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 |
0001680369 |
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Corporation |
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Limited Partnership |
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Limited Liability Company |
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General Partnership |
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Business Trust |
X |
Other (Specify) |
Delaware Statutory Trust |
Name of Issuer |
Ft. Collins Multifamily III 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 III DST |
Street Address 1 |
Street Address 2 |
2901 BUTTERFIELD ROAD |
City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
OAK BROOK |
ILLINOIS |
60523 |
630-218-8000 |
3. Related Persons
Last Name |
First Name |
Middle Name |
Inland Private |
Capital Corporation |
Street Address 1 |
Street Address 2 |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/PostalCode |
Oak Brook |
ILLINOIS |
60523 |
Relationship: |
|
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
Sponsor of the Issuer.
Last Name |
First Name |
Middle Name |
Ft. Collins Multifamily |
III, L.L.C. |
Street Address 1 |
Street Address 2 |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/PostalCode |
Oak Brook |
ILLINOIS |
60523 |
Relationship: |
|
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
Depositor of the Issuer.
Last Name |
First Name |
Middle Name |
Ft. Collins Multifamily III |
Exchange, L.L.C. |
Street Address 1 |
Street Address 2 |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/PostalCode |
Oak Brook |
ILLINOIS |
60523 |
Relationship: |
|
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
Signatory Trustee of the Issuer.
Last Name |
First Name |
Middle Name |
Lampi |
Keith |
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):
Mr. Lampi is the President of Inland Private Capital Corporation, the Member of Ft. Collins Multifamily III Exchange, L.L.C., the Signatory Trustee of Ft. Collins Multifamily III DST.
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 |
2016-07-28 |
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First Sale Yet to Occur |
X |
Amendment |
8. Duration of Offering
Does the Issuer intend this offering to last more than one year? |
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9. Type(s) of Securities Offered (select all that apply)
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Equity |
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Pooled Investment Fund Interests |
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Debt |
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Tenant-in-Common Securities |
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Option, Warrant or Other Right to Acquire Another Security |
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Mineral Property Securities |
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Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security |
X |
Other (describe) |
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Beneficial interests in Delaware Statutory Trust reflecting beneficial interests in real estate. |
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 |
|
Inland Securities Corporation |
15807 |
(Associated) Broker or Dealer |
|
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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Thomas M. Hess |
4957892 |
(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 |
2104 Vista Laredo |
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 |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Marcia A. Geltman |
5540688 |
(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 |
200 Valley Road, Suite 300 |
City |
State/Province/Country |
ZIP/Postal Code |
Mount Arlington |
NEW JERSEY |
07856 |
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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Jonathan R. Creighton |
1495897 |
(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 |
350 Lincoln Street, Suite 2400 |
City |
State/Province/Country |
ZIP/Postal Code |
Hingham |
MASSACHUSETTS |
02043 |
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 S. Weiss |
1097536 |
(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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Crown Capital Securities, L.P. |
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 |
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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 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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William S. Sheehan |
2328614 |
(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 |
2 Orr Hatch Drive |
City |
State/Province/Country |
ZIP/Postal Code |
Conrwall |
NEW YORK |
12518 |
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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Craig M. Rollins |
1896698 |
(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 |
742 N 530 E |
City |
State/Province/Country |
ZIP/Postal Code |
Orem |
UTAH |
84097 |
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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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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Cedar Crest Advisors, LLC |
187514 |
Street Address 1 |
Street Address 2 |
406 W S Jordan Pkwy #200 |
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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Recipient |
Recipient CRD Number |
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None |
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Robert S. Smith |
1412333 |
(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 |
5000 Meadows Road, Suite 230 |
City |
State/Province/Country |
ZIP/Postal Code |
Lake Oswego |
OREGON |
97035 |
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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Ronald W. Manning II |
4493368 |
(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 |
320655 Castle Ct, Suite 300 |
City |
State/Province/Country |
ZIP/Postal Code |
Evergreen |
COLORADO |
80439 |
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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Edwin A, Day |
2469775 |
(Associated) Broker or Dealer |
|
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 |
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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Brian R. Bennett |
821115 |
(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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The Strategic Financial Alliance, Inc. |
126514 |
Street Address 1 |
Street Address 2 |
731 N. Tejon Street |
City |
State/Province/Country |
ZIP/Postal Code |
Colorado Springs |
COLORADO |
80903 |
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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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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Concorde Investment Services, LLC |
151604 |
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 |
|
All States |
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|
MINNESOTA |
MISSOURI |
NEVADA |
TEXAS |
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Recipient |
Recipient CRD Number |
|
None |
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Blayne A. Andersen |
5727397 |
(Associated) Broker or Dealer |
|
None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Parkland Securities, LLC |
115368 |
Street Address 1 |
Street Address 2 |
810 Pancheri Drive |
City |
State/Province/Country |
ZIP/Postal Code |
Idaho Falls |
IDAHO |
83402 |
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 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 |
|
All States |
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Recipient |
Recipient CRD Number |
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None |
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Timothy W. Murphrey |
1667025 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
|
None |
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Woodbury Financial Service, Inc. |
421 |
Street Address 1 |
Street Address 2 |
701 Fulton Ave, Suite B |
City |
State/Province/Country |
ZIP/Postal Code |
Sacramento |
CALIFORNIA |
95825 |
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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Joshua C. Koehnen |
4551444 |
(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 |
12760 High Bluff Drive #240 |
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 |
|
All States |
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|
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Recipient |
Recipient CRD Number |
|
None |
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Jonathan D. Keller |
4344114 |
(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 |
3340-A Bee Ridge Road |
City |
State/Province/Country |
ZIP/Postal Code |
Sarasota |
FLORIDA |
34231 |
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 |
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Chay T. 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 |
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Recipient |
Recipient CRD Number |
|
None |
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Robert C. Straton |
3213397 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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DFPG Investments, Inc. |
155576 |
Street Address 1 |
Street Address 2 |
8215 SW Tualatin-Sherwood Rd, Suite 200 |
City |
State/Province/Country |
ZIP/Postal Code |
Tualatin |
OREGON |
97062 |
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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Tom Velken |
1600404 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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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 |
|
|
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Recipient |
Recipient CRD Number |
|
None |
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Jeff W. Graumlich |
4816380 |
(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 |
Centinnial |
COLORADO |
80112 |
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 M. Gambaccini |
4619759 |
(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 |
1875 Campus Commons Drive, Suite 100 |
City |
State/Province/Country |
ZIP/Postal Code |
Reston |
VIRGINIA |
20191 |
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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Eric S. Scaff |
5281210 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Concorde Investment Services, LLC |
151604 |
Street Address 1 |
Street Address 2 |
300 Montomery Street, Suite 631 |
City |
State/Province/Country |
ZIP/Postal Code |
San Francisco |
CALIFORNIA |
94101 |
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 |
|
David B. Levinson |
705929 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Westpark Capital, Inc. |
39914 |
Street Address 1 |
Street Address 2 |
18872 MacArthur Blvd., 1st Floor |
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 |
|
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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Kent A. Cooper |
2678690 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Centaurus Financial, Inc. |
30833 |
Street Address 1 |
Street Address 2 |
490 Alabama Street, Suite #101 |
City |
State/Province/Country |
ZIP/Postal Code |
Redlands |
CALIFORNIA |
92373 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Leslie A. Cannon |
5254882 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Centaurus Financial, Inc. |
30833 |
Street Address 1 |
Street Address 2 |
23741 SE 18th Street |
City |
State/Province/Country |
ZIP/Postal Code |
Sammamish |
WASHINGTON |
98075 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
James T. Walesa |
10612109 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Triad Advisors, Inc. |
25803 |
Street Address 1 |
Street Address 2 |
1460 Renaissance Dr., Suite 212 |
City |
State/Province/Country |
ZIP/Postal Code |
Park Ridge |
ILLINOIS |
60068 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
William A. Meloy |
1653157 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Proequities, Inc. |
15708 |
Street Address 1 |
Street Address 2 |
226 Inverness Lane |
City |
State/Province/Country |
ZIP/Postal Code |
Schererville |
INDIANA |
46375 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Jeffrey M. Warren |
5616071 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Crown Capital Securites, L.P. |
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 H. Scully |
803539 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Centaurus Financial, Inc. |
30833 |
Street Address 1 |
Street Address 2 |
450 Skokie Blvd., Suite #310 |
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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
James M. Gambacinni |
4619759 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
The Strategic Financial Alliance, Inc. |
126514 |
Street Address 1 |
Street Address 2 |
1875 Camous Commons Drive, Suite 100 |
City |
State/Province/Country |
ZIP/Postal Code |
Reston |
VIRGINIA |
020191 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
David G. Meacham |
1045678 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Centaurus Financial, Inc. |
30833 |
Street Address 1 |
Street Address 2 |
16571 N. 109th Street |
City |
State/Province/Country |
ZIP/Postal Code |
Scottsdale |
ARIZONA |
85255 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Carl F. Worden III |
3130121 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Centaurus Financial, Inc. |
30833 |
Street Address 1 |
Street Address 2 |
3031 Tisch Way, Suite #901 |
City |
State/Province/Country |
ZIP/Postal Code |
San Jose |
CALIFORNIA |
95128 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Joral T. 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 |
14303 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Robert W. Bruner |
2260319 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Questar Capital Corporation |
43100 |
Street Address 1 |
Street Address 2 |
22 W Main Street |
City |
State/Province/Country |
ZIP/Postal Code |
Mountville |
PENNSYLVANIA |
14554 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Richard Zuvella |
5207826 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Colorado Financial Service Corporation |
104343 |
Street Address 1 |
Street Address 2 |
304 Inversness 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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
James M. Raine |
2360466 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Questar Capital Corporation |
43100 |
Street Address 1 |
Street Address 2 |
1220 W Ash St, Suite E |
City |
State/Province/Country |
ZIP/Postal Code |
Windsor |
COLORADO |
80550 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Joesph R. Broadbent |
3132498 |
(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 200 |
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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Marcel Pahmer |
456391 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Centaurus Financial, Inc. |
30833 |
Street Address 1 |
Street Address 2 |
2900 Bristol Street, Suite# B-104 |
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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Brian D. Vosberg |
4476509 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Centaurus Financial, Inc. |
30833 |
Street Address 1 |
Street Address 2 |
715 W. Foothill Blvd. |
City |
State/Province/Country |
ZIP/Postal Code |
Glendora |
CALIFORNIA |
91747 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Adam J. Bryan |
5443986 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Aaron J. Fulton |
3234089 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Proequities, Inc, |
15708 |
Street Address 1 |
Street Address 2 |
13911 Ridgedale Drive, Suite 135 |
City |
State/Province/Country |
ZIP/Postal Code |
Minnetonka |
MINNESOTA |
55305 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Tim D. Clairmont |
2847591 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Woodbury Financial Serivices, Inc. |
421 |
Street Address 1 |
Street Address 2 |
3 Centerpointe Dr, Suite 160 |
City |
State/Province/Country |
ZIP/Postal Code |
Lake Osewgo |
OREGON |
97035 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Kerry E. Taylor |
731888 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Investacorp, Inc. |
7684 |
Street Address 1 |
Street Address 2 |
1141 S. Allante Ave, Suite 102 |
City |
State/Province/Country |
ZIP/Postal Code |
Biose |
IDAHO |
83709 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Mark L. Bain |
3139332 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Purshe Kaplan Sterling Investments |
35747 |
Street Address 1 |
Street Address 2 |
885 Lancaster Drive SE, Suite C |
City |
State/Province/Country |
ZIP/Postal Code |
Salem |
OREGON |
97317 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Robert R. Tweed |
2339324 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Richard M. Waters Jr |
2421557 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Infinex Investments, Inc. |
35371 |
Street Address 1 |
Street Address 2 |
14033 8th Street |
City |
State/Province/Country |
ZIP/Postal Code |
Dade City |
FLORIDA |
33525 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Deirdre M. Hartmann |
6576881 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
1st Global Capital Corp. |
30349 |
Street Address 1 |
Street Address 2 |
200 Valley Road, Suite 300 |
City |
State/Province/Country |
ZIP/Postal Code |
Mount Arlington |
NEW JERSEY |
07856 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Ross A. Pedersen |
1201067 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Royal Alliance Associates, Inc. |
23131 |
Street Address 1 |
Street Address 2 |
2269 Dahlk Circle |
City |
State/Province/Country |
ZIP/Postal Code |
Verona |
WISCONSIN |
53593 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Adam E. Buchanan |
6276246 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
1st Global Capital Corp. |
30349 |
Street Address 1 |
Street Address 2 |
1500 Sunday Drive, Suite 300 |
City |
State/Province/Country |
ZIP/Postal Code |
Raleigh |
NORTH CAROLINA |
27607 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Andrew C. Harvey |
6570264 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Sandlapper Securities, LLC |
137906 |
Street Address 1 |
Street Address 2 |
Sandlapper Financial Center |
800 E. North Street, 2nd Floor |
City |
State/Province/Country |
ZIP/Postal Code |
Greenville |
SOUTH CAROLINA |
29601 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Byron J. Ishiwata |
4610456 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
1st Global Capital Corp. |
30349 |
Street Address 1 |
Street Address 2 |
160 W. Santa Clara Suite 900 |
City |
State/Province/Country |
ZIP/Postal Code |
San Jose |
CALIFORNIA |
95113 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Jason A. Salmon |
6081963 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Colorado Financial Service Corporation |
104343 |
Street Address 1 |
Street Address 2 |
104 West 40th St. 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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Paul M. Getty |
6470002 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Colorado Financial Serivce Corporation |
104343 |
Street Address 1 |
Street Address 2 |
777 North First, Suite 720 |
City |
State/Province/Country |
ZIP/Postal Code |
San Jose |
CALIFORNIA |
95112 |
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 |
$21,715,585
|
USD |
|
Total Amount Sold |
$21,715,585
|
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 |
$1,085,779
|
USD |
|
Finders' Fees |
$0
|
USD |
|
Clarification of Response (if Necessary):
This response is based on the assumption that the full amount of the potential sales commissions will be earned and paid.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):
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 III DST |
/s/ Keith Lampi |
Keith Lampi |
President of the Member of the Signatory Trustee |
2017-01-05 |
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.