This is the Primary Document downloaded from EDGAR on 12/11/2014 3:13:00 PM EST for EFDID 3811 and Accession Number 0001430248-10-000006.

Please note that this is not the current Accession Number for this EFDId.

SEC FORM D/A

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.
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM D

Notice of Exempt Offering of Securities
OMB APPROVAL
OMB Number: 3235-0076
Expires: August 31, 2015
Estimated average burden
hours per response: 4.00

1. Issuer's Identity

CIK (Filer ID Number) Previous Names
X None
Entity Type
0001430248
X Corporation
   Limited Partnership
   Limited Liability Company
   General Partnership
   Business Trust
   Other (Specify)

Name of Issuer
BERKELEY CAPITAL TRUST INC
Jurisdiction of Incorporation/Organization
MARYLAND
Year of Incorporation/Organization
   Over Five Years Ago
X Within Last Five Years (Specify Year) 2007
   Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
BERKELEY CAPITAL TRUST INC
Street Address 1 Street Address 2
750 BATTERY STREET 7TH FLOOR
City State/Province/Country ZIP/PostalCode Phone Number of Issuer
SAN FRANCISCO CALIFORNIA 94111 530 601-2400

3. Related Persons

Last Name First Name Middle Name
SNEGG MICHEL D.
Street Address 1 Street Address 2
555 MONTGOMERY ST. SUITE 1550
City State/Province/Country ZIP/PostalCode
SAN FRANCISCO CALIFORNIA 94111
Relationship: X Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
SNEGG AARON
Street Address 1 Street Address 2
555 MONTGOMERY ST. SUITE 1550
City State/Province/Country ZIP/PostalCode
SAN FRANCISCO CALIFORNIA 94111
Relationship: X Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
VILLARINA NORMAN
Street Address 1 Street Address 2
555 MONTGOMERY ST. SUITE 1550
City State/Province/Country ZIP/PostalCode
SAN FRANCISCO CALIFORNIA 94111
Relationship: X Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
ADVISORS, LLC BERKELEY
Street Address 1 Street Address 2
555 MONTGOMERY ST. SUITE 1550
City State/Province/Country ZIP/PostalCode
SAN FRANCISCO CALIFORNIA 94111
Relationship:    Executive Officer    Director X Promoter

Clarification of Response (if Necessary):

4. Industry Group

   Agriculture
Banking & Financial Services
   Commercial Banking
   Insurance
   Investing
   Investment Banking
   Pooled Investment Fund
Is the issuer registered as
an investment company under
the Investment Company
Act of 1940?
   Yes    No
   Other Banking & Financial Services
   Business Services
Energy
   Coal Mining
   Electric Utilities
   Energy Conservation
   Environmental Services
   Oil & Gas
   Other Energy
Health Care
   Biotechnology
   Health Insurance
   Hospitals & Physicians
   Pharmaceuticals
   Other Health Care
   Manufacturing
Real Estate
   Commercial
   Construction
X REITS & Finance
   Residential
   Other Real Estate
  
Retailing
  
Restaurants
Technology
   Computers
   Telecommunications
   Other Technology
Travel
   Airlines & Airports
   Lodging & Conventions
   Tourism & Travel Services
   Other Travel
  
Other

5. Issuer Size

Revenue Range OR Aggregate Net Asset Value Range
   No Revenues    No Aggregate Net Asset Value
   $1 - $1,000,000    $1 - $5,000,000
   $1,000,001 - $5,000,000    $5,000,001 - $25,000,000
   $5,000,001 - $25,000,000    $25,000,001 - $50,000,000
   $25,000,001 - $100,000,000    $50,000,001 - $100,000,000
   Over $100,000,000    Over $100,000,000
X Decline to Disclose    Decline to Disclose
   Not Applicable    Not Applicable

6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)

   Rule 504(b)(1) (not (i), (ii) or (iii))    Rule 505
   Rule 504 (b)(1)(i) X Rule 506
   Rule 504 (b)(1)(ii)    Securities Act Section 4(5)
   Rule 504 (b)(1)(iii)    Investment Company Act Section 3(c)
   Section 3(c)(1)    Section 3(c)(9)  
   Section 3(c)(2)    Section 3(c)(10)
   Section 3(c)(3)    Section 3(c)(11)
   Section 3(c)(4)    Section 3(c)(12)
   Section 3(c)(5)    Section 3(c)(13)
   Section 3(c)(6)    Section 3(c)(14)
   Section 3(c)(7)

7. Type of Filing

   New Notice Date of First Sale 2008-01-11    First Sale Yet to Occur
X Amendment

8. Duration of Offering

Does the Issuer intend this offering to last more than one year?
X Yes    No

9. Type(s) of Securities Offered (select all that apply)

X Equity    Pooled Investment Fund Interests
   Debt    Tenant-in-Common Securities
   Option, Warrant or Other Right to Acquire Another Security    Mineral Property Securities
   Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security    Other (describe)

10. Business Combination Transaction

Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer?
   Yes X No

Clarification of Response (if Necessary):

11. Minimum Investment

Minimum investment accepted from any outside investor $0 USD

12. Sales Compensation

Recipient
Recipient CRD Number    None
PAUL L. WHITE II 4669396
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
HERITAGE FINANCIAL SYSTEMS, INC 133019
Street Address 1 Street Address 2
150 BROAD HOLLOW RD SUITE 310
City State/Province/Country ZIP/Postal Code
MELVILLE NEW YORK 11747
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW YORK
OHIO
Recipient
Recipient CRD Number    None
HAROLD C. WHITE JR 465047
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
ASHTON CAPITAL MANAGEMENT, INC 26502
Street Address 1 Street Address 2
7660 FAY AVENUE #H174
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
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
GORDON W YEE 2339698
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NATIONAL SECURITIES CORP 7569
Street Address 1 Street Address 2
2970 HALEKO RD SUITE 201
City State/Province/Country ZIP/Postal Code
LIHUE HAWAII 96766
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
HAWAII
Recipient
Recipient CRD Number    None
LARRY D FREIE 1236742
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
SUNSET FINANCIAL SERVICES 3538
Street Address 1 Street Address 2
4725 N SCOTTSDALE RD SUITE 239
City State/Province/Country ZIP/Postal Code
SCOTTSDALE ARIZONA 85251
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
COLORADO
INDIANA
KANSAS
NEBRASKA
Recipient
Recipient CRD Number    None
DEREK LOPEZ 2320151
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NATIONAL SECURITIES CORP 5769
Street Address 1 Street Address 2
900 FORT STREET MALL #503
City State/Province/Country ZIP/Postal Code
HONOLULU HAWAII 96813
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
FERDINAND R DOSONO 2110497
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NATIONAL SECURITIES CORP 5769
Street Address 1 Street Address 2
2970 HALEKO RD SUITE 201
City State/Province/Country ZIP/Postal Code
LIHUE HAWAII 96766
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
HAWAII
Recipient
Recipient CRD Number    None
JEREMY L. GOVE 5231794
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
JP TURNER & CO., LLC 43177
Street Address 1 Street Address 2
3000 2ND AVE SUITE 4
City State/Province/Country ZIP/Postal Code
KEARNEY NEBRASKA 68845
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEBRASKA
Recipient
Recipient CRD Number    None
MICHAEL L. DIGAETANO 2378300
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
JP TURNER & CO., LLC 43177
Street Address 1 Street Address 2
18021 OAK ST SUITE B
City State/Province/Country ZIP/Postal Code
OMAHA NEBRASKA 68130
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
NEBRASKA
Recipient
Recipient CRD Number    None
DOUGLAS W. SHRINER 1140409
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
HARRISON DOUGLAS, INC. 16515
Street Address 1 Street Address 2
3025 S PARKER RD SUITE 801
City State/Province/Country ZIP/Postal Code
AURORA COLORADO 80014
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
COLORADO
Recipient
Recipient CRD Number    None
GILBERT R. CONRAD 2746778
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
JP TURNER & CO, LLC 43177
Street Address 1 Street Address 2
210 S NINTH ST
City State/Province/Country ZIP/Postal Code
LEWISTON NEW YORK 14092
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
FLORIDA
NEBRASKA
NEW JERSEY
NEW YORK
Recipient
Recipient CRD Number    None
FREDERICK F. PTUCHA 368578
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
FINANCIAL WEST GROUP 16668
Street Address 1 Street Address 2
575 WEST COLLEGE AVE SUITE 105
City State/Province/Country ZIP/Postal Code
SANTA ROSA CALIFORNIA 95401
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
CONNECTICUT
FLORIDA
WASHINGTON
Recipient
Recipient CRD Number    None
HUGH O. BARNDOLLAR III 3027317
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
GRANT BETTINGEN, INC. 16944
Street Address 1 Street Address 2
7218 CONGRESS ST.
City State/Province/Country ZIP/Postal Code
NEW PORT RICHEY FLORIDA 34653
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
Recipient
Recipient CRD Number    None
ROBERT C. BAILING 1018851
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
FINANCIAL ADVISERS OF AMERICA, LLC 142170
Street Address 1 Street Address 2
1930 PALOMAR POINT WAY SUITE 104
City State/Province/Country ZIP/Postal Code
CARLSBAD CALIFORNIA 92008
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
WILLIAM C. MONROE III 4043470
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
DH HILL SECURITIES LLP 41528
Street Address 1 Street Address 2
7821 FM 1960 E SUITE B
City State/Province/Country ZIP/Postal Code
HUMBLE TEXAS 77346
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
PAUL GELORMINI 2066089
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
EPLANNING SECURITIES, INC. 46000
Street Address 1 Street Address 2
3721 DOUGLAS BLVD SUITE 200
City State/Province/Country ZIP/Postal Code
ROSEVILLE CALIFORNIA 95661
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
ALAN S. FRIEDLANDER 1890289
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
D.H. HILL SECURITIES, LLP 41528
Street Address 1 Street Address 2
7821 FM 1960 E. SUITE B
City State/Province/Country ZIP/Postal Code
HUMBLE TEXAS 77346
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ILLINOIS
Recipient
Recipient CRD Number    None
DANNY H. HILL 1012712
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
D.H. HILL SECURITIES, LLP 41528
Street Address 1 Street Address 2
7821 FM 1960 E. SUITE B
City State/Province/Country ZIP/Postal Code
HUMBLE TEXAS 77346
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
ROBERT B. SETSER 1005169
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
CHARTER PACIFIC SECURITIES, LLC 144528
Street Address 1 Street Address 2
2836 PAYMASTER TRAIL
City State/Province/Country ZIP/Postal Code
COOL CALIFORNIA 95614
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
ERIC PAUL WESCHKE 2486324
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
ALTERNATIVE WEALTH STRATEGIES, INC. 130933
Street Address 1 Street Address 2
11 DORN COURT
City State/Province/Country ZIP/Postal Code
SETAUKET NEW YORK 11733
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW YORK
Recipient
Recipient CRD Number    None
RONALD DALE VAN WYNGARDEN 1286498
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
BERTHEL, FISHER & CO FINANCIAL SERVICES, INC. 13609
Street Address 1 Street Address 2
701 TAMA ST BUILDING B
City State/Province/Country ZIP/Postal Code
MARION IOWA 52302-0609
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
IOWA
Recipient
Recipient CRD Number    None
MARK B. REINKING 1602957
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
SUNSET FINANCIAL SERVICES, INC. 3538
Street Address 1 Street Address 2
5900 SOUTHWEST PARKWAY BLDG 5, SUITE 500
City State/Province/Country ZIP/Postal Code
AUSTIN TEXAS 78735
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ILLINOIS
MARYLAND
TEXAS
Recipient
Recipient CRD Number    None
MITCH FISHER 869469
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
National Securities Corp. 7569
Street Address 1 Street Address 2
95 ARGONAUT SUITE #105
City State/Province/Country ZIP/Postal Code
Aliso Viejo CALIFORNIA 92656
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
WFP SECURITIES CORPORATION 35098
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
WFP SECURITIES CORPORATION 35098
Street Address 1 Street Address 2
6020 CORNERSTONE COURT WEST SUITE 240
City State/Province/Country ZIP/Postal Code
SAN DIEGO CALIFORNIA 92121
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
COLORADO
MICHIGAN
WASHINGTON
WISCONSIN
WYOMING
Recipient
Recipient CRD Number    None
CENTAURUS FINANCIAL, INC. 30833
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
CENTAURUS FINANCIAL, INC. 30833
Street Address 1 Street Address 2
2300 E. KATELLA AVENUE SUITE #200
City State/Province/Country ZIP/Postal Code
ANAHEIM CALIFORNIA 92806
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
KANSAS
MICHIGAN
MINNESOTA
NEW JERSEY
NEW MEXICO
NEW YORK
PENNSYLVANIA
TEXAS
UTAH
Recipient
Recipient CRD Number    None
AFA FINANCIAL GROUP, LLC 127648
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
AFA FINANCIAL GROUP, LLC 127648
Street Address 1 Street Address 2
26637 W. AGOURA RD
City State/Province/Country ZIP/Postal Code
CALABASAS CALIFORNIA 91302
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
IDAHO
Recipient
Recipient CRD Number    None
Kathryn Fitzgerald 1411000
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NATIONAL SECURITIES CORPORATION 7569
Street Address 1 Street Address 2
2061 Monticello Rd.
City State/Province/Country ZIP/Postal Code
NAPA CALIFORNIA 94558
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Jeffrey Rachlin 823547
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
ALTERNATIVE WEALTH STRATEGIES, INC. 130933
Street Address 1 Street Address 2
777 Old Saw Mill River Road SUITE 240
City State/Province/Country ZIP/Postal Code
TARRYTOWN NEW YORK 10591
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MARYLAND
Recipient
Recipient CRD Number    None
JALON O'CONNELL 3005016
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NATIONAL SECURITIES CORP. 7569
Street Address 1 Street Address 2
9300 Wilshire Blvd. STE 420
City State/Province/Country ZIP/Postal Code
BEVERLY HILLS CALIFORNIA 90212
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
BRUCE BEETZ 1527269
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
OAK TREE SECURITIES, INC 18126
Street Address 1 Street Address 2
PO Box 1371
City State/Province/Country ZIP/Postal Code
Hollister CALIFORNIA 95024
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Mark Pizarek 3216820
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
OAK TREE SECURITIES, INC 18126
Street Address 1 Street Address 2
525 W Remington Dr. #98
City State/Province/Country ZIP/Postal Code
SUNNYVALE CALIFORNIA 94087
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Sonya Lee 2742405
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
OAK TREE SECURITIES, INC 18126
Street Address 1 Street Address 2
3254 Martini Run
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
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
William Furlong 801636
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Newport Coast Securities 16944
Street Address 1 Street Address 2
18872 MacArthur Blvd. First 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
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Edwin Suzuki 4851317
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Newport Coast Securities 16944
Street Address 1 Street Address 2
20241 SW. Birch #100
City State/Province/Country ZIP/Postal Code
Newport Beach CALIFORNIA 92660
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Berkeley Capital Securities 136982
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Berkeley Capital Securities 136982
Street Address 1 Street Address 2
555 Montgomery St. Suite 1550
City State/Province/Country ZIP/Postal Code
San Francisco CALIFORNIA 94111
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
WASHINGTON

13. Offering and Sales Amounts

Total Offering Amount $25,000,000 USD
or    Indefinite
Total Amount Sold $10,326,224 USD
Total Remaining to be Sold $14,673,776 USD
or    Indefinite

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:
229

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 $2,500,000 USD
X Estimate
Finders' Fees $0 USD
   Estimate

Clarification of Response (if Necessary):

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.

$1,000,000 USD
X Estimate

Clarification of Response (if Necessary):

THIS IS AN ESTIMATED, ANNUAL MAXIMUM BASED ON THE SALE OF THE TOTAL OFFERING AMOUNT. EXPENSE REIMBURSEMENT IS ALSO AVAILABLE.

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 it 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 Rule 505 exemption, the issuer is not disqualified from relying on Rule 505 for one of the reasons stated in Rule 505(b)(2)(iii).

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
BERKELEY CAPITAL TRUST INC AARON SNEGG AARON SNEGG DIRECTOR 2010-06-02

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.