This is the Primary Document downloaded from EDGAR on 12/11/2014 4:33:30 PM EST for EFDID 5601 and Accession Number 0001466589-10-000003.

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
0001466589
   Corporation
   Limited Partnership
   Limited Liability Company
   General Partnership
X Business Trust
   Other (Specify)

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

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 CALIFORNIA 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 CALIFORNIA 92614
Relationship: X Executive Officer    Director    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 CALIFORNIA 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 CALIFORNIA 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 CALIFORNIA 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 CALIFORNIA 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

   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
   REITS & Finance
X 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) X Investment Company Act Section 3(c)
X 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)
X 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 2009-06-11    First Sale Yet to Occur
X Amendment

8. Duration of Offering

Does the Issuer intend this offering to last more than one year?
   Yes X 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 $100,000 USD

12. Sales Compensation

Recipient
Recipient CRD Number    None
Larry I. Behrends 16971
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Workman Securities Corporation 31989
Street Address 1 Street Address 2
1275 58th Avenue, Suite A
City State/Province/Country ZIP/Postal Code
Greeley COLORADO 80634
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
COLORADO
CONNECTICUT
DISTRICT OF COLUMBIA
GEORGIA
IDAHO
INDIANA
IOWA
MARYLAND
NEBRASKA
NEVADA
NEW HAMPSHIRE
NEW MEXICO
NORTH CAROLINA
NORTH DAKOTA
OKLAHOMA
OREGON
PENNSYLVANIA
SOUTH DAKOTA
TEXAS
UTAH
WASHINGTON
WYOMING
Recipient
Recipient CRD Number    None
Tracy R. Turner 1385745
(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 CALIFORNIA 92008
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
Recipient
Recipient CRD Number    None
Pacific West Securities, Inc. 6390
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
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 WASHINGTON 98057
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
John P. Harvey, Jr. 4227692
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Omni Brokerage, Inc. 16878
Street Address 1 Street Address 2
One City Boulevard West Suite 870
City State/Province/Country ZIP/Postal Code
Orange CALIFORNIA 92868
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
FLORIDA
ILLINOIS
MASSACHUSETTS
NEW JERSEY
NEW YORK
OREGON
TEXAS
Recipient
Recipient CRD Number    None
Mark S. Mourick 867435
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
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 CALIFORNIA 92629
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
COLORADO
FLORIDA
HAWAII
OHIO
OKLAHOMA
OREGON
UTAH
VERMONT
VIRGINIA
WASHINGTON
Recipient
Recipient CRD Number    None
M. Gene Walter 851987
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
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 COLORADO 80215
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
COLORADO
FLORIDA
GEORGIA
ILLINOIS
INDIANA
LOUISIANA
MINNESOTA
MONTANA
NEBRASKA
NEVADA
NEW MEXICO
NEW YORK
OKLAHOMA
PENNSYLVANIA
SOUTH CAROLINA
TENNESSEE
TEXAS
VIRGINIA
WASHINGTON
WYOMING
Recipient
Recipient CRD Number    None
Stephen A. Pierce 2170820
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
GunnAllen Financial, Inc. 17609
Street Address 1 Street Address 2
9812 Millwood Circle
City State/Province/Country ZIP/Postal Code
Daphne ALABAMA 36527
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
CALIFORNIA
COLORADO
FLORIDA
GEORGIA
IDAHO
LOUISIANA
MAINE
MISSISSIPPI
NORTH CAROLINA
OHIO
SOUTH DAKOTA
TEXAS
VIRGINIA
WASHINGTON
Recipient
Recipient CRD Number    None
Paul A. Conte 4803177
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Alternative Wealth Strategies, Inc. 130993
Street Address 1 Street Address 2
600 Worcester Road, Suite LL1
City State/Province/Country ZIP/Postal Code
Framingham MASSACHUSETTS 01701
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
MASSACHUSETTS
PENNSYLVANIA
Recipient
Recipient CRD Number    None
Richard J. Maciasz 1678609
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
GunnAllen Financial, Inc. 17609
Street Address 1 Street Address 2
2002 False River Drive
City State/Province/Country ZIP/Postal Code
New Roads LOUISIANA 70760
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
ARKANSAS
CALIFORNIA
FLORIDA
LOUISIANA
MISSISSIPPI
TEXAS
Recipient
Recipient CRD Number    None
Stuart C. Chamberlin, Jr. 1549351
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
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 FLORIDA 33433
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
ARIZONA
CALIFORNIA
CONNECTICUT
FLORIDA
GEORGIA
ILLINOIS
KANSAS
MARYLAND
MASSACHUSETTS
MINNESOTA
MISSOURI
NEW JERSEY
NEW MEXICO
NEW YORK
NORTH CAROLINA
OHIO
PENNSYLVANIA
SOUTH CAROLINA
TEXAS
VIRGINIA
Recipient
Recipient CRD Number    None
Karl R. Norman 349146
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Questar Capital Corporation 43100
Street Address 1 Street Address 2
350 Garfield Avenue
City State/Province/Country ZIP/Postal Code
Duluth MINNESOTA 55802
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
FLORIDA
ILLINOIS
MINNESOTA
WISCONSIN
Recipient
Recipient CRD Number    None
Bradley D. McCord 5435128
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
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 CALIFORNIA 92626
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
ARIZONA
CALIFORNIA
FLORIDA
HAWAII
PENNSYLVANIA
WYOMING
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 TEXAS 78746
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
ALASKA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
FLORIDA
GEORGIA
IDAHO
ILLINOIS
INDIANA
IOWA
KANSAS
LOUISIANA
MAINE
MARYLAND
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSISSIPPI
MISSOURI
NEBRASKA
NEVADA
NEW HAMPSHIRE
NEW JERSEY
NEW MEXICO
NEW YORK
NORTH CAROLINA
NORTH DAKOTA
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
SOUTH CAROLINA
TEXAS
UTAH
VERMONT
VIRGINIA
WASHINGTON
WISCONSIN
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 OHIO 45030
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
CONNECTICUT
FLORIDA
INDIANA
KENTUCKY
MICHIGAN
NORTH CAROLINA
OHIO
OREGON
TEXAS
WASHINGTON
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 CALIFORNIA 92008
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
CALIFORNIA
COLORADO
FLORIDA
HAWAII
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 TEXAS 78746
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
FLORIDA
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 OREGON 97038
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
IDAHO
IOWA
NEW HAMPSHIRE
OREGON
SOUTH CAROLINA
TEXAS
WASHINGTON
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 MISSOURI 64068
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
COLORADO
KANSAS
LOUISIANA
MISSOURI
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 KANSAS 66012
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
COLORADO
IDAHO
KANSAS
MISSOURI
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 WISCONSIN 54703
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CONNECTICUT
FLORIDA
ILLINOIS
MINNESOTA
WISCONSIN
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 NEW JERSEY 07024-3308
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
FLORIDA
NEVADA
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 CALIFORNIA 92707
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
NEVADA
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 UTAH 84070
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
DELAWARE
DISTRICT OF COLUMBIA
KENTUCKY
MARYLAND
NEW HAMPSHIRE
NORTH CAROLINA
SOUTH CAROLINA
TENNESSEE
VIRGINIA
WEST VIRGINIA
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 KANSAS 66012
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
COLORADO
IDAHO
KANSAS
MISSOURI
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 CALIFORNIA 91016
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
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 UTAH 84117
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
FLORIDA
HAWAII
IDAHO
ILLINOIS
KENTUCKY
MAINE
MARYLAND
MINNESOTA
MISSOURI
MONTANA
NEVADA
NEW MEXICO
NEW YORK
OREGON
PENNSYLVANIA
UTAH
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 COLORADO 80206
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
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 MISSISSIPPI 39501
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
FLORIDA
LOUISIANA
MASSACHUSETTS
NORTH CAROLINA
TEXAS
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 OHIO 45324
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
KENTUCKY
OHIO
SOUTH CAROLINA
Recipient
Recipient CRD Number    None
James T. Riner 376932
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Crown Capital Securities, L.P. 6312
Street Address 1 Street Address 2
1706 Plum Lane, Suite 109
City State/Province/Country ZIP/Postal Code
Redlands CALIFORNIA 92374-4577
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
WASHINGTON
Recipient
Recipient CRD Number    None
Robert Russel Tweed 2339324
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Capwest Securities, Inc. 30002
Street Address 1 Street Address 2
2060 Huntington Drive, Suite 1
City State/Province/Country ZIP/Postal Code
San Marino CALIFORNIA 91108
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
COLORADO
FLORIDA
GEORGIA
HAWAII
IDAHO
ILLINOIS
MAINE
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSOURI
NEVADA
NEW JERSEY
NEW MEXICO
NEW YORK
OHIO
OREGON
PENNSYLVANIA
SOUTH CAROLINA
TENNESSEE
TEXAS
UTAH
VIRGINIA
WASHINGTON
Recipient
Recipient CRD Number    None
Debra L. Mackie 2528711
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Questar Capital Corporation 43100
Street Address 1 Street Address 2
1623 York Avenue, Suite 108
City State/Province/Country ZIP/Postal Code
High Point NORTH CAROLINA 27265
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MARYLAND
NORTH CAROLINA
OHIO
SOUTH CAROLINA
Recipient
Recipient CRD Number    None
Berthel, Fisher & Company Financial Services, Inc. 13069
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
701 Tama Street, 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		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
James W. Olsen 857594
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Crown Capital Securities, L.P. 6312
Street Address 1 Street Address 2
1601 Belle Chasse Highway Suite 200
City State/Province/Country ZIP/Postal Code
Gretna LOUISIANA 70056
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
ARIZONA
CALIFORNIA
COLORADO
CONNECTICUT
FLORIDA
ILLINOIS
LOUISIANA
MARYLAND
MINNESOTA
MISSISSIPPI
NEW YORK
OHIO
SOUTH CAROLINA
TEXAS
VIRGINIA
WASHINGTON
WYOMING
Recipient
Recipient CRD Number    None
Jeffrey J. Arburn 1475817
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Whitehall-Parker Securities, Inc. 10608
Street Address 1 Street Address 2
880 East Campbell Avenue Suite 206
City State/Province/Country ZIP/Postal Code
Campbell CALIFORNIA 95008
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
NEVADA
NEW YORK
OREGON
WASHINGTON
Recipient
Recipient CRD Number    None
Norberto Fernandez 5241882
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Newport Coast Securities 16944
Street Address 1 Street Address 2
3460 Torrance Boulevard Suite 306
City State/Province/Country ZIP/Postal Code
Torrance CALIFORNIA 90503
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 W. Gammon 1811853
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Centaurus Financial, Inc. 30833
Street Address 1 Street Address 2
1122 Kenilworth Drive Suite 201
City State/Province/Country ZIP/Postal Code
Towson MARYLAND 21204
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALASKA
ARKANSAS
CALIFORNIA
CONNECTICUT
DELAWARE
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
INDIANA
KENTUCKY
MARYLAND
MASSACHUSETTS
NEW JERSEY
NEW YORK
NORTH CAROLINA
OHIO
PENNSYLVANIA
RHODE ISLAND
SOUTH CAROLINA
TEXAS
UTAH
VIRGINIA
WASHINGTON
Recipient
Recipient CRD Number    None
William R. Furlong, Jr. 801636
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Newport Coast Securities, Inc. 16944
Street Address 1 Street Address 2
3460 Torrance Boulevard Suite 306
City State/Province/Country ZIP/Postal Code
Torrance CALIFORNIA 90503
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
Recipient
Recipient CRD Number    None
Michael S. Welch 4215661
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Kalos Capital, Inc. 44337
Street Address 1 Street Address 2
12900 Preston Road Suite 400
City State/Province/Country ZIP/Postal Code
Dallas TEXAS 75230
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW JERSEY
TEXAS
WASHINGTON
WISCONSIN
Recipient
Recipient CRD Number    None
Angela L. Tejeda 4212910
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Money Concepts Capital Corp. 12963
Street Address 1 Street Address 2
8307 W. 34th Street North
City State/Province/Country ZIP/Postal Code
Wichita KANSAS 67205
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
KANSAS
TEXAS
Recipient
Recipient CRD Number    None
Christopher M. Schellin 5575534
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Capstone Financial Group, Inc. 133591
Street Address 1 Street Address 2
8295 242nd Street
City State/Province/Country ZIP/Postal Code
Forest Lake MINNESOTA 55025
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
MISSOURI
NORTH CAROLINA
Recipient
Recipient CRD Number    None
Leslie M. Pappas 1735372
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Regent Capital Group, Inc. 126881
Street Address 1 Street Address 2
542 20th Avenue North
City State/Province/Country ZIP/Postal Code
Indian Rock Beach FLORIDA 33785
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
FLORIDA
NEW JERSEY
NORTH CAROLINA
TENNESSEE
WASHINGTON
Recipient
Recipient CRD Number    None
Gregory W. McCloskey 2820510
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Newport Coast Securities, Inc. 16944
Street Address 1 Street Address 2
4100 Newport Place Suite 630
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
ARIZONA
CALIFORNIA
FLORIDA
LOUISIANA
NEVADA
NEW YORK
OKLAHOMA
Recipient
Recipient CRD Number    None
Ivette M. Peugnet 1623785
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Crown Capital Securities, L.P. 6312
Street Address 1 Street Address 2
17537 Oak Street
City State/Province/Country ZIP/Postal Code
Fountain Valley CALIFORNIA 92708
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
David B. McMillen 1198070
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Crown Capital Securities, L.P. 6312
Street Address 1 Street Address 2
106 Pineview Lane
City State/Province/Country ZIP/Postal Code
Boulder COLORADO 80302
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
COLORADO
IDAHO
OKLAHOMA
OREGON
Recipient
Recipient CRD Number    None
Craig C. Frieders 2817574
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sloan Securities Corp. 17930
Street Address 1 Street Address 2
1615 Bonanza Street Suite 403
City State/Province/Country ZIP/Postal Code
Walnut Creek CALIFORNIA 94596
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
GEORGIA
ILLINOIS
MASSACHUSETTS
NEW HAMPSHIRE
NEW JERSEY
OREGON
SOUTH CAROLINA
VIRGINIA
Recipient
Recipient CRD Number    None
Adam Bryan 5443986
(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 350
City State/Province/Country ZIP/Postal Code
Austin TEXAS 78746
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
GEORGIA
WASHINGTON
Recipient
Recipient CRD Number    None
John M. Kosmicki 2093885
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Questar Capital Corporation 43100
Street Address 1 Street Address 2
910 54th Avenue Suite 200
City State/Province/Country ZIP/Postal Code
Greeley COLORADO 80634
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
COLORADO
HAWAII
INDIANA
KENTUCKY
MARYLAND
NEBRASKA
NEW MEXICO
SOUTH CAROLINA
SOUTH DAKOTA
VIRGINIA
WYOMING
Recipient
Recipient CRD Number    None
Gary L. Flater 1049132
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
MCL Financial Group, Inc. 41180
Street Address 1 Street Address 2
1551 North Tustin Avenue Suite 960
City State/Province/Country ZIP/Postal Code
Santa Ana CALIFORNIA 92705
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
ALASKA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
HAWAII
IDAHO
ILLINOIS
INDIANA
IOWA
KANSAS
KENTUCKY
LOUISIANA
MAINE
MARYLAND
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSISSIPPI
MISSOURI
MONTANA
NEBRASKA
NEVADA
NEW HAMPSHIRE
NEW JERSEY
NEW MEXICO
NEW YORK
NORTH CAROLINA
NORTH DAKOTA
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
RHODE ISLAND
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
VERMONT
VIRGINIA
WASHINGTON
WEST VIRGINIA
WISCONSIN
WYOMING
Recipient
Recipient CRD Number    None
Daniel P. Raupp 4079107
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Gunnallen Financial, Inc. 17609
Street Address 1 Street Address 2
415 East Main Street 3rd Floor
City State/Province/Country ZIP/Postal Code
Port Jefferson NEW YORK 11777
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
COLORADO
DELAWARE
FLORIDA
GEORGIA
IDAHO
ILLINOIS
INDIANA
KANSAS
KENTUCKY
LOUISIANA
MARYLAND
MASSACHUSETTS
MICHIGAN
MISSOURI
NEW JERSEY
NEW YORK
NORTH CAROLINA
OHIO
PENNSYLVANIA
PUERTO RICO
SOUTH CAROLINA
TEXAS
UTAH
VIRGINIA
WASHINGTON
Recipient
Recipient CRD Number    None
David J. Chwalek 2159441
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Investors Capital Corp. 30613
Street Address 1 Street Address 2
18 Mainn Street
City State/Province/Country ZIP/Postal Code
Concord MASSACHUSETTS 01742
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CONNECTICUT
FLORIDA
MASSACHUSETTS
SOUTH CAROLINA
Recipient
Recipient CRD Number    None
Lambert B. Hermelink III 243918
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial Corp. 14754
Street Address 1 Street Address 2
23493 E. Phillips Pl
City State/Province/Country ZIP/Postal Code
Aurora COLORADO 80016
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
COLORADO
FLORIDA
TEXAS
Recipient
Recipient CRD Number    None
Jack R. Maurer 3081542
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
TNP Securities, LLC 149178
Street Address 1 Street Address 2
1900 Main Street Suite 700
City State/Province/Country ZIP/Postal Code
Irvine CALIFORNIA 92614
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
NEW HAMPSHIRE
Recipient
Recipient CRD Number    None
Nathan P. MacDonald 2250393
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Investors Capital Corp. 30613
Street Address 1 Street Address 2
229 Center Street Unit 5
City State/Province/Country ZIP/Postal Code
Auburn MAINE 04210
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CONNECTICUT
FLORIDA
HAWAII
MAINE
MASSACHUSETTS
NEW HAMPSHIRE
OHIO
Recipient
Recipient CRD Number    None
Mark A. Cline 3206962
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
United Equity Securities, LLC 47261
Street Address 1 Street Address 2
400 SE 12th Street Suite #D North
City State/Province/Country ZIP/Postal Code
Ft. Lauderdale FLORIDA 33316
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
FLORIDA
NORTH CAROLINA
TEXAS
WASHINGTON
Recipient
Recipient CRD Number    None
Keith A. Herman 2322605
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Alternative Wealth Strategies, Inc. 130933
Street Address 1 Street Address 2
1040 N. Kings Highway Suite 405
City State/Province/Country ZIP/Postal Code
Cherry Hill NEW JERSEY 08034
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MARYLAND
NEW JERSEY
NEW YORK
PENNSYLVANIA
Recipient
Recipient CRD Number    None
Brian F. Lynch 4660088
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
TNP Securities, LLC 149178
Street Address 1 Street Address 2
1900 Main Street Suite 700
City State/Province/Country ZIP/Postal Code
Irvine CALIFORNIA 92614
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARKANSAS
CALIFORNIA
COLORADO
LOUISIANA
NEW MEXICO
OKLAHOMA
TEXAS
Recipient
Recipient CRD Number    None
Timothy J. Sherer 833618
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
J.P. Turner & Company, L.L.C. 43177
Street Address 1 Street Address 2
1754 Technology Drive Suite 246
City State/Province/Country ZIP/Postal Code
San Jose CALIFORNIA 95110
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
COLORADO
INDIANA
LOUISIANA
NEW YORK
OKLAHOMA
TEXAS
VIRGINIA
WASHINGTON
Recipient
Recipient CRD Number    None
Michele F. Boyer 5046676
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Workman Securities Corporation 31898
Street Address 1 Street Address 2
222 3rd Street SE Suite 600B
City State/Province/Country ZIP/Postal Code
Cedar Rapids IOWA 52401
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
IOWA
MICHIGAN
NORTH CAROLINA
Recipient
Recipient CRD Number    None
James M. Whitson 1353438
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
United Equity Securities, LLC 47261
Street Address 1 Street Address 2
1275 58th Avenue Suite A
City State/Province/Country ZIP/Postal Code
Greeley COLORADO 80634
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
Robert A. Graham 1025936
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Arete Wealth Management, LLC 44856
Street Address 1 Street Address 2
999 5th Avenue Suite 570
City State/Province/Country ZIP/Postal Code
San Rafael CALIFORNIA 94901
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
James T. Mabbott 2270546
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial Corp. 14754
Street Address 1 Street Address 2
61775 Mesquite Court
City State/Province/Country ZIP/Postal Code
La Quinta CALIFORNIA 92253
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
WISCONSIN
Recipient
Recipient CRD Number    None
Kathleen L. Heshelow 4909103
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Capwest Securities, Inc. 30002
Street Address 1 Street Address 2
5550 Bates Street
City State/Province/Country ZIP/Postal Code
Seminole FLORIDA 33772
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
COLORADO
CONNECTICUT
FLORIDA
GEORGIA
IDAHO
ILLINOIS
INDIANA
LOUISIANA
MASSACHUSETTS
MICHIGAN
MINNESOTA
NEW JERSEY
NEW YORK
NORTH CAROLINA
OHIO
OKLAHOMA
OREGON
SOUTH CAROLINA
TEXAS
UTAH
VERMONT
VIRGINIA
WASHINGTON
Recipient
Recipient CRD Number    None
Craig S. Sturges 1315735
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Centaurus Financial, Inc. 30833
Street Address 1 Street Address 2
1429 E. Thousand Oaks Blvd. Suite #209
City State/Province/Country ZIP/Postal Code
Thousand Oaks CALIFORNIA 91362
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
IDAHO
NEVADA
Recipient
Recipient CRD Number    None
Michael A. Sebald 1426782
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Landolt Securities, Inc. 28352
Street Address 1 Street Address 2
701 Oregon Street
City State/Province/Country ZIP/Postal Code
Oshkosh WISCONSIN 54902
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
WISCONSIN
Recipient
Recipient CRD Number    None
Joseph R. Donato 4218627
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Investors Capital Corp. 30613
Street Address 1 Street Address 2
11 Thelma Road
City State/Province/Country ZIP/Postal Code
Framingham MASSACHUSETTS 01702
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MASSACHUSETTS
NEW HAMPSHIRE

13. Offering and Sales Amounts

Total Offering Amount $21,200,000 USD
or    Indefinite
Total Amount Sold $20,985,800 USD
Total Remaining to be Sold $214,200 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:
142

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
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.

$1,849,800 USD
X Estimate

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 2010-07-29

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.