
CALIFORNIA |
95678 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Casey Pond |
5563524 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Cambridge Investment Research Inc. |
39543 |
| Street Address 1 |
Street Address 2 |
| 9777 Fairway Drive |
Suite D |
| City |
State/Province/Country |
ZIP/Postal Code |
| Powell |
OHIO |
43065 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| DFPG Investments Inc. |
155576 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| 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 |
|
All States |
|
|
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| NEW JERSEY |
| PENNSYLVANIA |
| UTAH |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| John J. DiDomenico |
2577481 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Calton & Associates Inc. |
20999 |
| Street Address 1 |
Street Address 2 |
| 725 Primera Blvd. |
Suite 110 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lake Mary |
FLORIDA |
32746 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Justin Lowy |
5935993 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| National Securities Corporation |
7569 |
| Street Address 1 |
Street Address 2 |
| 43 Corporate Park |
Suites 201 & 100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Irvine |
CALIFORNIA |
92606 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Carmen D. Morrone |
1898874 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| National Securities Corporation |
7569 |
| Street Address 1 |
Street Address 2 |
| 901 SW Martin Down Blvd. |
Suite 306 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Palm City |
FLORIDA |
34990 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Dwight Kay |
5376903 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Colorado Financial Service Corporation |
104343 |
| Street Address 1 |
Street Address 2 |
| 304 Inverness Way South |
Suite 355 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Centennial |
COLORADO |
80112 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| MINNESOTA |
| MISSOURI |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Salvatore Dispenziere |
4386928 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Cadaret Grant & Co. Inc. |
10641 |
| Street Address 1 |
Street Address 2 |
| 46 Wilson Drive |
| City |
State/Province/Country |
ZIP/Postal Code |
| Sparta |
NEW JERSEY |
07871 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Michael Cruz |
2130750 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Courtlandt Securities Corporation |
137356 |
| Street Address 1 |
Street Address 2 |
| 3991 MacArthur Blvd. |
Suite 320 |
| 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 |
|
| Steven Guglielmetti |
2143211 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Commonwealth Financial Network |
8032 |
| Street Address 1 |
Street Address 2 |
| 16637 Fishhawk Blvd. |
Suite 103 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lithia |
FLORIDA |
33547 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Joshua B. Heims |
4676576 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| United Planners Financial Services of America |
20804 |
| Street Address 1 |
Street Address 2 |
| 5920 Main Street |
Suite 600 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Williamsville |
NEW YORK |
14221 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Timothy J. Sherer |
833618 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Sandlapper Securities LLC |
137906 |
| Street Address 1 |
Street Address 2 |
| 1754 Technology Drive |
Suite 236 |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Jose |
CALIFORNIA |
95110 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Ryan Sherer |
5952617 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Sandlapper Securities LLC |
137906 |
| Street Address 1 |
Street Address 2 |
| 1754 Technology Drive |
Suite 236 |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Jose |
CALIFORNIA |
95110 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Edwin 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 |
|
| Ivar Jones |
2729076 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Ameritas Investment Corp. |
14869 |
| Street Address 1 |
Street Address 2 |
| 847 Sansome Street |
4th Floor |
| 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 |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Kirk Dobson |
4049865 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Ameritas Investment Corp. |
14869 |
| Street Address 1 |
Street Address 2 |
| 3150 Crow Canyon Place |
#200 |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Ramon |
CALIFORNIA |
94583 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Matthew C. Weinheimer |
2917501 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Ameritas Investment Corp. |
14869 |
| Street Address 1 |
Street Address 2 |
| 4101 Parkstone Heights Drive |
Suite 210 |
| 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 |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Joral Schmalle |
4491484 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Sigma Financial Corporation |
14303 |
| Street Address 1 |
Street Address 2 |
| 1009 Amito Drive |
| City |
State/Province/Country |
ZIP/Postal Code |
| Berkeley |
CALIFORNIA |
94705 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Tomas Velken |
1600404 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Sigma Financial Corporation |
14303 |
| Street Address 1 |
Street Address 2 |
| 1078 Carol Lane |
#203 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lafayette |
CALIFORNIA |
94549 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| John Montemarano |
1089597 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Sigma Financial Corporation |
14303 |
| Street Address 1 |
Street Address 2 |
| 3490 East Lake Road |
Suite B |
| City |
State/Province/Country |
ZIP/Postal Code |
| Palm Harbor |
FLORIDA |
34685 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| James Ehrenkrook |
841189 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Independent Financial Group LLC |
7717 |
| Street Address 1 |
Street Address 2 |
| 1551 Livingston Avenue |
Suite 102 |
| City |
State/Province/Country |
ZIP/Postal Code |
| West Saint Paul |
MINNESOTA |
55127 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| David Ehrenkrook |
5118558 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Independent Financial Group LLC |
7717 |
| Street Address 1 |
Street Address 2 |
| 1551 Livingston Avenue |
Suite 102 |
| City |
State/Province/Country |
ZIP/Postal Code |
| West Saint Paul |
MINNESOTA |
55127 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Donovan Kelly |
2622366 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Independent Financial Group LLC |
7717 |
| Street Address 1 |
Street Address 2 |
| 3115 1st Avenue N. |
| City |
State/Province/Country |
ZIP/Postal Code |
| Billings |
MONTANA |
59102 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Centaurus Financial Inc. |
30833 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Centaurus Financial Inc. |
30833 |
| Street Address 1 |
Street Address 2 |
| 2300 E. Katella Avenue |
Suite 200 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Anaheim |
CALIFORNIA |
92806 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| IDAHO |
| NEW YORK |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Jeffrey J. McKay |
818303 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Voya Financial Advisors Inc. |
2882 |
| Street Address 1 |
Street Address 2 |
| 6000 Southcenter Blvd. |
Suite 70 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Tukwila |
WASHINGTON |
98188 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Matthew Rubis |
5863109 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Parkland Securities LLC |
115368 |
| Street Address 1 |
Street Address 2 |
| 1131 Westrac Drive |
Suite 204 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Fargo |
NORTH DAKOTA |
58103 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Eric 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 |
|
| Thomas Goodson |
1332233 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Sagepoint Financial Inc. |
133763 |
| Street Address 1 |
Street Address 2 |
| 3700 State Street |
Suite 310 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Santa Barbara |
CALIFORNIA |
93105 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Richard Soennichsen |
1369108 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| H. Beck Inc. |
1763 |
| Street Address 1 |
Street Address 2 |
| 175 Concourse Blvd. |
Suite A |
| City |
State/Province/Country |
ZIP/Postal Code |
| Santa Rosa |
CALIFORNIA |
95403 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Gary L. Chapman |
5244594 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Berthel Fisher & Company Financial Services Inc. |
13609 |
| Street Address 1 |
Street Address 2 |
| 111 Monument Circle |
Suite 2700 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Indianapolis |
INDIANA |
46204 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Richard W. Hsieh |
2934210 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| First Allied Securities Inc. |
32444 |
| Street Address 1 |
Street Address 2 |
| 135 S. Mission Drive |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Gabriel |
CALIFORNIA |
91776 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Eric J. Glassbrenner |
4160645 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Center Street Securities Inc. |
26898 |
| Street Address 1 |
Street Address 2 |
| 2740 Old Elm Hill Pike |
Suite 201 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Nashville |
TENNESSEE |
37214 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Charles C. Shafe |
1277113 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Transam Securities Inc. |
18923 |
| Street Address 1 |
Street Address 2 |
| 1111 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 |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Richard L. Argotsinger |
1514971 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Woodbury Financial Services Inc. |
421 |
| Street Address 1 |
Street Address 2 |
| 2740 Timberchase Trail |
| City |
State/Province/Country |
ZIP/Postal Code |
| Highlands Ranch |
COLORADO |
80126 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Mark T. Maund |
3012539 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Purshe Kaplan Sterling Investments |
35747 |
| Street Address 1 |
Street Address 2 |
| 1029 Greene Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Augusta |
GEORGIA |
30901 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Marc Spiegel |
1842622 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| FSC Securities Corporation |
7461 |
| Street Address 1 |
Street Address 2 |
| 29222 Rancho Viejo Road |
Suite 220 |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Juan Capistrano |
CALIFORNIA |
92675 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Jeffrey L. Davis |
1344594 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Michigan Securities Inc. |
101600 |
| Street Address 1 |
Street Address 2 |
| 166 South Kalamazoo Mall |
Suite B |
| City |
State/Province/Country |
ZIP/Postal Code |
| Kalamazoo |
MICHIGAN |
49007 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Robert Davis |
5255982 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Coastal Equities Inc. |
23769 |
| Street Address 1 |
Street Address 2 |
| 1201 N. 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 |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Eric Holtz |
5821492 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Summit Brokerage Services Inc. |
34643 |
| Street Address 1 |
Street Address 2 |
| 716 Center Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lewiston |
NEW YORK |
14092 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Brion Harris |
3199095 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Summit Brokerage Services Inc. |
34643 |
| Street Address 1 |
Street Address 2 |
| 115 West Street |
Suite 400 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Annapolis |
MARYLAND |
21401 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Chay Lapin |
6275140 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Colorado Financial Service Corporation |
104343 |
| Street Address 1 |
Street Address 2 |
| 2516 Via Tejon |
Suite 210 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Palos Verdes Estates |
CALIFORNIA |
90274 |
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 |
$48,566,140
|
USD |
|
| Total Amount Sold |
$48,566,140
|
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 |
$3,836,725
|
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).
|
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 |
| Park Creek Steeple Multifamily DST |
/s/ Keith Lampi |
Keith Lampi |
President of Member of Signatory Trustee |
2016-01-13 |
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.