This is the Primary Document downloaded from EDGAR on 1/6/2015 5:23:35 PM EST for EFDID 5601 and Accession Number 0001466589-09-000006.
Please note that this is not the current Accession Number for this EFDId.
SEC FORM D/A
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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 |
| Expires: |
August 31, 2015 |
| 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 |
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0001466589
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Corporation |
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Limited Partnership |
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Limited Liability Company |
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General Partnership |
| X |
Business Trust |
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Other (Specify) |
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| Name of Issuer |
| Thompson/Morgan Baton Rouge I, DST |
| Jurisdiction of Incorporation/Organization |
| DELAWARE |
| Year of Incorporation/Organization |
| |
Over Five Years Ago |
| X |
Within Last Five Years (Specify Year) |
2008 |
| |
Yet to Be Formed |
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2. Principal Place of Business and Contact Information
| Name of Issuer |
| Thompson/Morgan Baton Rouge I, DST |
| Street Address 1 |
Street Address 2 |
| 1900 MAIN STREET |
SUITE 700 |
| City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
| IRVINE |
CA |
92614 |
949-833-8252 |
3. Related Persons
| Last Name |
First Name |
Middle Name |
| Thompson |
Anthony |
W. |
| Street Address 1 |
Street Address 2 |
| 1900 Main Street |
Suite 700 |
| City |
State/Province/Country |
ZIP/PostalCode |
| Irvine |
CA |
92614 |
| Relationship: |
X |
Executive Officer |
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Director |
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Promoter |
Clarification of Response (if Necessary):
Managing Member and CEO of Sponsor - Thompson National Properties, LLC
| Last Name |
First Name |
Middle Name |
| Maurer |
Jack |
R. |
| Street Address 1 |
Street Address 2 |
| 1900 Main Street |
Suite 700 |
| City |
State/Province/Country |
ZIP/PostalCode |
| Irvine |
CA |
92614 |
| Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Vice Chairman and Partner of Sponsor - Thompson National Properties, LLC
| Last Name |
First Name |
Middle Name |
| Genovese |
Greg |
| Street Address 1 |
Street Address 2 |
| 1900 Main Street |
Suite 700 |
| City |
State/Province/Country |
ZIP/PostalCode |
| Irvine |
CA |
92614 |
| Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
President, Securities Division of Sponsor - Thompson National Properties, LLC
| Last Name |
First Name |
Middle Name |
| Howard |
Johanna |
| Street Address 1 |
Street Address 2 |
| 1900 Main Street |
Suite 700 |
| City |
State/Province/Country |
ZIP/PostalCode |
| Irvine |
CA |
92614 |
| Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Chief Financial Officer of Sponsor - Thompson National Properties, LLC
| Last Name |
First Name |
Middle Name |
| Goodman |
Darryll |
| Street Address 1 |
Street Address 2 |
| 1900 Main Street |
Suite 700 |
| City |
State/Province/Country |
ZIP/PostalCode |
| Irvine |
CA |
92614 |
| Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Senior Vice President, Asset Management, of Sponsor - Thompson National Properties, LLC
4. Industry Group
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Agriculture |
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Banking & Financial Services |
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Commercial Banking |
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Insurance |
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Investing |
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Investment Banking |
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Pooled Investment Fund |
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Is the issuer registered as an investment company under the Investment Company Act of 1940? |
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Other Banking & Financial Services |
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Business Services |
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Energy |
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Health Care |
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Manufacturing |
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Real Estate |
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Retailing |
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Restaurants |
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Technology |
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Travel |
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Tourism & Travel Services |
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Other |
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5. Issuer Size
| Revenue Range |
OR |
Aggregate Net Asset Value Range |
| |
No Revenues |
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No Aggregate Net Asset Value |
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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 |
| |
Over $100,000,000 |
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Over $100,000,000 |
| X |
Decline to Disclose |
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Decline to Disclose |
| |
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 505 |
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Rule 504 (b)(1)(i) |
X |
Rule 506 |
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Rule 504 (b)(1)(ii) |
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Securities Act Section 4(5) |
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Rule 504 (b)(1)(iii) |
X |
Investment Company Act Section 3(c) |
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| X |
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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| X |
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 |
2009-06-11 |
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First Sale Yet to Occur |
| X |
Amendment |
8. Duration of Offering
| Does the Issuer intend this offering to last more than one year? |
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9. Type(s) of Securities Offered (select all that apply)
| X |
Equity |
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Pooled Investment Fund Interests |
| |
Debt |
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Tenant-in-Common Securities |
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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 |
$100,000 |
USD |
12. Sales Compensation
| Recipient |
| Recipient CRD Number |
|
None |
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| John Azodi |
3061934 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Berthel, Fisher and Company Financial Services, Inc. |
13609 |
| Street Address 1 |
Street Address 2 |
| 6051 N. Chestnut Avenue, Suite B |
| City |
State/Province/Country |
ZIP/Postal Code |
| Gladstone |
MO |
64119 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| AZ |
| CA |
| FL |
| IL |
| IN |
| IA |
| KS |
| MN |
| MO |
| NE |
| NY |
| OH |
| PA |
| TX |
| VT |
| VA |
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| Recipient |
| Recipient CRD Number |
|
None |
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| Larry I. Behrends |
16971 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Workman Securities Corporation |
31989 |
| Street Address 1 |
Street Address 2 |
| 1275 58th Avenue, Suite A |
| City |
State/Province/Country |
ZIP/Postal Code |
| Greeley |
CO |
80634 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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|
| AZ |
| CA |
| CO |
| CT |
| DC |
| GA |
| ID |
| IN |
| IA |
| MD |
| NE |
| NV |
| NH |
| NM |
| NC |
| ND |
| OK |
| OR |
| PA |
| SD |
| TX |
| UT |
| WA |
| WY |
|
| Recipient |
| Recipient CRD Number |
|
None |
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| Tracy R. Turner |
1385745 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Private Asset Group, Inc. |
142541 |
| Street Address 1 |
Street Address 2 |
| 1917 Palomar Oaks Way |
Suite 150 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Carlsbad |
CA |
92008 |
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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| Pacific West Securities, Inc. |
6390 |
| (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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| Pacific West Securities, Inc. |
6390 |
| Street Address 1 |
Street Address 2 |
| 555 S. Renton |
Village Place, Suite 700 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Renton |
WA |
98057 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
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| Recipient |
| Recipient CRD Number |
|
None |
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| John P. Harvey, Jr. |
4227692 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Omni Brokerage, Inc. |
16878 |
| Street Address 1 |
Street Address 2 |
| One City Boulevard West |
Suite 870 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Orange |
CA |
92868 |
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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| Mark S. Mourick |
867435 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Gramercy Securities, Inc. |
8177 |
| Street Address 1 |
Street Address 2 |
| 24901 Dana Point Harbor Drive |
Suite 230 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Dana Point |
CA |
92629 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| AZ |
| CA |
| CO |
| FL |
| HI |
| OH |
| OK |
| OR |
| UT |
| VT |
| VA |
| WA |
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| Recipient |
| Recipient CRD Number |
|
None |
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| Richard D. Beltz |
4906022 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Berthel, Fisher and Company Financial Services, Inc. |
13609 |
| Street Address 1 |
Street Address 2 |
| 122 SE First Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Fairfax |
MN |
55332 |
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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| Brian S. Schimpf |
5062867 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Berthel, Fisher and Company Financial Services, Inc. |
13609 |
| Street Address 1 |
Street Address 2 |
| 122 SE First Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Fairfax |
MN |
55332 |
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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| M. Gene Walter |
851987 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| MCL Financial Group, Inc. |
41180 |
| Street Address 1 |
Street Address 2 |
| 12600 West Colfax Avenue |
Suite C-480 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lakewood |
CO |
80215 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
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| AZ |
| CA |
| CO |
| FL |
| GA |
| IL |
| IN |
| LA |
| MN |
| MT |
| NE |
| NV |
| NM |
| NY |
| OK |
| PA |
| SC |
| TN |
| TX |
| VA |
| WA |
| WY |
|
| Recipient |
| Recipient CRD Number |
|
None |
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| Stephen A. Pierce |
2170820 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| GunnAllen Financial, Inc. |
17609 |
| Street Address 1 |
Street Address 2 |
| 9812 Millwood Circle |
| City |
State/Province/Country |
ZIP/Postal Code |
| Daphne |
AL |
36527 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
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| AL |
| CA |
| CO |
| FL |
| GA |
| ID |
| LA |
| ME |
| MS |
| NC |
| OH |
| SD |
| TX |
| VA |
| WA |
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| Recipient |
| Recipient CRD Number |
|
None |
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| Paul A. Conte |
4803177 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Alternative Wealth Strategies, Inc. |
130993 |
| Street Address 1 |
Street Address 2 |
| 600 Worcester Road, Suite LL1 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Framingham |
MA |
01701 |
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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| Richard J. Maciasz |
1678609 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| GunnAllen Financial, Inc. |
17609 |
| Street Address 1 |
Street Address 2 |
| 2002 False River Drive |
| City |
State/Province/Country |
ZIP/Postal Code |
| New Roads |
LA |
70760 |
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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| Stuart C. Chamberlin, Jr. |
1549351 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| GunnAllen Financial, Inc. |
17609 |
| Street Address 1 |
Street Address 2 |
| 7280 West Palmetto Park Road |
Suite 106 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Boca Raton |
FL |
33433 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| AL |
| AZ |
| CA |
| CT |
| FL |
| GA |
| IL |
| KS |
| MD |
| MA |
| MN |
| MO |
| NJ |
| NM |
| NY |
| NC |
| OH |
| PA |
| SC |
| TX |
| VA |
|
| Recipient |
| Recipient CRD Number |
|
None |
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| Karl R. Norman |
349146 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Questar Capital Corporation |
43100 |
| Street Address 1 |
Street Address 2 |
| 350 Garfield Avenue |
| City |
State/Province/Country |
ZIP/Postal Code |
| Duluth |
MN |
55802 |
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 |
|
| Bradley D. McCord |
5435128 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
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| Private Asset Group, Inc. |
142541 |
| Street Address 1 |
Street Address 2 |
| 3070 Bristol Street |
Suite 500 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Costa Mesa |
CA |
92626 |
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 |
|
| Lisa Y. del Rio |
5039684 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Direct Capital Securities, Inc. |
29639 |
| Street Address 1 |
Street Address 2 |
| 1250 S. Capital of Texas Highway |
Building 1, Suite 400 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Austin |
TX |
78746 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| AL |
| AK |
| AZ |
| AR |
| CA |
| CO |
| CT |
| DE |
| FL |
| GA |
| ID |
| IL |
| IN |
| IA |
| KS |
| LA |
| ME |
| MD |
| MA |
| MI |
| MN |
| MS |
| MO |
| NE |
| NV |
| NH |
| NJ |
| NM |
| NY |
| NC |
| ND |
| OH |
| OK |
| OR |
| PA |
| SC |
| TX |
| UT |
| VT |
| VA |
| WA |
| WI |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Robert L. Johnson |
1570308 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Questar Capital Corporation |
43100 |
| Street Address 1 |
Street Address 2 |
| 1012 Harrison Avenue, Suite 2 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Harrison |
OH |
45030 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| CA |
| CT |
| FL |
| IN |
| KY |
| MI |
| NC |
| OH |
| OR |
| TX |
| WA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Ashlee R. Turner |
5467536 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Private Asset Group, Inc. |
142541 |
| Street Address 1 |
Street Address 2 |
| 1917 Palomar Oaks Way |
Suite 150 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Carlsbad |
CA |
92008 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Gary L. Chapman |
5244594 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Bethel, Fisher and Company Financial Services, Inc. |
13609 |
| Street Address 1 |
Street Address 2 |
| 111 Monument Circle, Suite 2700 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Indianapolis |
IN |
46204 |
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 |
|
| Lewis M. Savage |
4716737 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Direct Capital Securities, Inc. |
29639 |
| Street Address 1 |
Street Address 2 |
| 1250 S. Capital of Texas Highway |
Building I, Suite 400 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Austin |
TX |
78746 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Ronald J. Farner |
2335915 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| National Securities Corporation |
7569 |
| Street Address 1 |
Street Address 2 |
| 248 Center Avenue |
| City |
State/Province/Country |
ZIP/Postal Code |
| Molalla |
OR |
97038 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| AZ |
| CA |
| ID |
| IA |
| NH |
| OR |
| SC |
| TX |
| WA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Michael J. Blackmore |
2879954 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Sammons Securities Company, LLC |
115368 |
| Street Address 1 |
Street Address 2 |
| 20 S. Village Drive, Suite B |
| City |
State/Province/Country |
ZIP/Postal Code |
| Liberty |
MO |
64068 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Jimmy D. Weishaar |
2537959 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Sammons Securities Company, LLC |
115368 |
| Street Address 1 |
Street Address 2 |
| 134 North 130 Street, Suite A |
| City |
State/Province/Country |
ZIP/Postal Code |
| Bonner Springs |
KS |
66012 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Warren A. Wedepohl |
4581750 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Pavek Investments Inc. |
15791 |
| Street Address 1 |
Street Address 2 |
| 3603 N. Hastings Way, Suite 100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Eau Claire |
WI |
54703 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Derek J. Elrod |
4793202 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Sloan Securities Corp. |
17930 |
| Street Address 1 |
Street Address 2 |
| Two Executive Drive |
| City |
State/Province/Country |
ZIP/Postal Code |
| Fort Lee |
NJ |
07024-3308 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Robert A. Horning |
2311640 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Centaurus Financial, Inc. |
30833 |
| Street Address 1 |
Street Address 2 |
| 3 MacArthur Place, Suite 855 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Santa Ana |
CA |
92707 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Robert Muldoon |
2664336 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Omni Brokerage, Inc. |
16878 |
| Street Address 1 |
Street Address 2 |
| 150 W. Civic Center Drive, Suite 103 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Sandy |
UT |
84070 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| CA |
| DE |
| DC |
| KY |
| MD |
| NH |
| NC |
| SC |
| TN |
| VA |
| WV |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| James M. Mohan |
2449709 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Sammons Securities Company, LLC |
115368 |
| Street Address 1 |
Street Address 2 |
| 134 North 130 Street, Suite A |
| City |
State/Province/Country |
ZIP/Postal Code |
| Bonner Spring |
KS |
66012 |
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 |
| 907 S. Myrtle Avenue |
| City |
State/Province/Country |
ZIP/Postal Code |
| Monrovia |
CA |
91016 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Joseph R. Broadbent |
3132498 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Omni Brokerage, Inc. |
16878 |
| Street Address 1 |
Street Address 2 |
| 2040 Murray-Holladay Road |
Suite 201 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Salt Lake City |
UT |
84117 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| AZ |
| AR |
| CA |
| CO |
| CT |
| FL |
| HI |
| ID |
| IL |
| KY |
| ME |
| MD |
| MN |
| MO |
| MT |
| NV |
| NM |
| NY |
| OR |
| PA |
| UT |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| F. Brian Tanner |
5038888 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Omni Brokerage, Inc. |
16878 |
| Street Address 1 |
Street Address 2 |
| 55 Madison Street, Suite 675 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Denver |
CO |
80206 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Robert G. Tatum |
1936605 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| BancorpSouth Investment Services, Inc. |
46259 |
| Street Address 1 |
Street Address 2 |
| 2909 13th Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Gulfport |
MS |
39501 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Robert D. Russell |
4667804 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Kalos Capital, Inc. |
44337 |
| Street Address 1 |
Street Address 2 |
| 3174 Presidential Drive |
| City |
State/Province/Country |
ZIP/Postal Code |
| Fairborn |
OH |
45324 |
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 |
$21,200,000 |
USD |
|
| Total Amount Sold |
$8,316,461 |
USD |
| Total Remaining to be Sold |
$12,883,539 |
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 |
$2,756,000 |
USD |
|
| Finders' Fees |
$0 |
USD |
|
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.
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 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 |
| Thompson/Morgan Baton Rouge I, DST |
Anthony W. Thompson |
Anthony W. Thompson |
Managing Member and CEO of Sponsor |
2009-10-06 |
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.