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 |
0001898789 |
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Corporation |
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Limited Partnership |
X |
Limited Liability Company |
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General Partnership |
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Business Trust |
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Other (Specify) |
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Name of Issuer |
Tulip Valley Partners, LLC |
Jurisdiction of Incorporation/Organization |
DELAWARE |
Year of Incorporation/Organization |
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Over Five Years Ago |
X |
Within Last Five Years (Specify Year) |
2021 |
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Yet to Be Formed |
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2. Principal Place of Business and Contact Information
Name of Issuer |
Tulip Valley Partners, LLC |
Street Address 1 |
Street Address 2 |
2015 3RD AVE. N |
City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
BIRMINGHAM |
ALABAMA |
35203 |
14237568400 |
3. Related Persons
Last Name |
First Name |
Middle Name |
Management, LLC |
Green Rock |
Street Address 1 |
Street Address 2 |
2015 3rd Ave. N |
City |
State/Province/Country |
ZIP/PostalCode |
Birmingham |
ALABAMA |
35203 |
Relationship: |
|
Executive Officer |
X |
Director |
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Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Rock, LLC |
Green |
Street Address 1 |
Street Address 2 |
2015 3rd Ave. N |
City |
State/Province/Country |
ZIP/PostalCode |
Birmingham |
ALABAMA |
35203 |
Relationship: |
|
Executive Officer |
X |
Director |
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Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Mobley |
Clayton |
Street Address 1 |
Street Address 2 |
2015 3rd Ave. N |
City |
State/Province/Country |
ZIP/PostalCode |
Birmingham |
ALABAMA |
35203 |
Relationship: |
|
Executive Officer |
X |
Director |
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Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Devine |
Christopher |
Street Address 1 |
Street Address 2 |
2015 3rd Ave. N |
City |
State/Province/Country |
ZIP/PostalCode |
Birmingham |
ALABAMA |
35203 |
Relationship: |
X |
Executive Officer |
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Director |
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Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Robbins |
Brian |
Street Address 1 |
Street Address 2 |
2015 3rd Ave. N |
City |
State/Province/Country |
ZIP/PostalCode |
Birmingham |
ALABAMA |
35203 |
Relationship: |
X |
Executive Officer |
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Director |
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Promoter |
Clarification of Response (if Necessary):
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) |
| 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
X |
New Notice |
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Date of First Sale |
2021-12-27 |
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First Sale Yet to Occur |
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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 |
$18,000
|
USD |
12. Sales Compensation
Recipient |
Recipient CRD Number |
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None |
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Arkadios Capital |
282710 |
(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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Blayne Anderson |
5727397 |
Street Address 1 |
Street Address 2 |
810 Pancheri Drive |
Suite 303 |
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 |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Vistia Capital, LLC |
311342 |
(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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Delmar Eugene Buck III |
7299100 |
Street Address 1 |
Street Address 2 |
202 6th Street |
Suite 303 |
City |
State/Province/Country |
ZIP/Postal Code |
Castle Rock |
COLORADO |
80104 |
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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ALABAMA |
CALIFORNIA |
FLORIDA |
GEORGIA |
OHIO |
SOUTH CAROLINA |
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Recipient |
Recipient CRD Number |
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None |
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Emerson Equity, LLC |
130032 |
(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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Bruce Beetz |
1527269 |
Street Address 1 |
Street Address 2 |
817 Union Road |
City |
State/Province/Country |
ZIP/Postal Code |
Hollister |
CALIFORNIA |
95023 |
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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G.A. Repple & Company |
17486 |
(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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Bryan Repple |
3200280 |
Street Address 1 |
Street Address 2 |
101 Normandy Road |
Suite 101 |
City |
State/Province/Country |
ZIP/Postal Code |
Casselberry |
FLORIDA |
32707 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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CALIFORNIA |
FLORIDA |
MARYLAND |
SOUTH CAROLINA |
WASHINGTON |
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Recipient |
Recipient CRD Number |
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None |
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Alexander Capital, L.P. |
40077 |
(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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James Hampton Simmons Jr. |
2438224 |
Street Address 1 |
Street Address 2 |
17 State Street |
5th Floor |
City |
State/Province/Country |
ZIP/Postal Code |
New York |
NEW YORK |
10004 |
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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Center Street Securities, Inc. |
26898 |
(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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Jeffrey Kennedy |
5094149 |
Street Address 1 |
Street Address 2 |
721 N 24th Street |
City |
State/Province/Country |
ZIP/Postal Code |
Quincy |
ILLINOIS |
62301 |
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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Titan Securities |
131392 |
(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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Gerald Marvin Hast |
2873081 |
Street Address 1 |
Street Address 2 |
16775 Addison Road |
Suite 525 |
City |
State/Province/Country |
ZIP/Postal Code |
Addison |
TEXAS |
75001 |
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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Arkadios Capital |
282710 |
(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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John McKee |
1931547 |
Street Address 1 |
Street Address 2 |
146 Birch Street |
City |
State/Province/Country |
ZIP/Postal Code |
Redwood City |
CALIFORNIA |
94062 |
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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Legacy Wealth Management, LLC |
174767 |
(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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Justin Martin |
5423666 |
Street Address 1 |
Street Address 2 |
839 N Camille Cir |
City |
State/Province/Country |
ZIP/Postal Code |
Centerville |
UTAH |
84014 |
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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Vistia Capital, LLC |
311342 |
(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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Michael Hazen |
6103556 |
Street Address 1 |
Street Address 2 |
202 6th Street |
Suite 303 |
City |
State/Province/Country |
ZIP/Postal Code |
Castle Rock |
COLORADO |
80104 |
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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Arkadios Capital |
282710 |
(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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Michael J. Sievert |
2127441 |
Street Address 1 |
Street Address 2 |
10739 Deerwood Park Blvd. |
Suite 105 |
City |
State/Province/Country |
ZIP/Postal Code |
Jacksonville |
FLORIDA |
32256 |
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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G.A. Repple & Company |
17486 |
(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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Michael Mandarino |
4443175 |
Street Address 1 |
Street Address 2 |
6917 Makers Way |
City |
State/Province/Country |
ZIP/Postal Code |
Apollo Beach |
FLORIDA |
33572 |
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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U.S. Private Wealth, LLC |
167288 |
(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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Michael Wall |
5309868 |
Street Address 1 |
Street Address 2 |
4822 Northlake Blvd. |
Suite A |
City |
State/Province/Country |
ZIP/Postal Code |
Palm Beach Gardens |
FLORIDA |
33418 |
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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Great Point Capital, LLC |
114203 |
(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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Mikayla Raleigh |
7181755 |
Street Address 1 |
Street Address 2 |
200 W Jackson Blvd |
Suite 1000 |
City |
State/Province/Country |
ZIP/Postal Code |
Chicago |
ILLINOIS |
60606 |
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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Emerson Equity, LLC |
130032 |
(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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Mark Pizarek |
3216820 |
Street Address 1 |
Street Address 2 |
817 Union Road |
City |
State/Province/Country |
ZIP/Postal Code |
Hollister |
CALIFORNIA |
95023 |
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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Emerson Equity, LLC |
130032 |
(Associated) Broker or Dealer |
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None |
|
(Associated) Broker or Dealer CRD Number |
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None |
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Patrick Lam |
4723020 |
Street Address 1 |
Street Address 2 |
61 East Main Street |
Suite D |
City |
State/Province/Country |
ZIP/Postal Code |
Los Gatos |
CALIFORNIA |
95032 |
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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Great Point Capital, LLC |
114203 |
(Associated) Broker or Dealer |
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None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Rick Martinez |
6524415 |
Street Address 1 |
Street Address 2 |
200 West Jackson Blvd |
Suite 1000 |
City |
State/Province/Country |
ZIP/Postal Code |
Chicago |
ILLINOIS |
60606 |
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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Emerson Equity, LLC |
130032 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Yi Ping Chou |
4882398 |
Street Address 1 |
Street Address 2 |
9940 Research Drive |
Suite 200 |
City |
State/Province/Country |
ZIP/Postal Code |
Irvine |
CALIFORNIA |
92618 |
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 |
|
Emerson Equity, LLC |
130032 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Sylvester Pusiri |
5170193 |
Street Address 1 |
Street Address 2 |
155 Bovet Road |
Suite 725 |
City |
State/Province/Country |
ZIP/Postal Code |
San Mateo |
CALIFORNIA |
94402 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Emerson Equity, LLC |
130032 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Timothy J. Sherer |
833618 |
Street Address 1 |
Street Address 2 |
61 East Main Street |
Suite D |
City |
State/Province/Country |
ZIP/Postal Code |
Los Gatos |
CALIFORNIA |
95032 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
WFA Wealth Managers |
105736 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Andrew Jensen |
5697041 |
Street Address 1 |
Street Address 2 |
3170 Fourth Ave. |
4th Floor |
City |
State/Province/Country |
ZIP/Postal Code |
San Diego |
CALIFORNIA |
92103 |
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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Copley Financial Group, Inc. |
283070 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Kyle Klinger |
7092609 |
Street Address 1 |
Street Address 2 |
2650 CAMINO DEL RIO NORTH |
Suite 350 |
City |
State/Province/Country |
ZIP/Postal Code |
San Diego |
CALIFORNIA |
92108 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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13. Offering and Sales Amounts
Total Offering Amount |
$14,500,000
|
USD |
|
Total Amount Sold |
$14,426,489
|
USD |
Total Remaining to be Sold |
$73,511
|
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: |
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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 |
$1,644,687
|
USD |
|
Finders' Fees |
$0
|
USD |
|
Clarification of Response (if Necessary):
Inclusive of $869,960 selling commissions; $255,493.06 due diligence fee; $231,821.89 marketing/wholesale fee; and $287,412.47 broker/dealer 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):
$180,000 Management Fee; $250,000 Acquisition Fee; $3,165,000 Due Diligence, Structuring, and Project Management Fee; $995,000 Development Termination Fee; and $250,000 Land Management Fee.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 Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) 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 |
Tulip Valley Partners, LLC |
Christopher Devine |
Christopher Devine |
CEO |
2022-01-10 |
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.