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 |
0001670634 |
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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 |
Ft. Collins Multifamily Portfolio 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) |
2016 |
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Yet to Be Formed |
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2. Principal Place of Business and Contact Information
Name of Issuer |
Ft. Collins Multifamily Portfolio 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 |
Ft. Collins Multifamily Portfolio Exchange, L.L.C. |
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):
Signatory Trustee of the Issuer.
Last Name |
First Name |
Middle Name |
Ft. Collins Multifamily Portfolio, L.L.C. |
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):
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)
| |
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 |
2016-04-05 |
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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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Michael A. Bendix |
5379777 |
(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 |
903 Springwood Lane |
City |
State/Province/Country |
ZIP/Postal Code |
Encinitas |
CALIFORNIA |
92024 |
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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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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Christina 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 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 |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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1st Global Capital Corp. |
30349 |
(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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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 |
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CALIFORNIA |
NEW YORK |
OREGON |
PENNSYLVANIA |
TEXAS |
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Recipient |
Recipient CRD Number |
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None |
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Silver Portal Capital LLC |
114290 |
(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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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 |
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 |
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CALIFORNIA |
COLORADO |
FLORIDA |
ILLINOIS |
KANSAS |
MASSACHUSETTS |
MINNESOTA |
TEXAS |
WASHINGTON |
WISCONSIN |
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Recipient |
Recipient CRD Number |
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None |
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James Lamont |
2846228 |
(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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Whitehall-Parker Securities Inc. |
10608 |
Street Address 1 |
Street Address 2 |
477 Pacific Avenue |
2nd Floor |
City |
State/Province/Country |
ZIP/Postal Code |
San Francisco |
CALIFORNIA |
94133 |
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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Terry Shea |
1654953 |
(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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Whitehall-Parker Securities Inc. |
10608 |
Street Address 1 |
Street Address 2 |
250 Bel Marin Keys Blvd. |
Suite F3 |
City |
State/Province/Country |
ZIP/Postal Code |
Novato |
CALIFORNIA |
94949 |
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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Edwin Day |
2469775 |
(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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Heritage Benefits Financial Services Inc. |
45797 |
Street Address 1 |
Street Address 2 |
11820 Northup Way |
Suite E200 |
City |
State/Province/Country |
ZIP/Postal Code |
Bellevue |
WASHINGTON |
98005-1966 |
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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John G. Chess |
4812430 |
(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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Investacorp Inc. |
7684 |
Street Address 1 |
Street Address 2 |
4263 Gavin Lane |
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 |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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John Goff |
1919761 |
(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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Investacorp Inc. |
7684 |
Street Address 1 |
Street Address 2 |
770 North Cotner Blvd. |
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 |
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Recipient |
Recipient CRD Number |
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None |
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Mark Gopen |
2989672 |
(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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National Securities Corporation |
7569 |
Street Address 1 |
Street Address 2 |
35-30 Francis Lewis Blvd. |
Suite 205 |
City |
State/Province/Country |
ZIP/Postal Code |
Flushing |
NEW YORK |
11358 |
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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Deborah O'Connell |
1760230 |
(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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National Securities Corporation |
7569 |
Street Address 1 |
Street Address 2 |
35-30 Francis Lewis Blvd. |
Suite 205 |
City |
State/Province/Country |
ZIP/Postal Code |
Flushing |
NEW YORK |
11358 |
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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Jason Salmon |
6081963 |
(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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Colorado Financial Service Corporation |
104343 |
Street Address 1 |
Street Address 2 |
104 West 40th Street |
5th Floor |
City |
State/Province/Country |
ZIP/Postal Code |
New York |
NEW YORK |
10018 |
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 R. Tweed |
2339324 |
(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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Cabot Lodge Securities LLC |
159712 |
Street Address 1 |
Street Address 2 |
2060 Huntington Drive |
Suite 1 |
City |
State/Province/Country |
ZIP/Postal Code |
San Marino |
CALIFORNIA |
91108 |
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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Troy Thomas |
4691720 |
(Associated) Broker or Dealer |
|
None |
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(Associated) Broker or Dealer CRD Number |
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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 |
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Recipient |
Recipient CRD Number |
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None |
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Woodbury Financial Services Inc. |
421 |
(Associated) Broker or Dealer |
|
None |
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(Associated) Broker or Dealer CRD Number |
|
None |
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Woodbury Financial Services Inc. |
421 |
Street Address 1 |
Street Address 2 |
7755 3rd Street North |
City |
State/Province/Country |
ZIP/Postal Code |
Oakdale |
MINNESOTA |
55128 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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|
ARIZONA |
CALIFORNIA |
IOWA |
NEBRASKA |
NEW JERSEY |
PENNSYLVANIA |
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Recipient |
Recipient CRD Number |
|
None |
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Jody J. Roth |
4030963 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Transamerica Financial Advisors Inc. |
16164 |
Street Address 1 |
Street Address 2 |
570 Carillion Parkway |
City |
State/Province/Country |
ZIP/Postal Code |
St. Petersburg |
FLORIDA |
33716-1202 |
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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Sagepoint Financial Inc. |
133763 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Sagepoint Financial Inc. |
133763 |
Street Address 1 |
Street Address 2 |
2800 North Central Avenue |
Suite 2100 |
City |
State/Province/Country |
ZIP/Postal Code |
Phoenix |
ARIZONA |
85004-1072 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
NEVADA |
WISCONSIN |
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Recipient |
Recipient CRD Number |
|
None |
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Centaurus Financial Inc. |
30833 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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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 |
NEW YORK |
OREGON |
WASHINGTON |
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Recipient |
Recipient CRD Number |
|
None |
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Carol Grasso |
1635604 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Moloney Securities Co. Inc. |
38535 |
Street Address 1 |
Street Address 2 |
501 St. Vrain Lane |
Suite 100 |
City |
State/Province/Country |
ZIP/Postal Code |
Estes Park |
COLORADO |
80517 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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|
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Recipient |
Recipient CRD Number |
|
None |
|
Philip Kluge |
827462 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Voya Financial Advisors Inc. |
2882 |
Street Address 1 |
Street Address 2 |
115 Keller Ave. N. |
City |
State/Province/Country |
ZIP/Postal Code |
Amery |
WISCONSIN |
54001-1033 |
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 |
|
Duane Swanson |
1456892 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Voya Financial Advisors Inc. |
2882 |
Street Address 1 |
Street Address 2 |
1200 Hosford Street |
Suite 104 |
City |
State/Province/Country |
ZIP/Postal Code |
Hudson |
WISCONSIN |
54016 |
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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Peter Cook |
1626293 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Vanderbilt Securities LLC |
5953 |
Street Address 1 |
Street Address 2 |
125 Froehlich Farm Blvd. |
City |
State/Province/Country |
ZIP/Postal Code |
Woodbury |
NEW YORK |
11797 |
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 |
|
Susan J. Gitt |
5580509 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
EDI Financial Inc. |
15699 |
Street Address 1 |
Street Address 2 |
1431 Greenway Drive |
Suite 330 |
City |
State/Province/Country |
ZIP/Postal Code |
Irving |
TEXAS |
75038 |
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 |
|
Tony R. Price |
2695786 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Royal Alliance Associates Inc. |
23131 |
Street Address 1 |
Street Address 2 |
750 Old Hickory Blvd. |
One Brentwood Commons, Ste 170 |
City |
State/Province/Country |
ZIP/Postal Code |
Brentwood |
TENNESSEE |
37027 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Richard Park |
4557055 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Royal Alliance Associates Inc. |
23131 |
Street Address 1 |
Street Address 2 |
407 Uluniu Street |
Suite 211 |
City |
State/Province/Country |
ZIP/Postal Code |
Kailua |
HAWAII |
96734 |
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 |
|
Robin Krolewski |
6104465 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Sigma Financial Corporation |
14303 |
Street Address 1 |
Street Address 2 |
42627 Garfield Road |
Suite 216B |
City |
State/Province/Country |
ZIP/Postal Code |
Clinton Twp |
MICHIGAN |
48038 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
John S. Weiss |
1097536 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Crown Capital Securities LP |
6312 |
Street Address 1 |
Street Address 2 |
29222 Rancho Viejo Rd. |
Suite 126-B |
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 |
|
John W. Kenny |
268043 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
American Investors Company |
38 |
Street Address 1 |
Street Address 2 |
24121 Wine Country Court |
City |
State/Province/Country |
ZIP/Postal Code |
Sonoma |
CALIFORNIA |
95476 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Roger K. Coit |
50331 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
American Investors Company |
38 |
Street Address 1 |
Street Address 2 |
1655 N. Main Street |
Suite 270 |
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 |
|
|
|
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 |
|
Adam Young |
6640146 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Nationwide Planning Associates Inc. |
31029 |
Street Address 1 |
Street Address 2 |
440 Park Avenue South |
3rd Floor |
City |
State/Province/Country |
ZIP/Postal Code |
New York |
NEW YORK |
10016 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
William G. Stemple |
1764020 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Lincoln Financial Advisors Corporation |
3978 |
Street Address 1 |
Street Address 2 |
4250 Executive Square |
Suite 700 |
City |
State/Province/Country |
ZIP/Postal Code |
La Jolla |
CALIFORNIA |
92037 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Duncan Eng |
2536048 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Lincoln Financial Advisors Corporation |
3978 |
Street Address 1 |
Street Address 2 |
2105 S. Bascom Avenue |
Suite 300 |
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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Taylor Ashland |
5732470 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Parkland Securities LLC |
115368 |
Street Address 1 |
Street Address 2 |
670 Superior Court |
Suite 210 |
City |
State/Province/Country |
ZIP/Postal Code |
Medford |
OREGON |
97504 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
James K. Johnston |
1689783 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Arete Wealth Management LLC |
44856 |
Street Address 1 |
Street Address 2 |
775 Ridge Lake Blvd. |
Suite 150 |
City |
State/Province/Country |
ZIP/Postal Code |
Memphis |
TENNESSEE |
38120 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Lawrence R. Greenfield |
4056913 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Arete Wealth Management LLC |
44856 |
Street Address 1 |
Street Address 2 |
20750 Ventura Blvd. |
Suite 202 |
City |
State/Province/Country |
ZIP/Postal Code |
Woodland Hills |
CALIFORNIA |
91364 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Thomas J. Ealy |
863042 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Investment Planners Inc. |
18557 |
Street Address 1 |
Street Address 2 |
2911 Crossing Court |
#102 |
City |
State/Province/Country |
ZIP/Postal Code |
Champaign |
ILLINOIS |
61822 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
ILLINOIS |
TEXAS |
|
Recipient |
Recipient CRD Number |
|
None |
|
Peter A. Finnegan |
1336798 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Huntwicke Securities 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 |
|
All States |
|
|
|
13. Offering and Sales Amounts
Total Offering Amount |
$39,012,526
|
USD |
|
Total Amount Sold |
$39,012,526
|
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 |
$3,081,990
|
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 |
Ft. Collins Multifamily Portfolio DST |
/s/ Keith Lampi |
Keith Lampi |
President of Member of Signatory Trustee |
2016-10-04 |
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.