This is the Primary Document downloaded from EDGAR on 12/11/2014 1:00:14 PM EST for EFDID 12769 and Accession Number 0001472076-10-000001.
Please note that this is not the current Accession Number for this EFDId.
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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 |
|
Entity Type |
|
0001472076
|
|
| |
Corporation |
| |
Limited Partnership |
| |
Limited Liability Company |
| |
General Partnership |
| |
Business Trust |
| X |
Other (Specify) |
Aztec X Drilling Program by Aztec Oil& Gas (the Program) is the offering
subject of this filing. Under terms of
Program accepted investors become
limited partners of a partnership. Only one partnership is offered at a time until closed. |
| Name of Issuer |
| Aztec X Oil & Gas Drilling Program |
| Jurisdiction of Incorporation/Organization |
| TEXAS |
| Year of Incorporation/Organization |
| X |
Over Five Years Ago |
| |
Within Last Five Years (Specify Year) |
|
| |
Yet to Be Formed |
|
2. Principal Place of Business and Contact Information
| Name of Issuer |
| Aztec X Oil & Gas Drilling Program |
| Street Address 1 |
Street Address 2 |
| ONE RIVERWAY STE 1700 |
| City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
| HOUSTON |
TX |
77056 |
713-840-6444 |
3. Related Persons
| Last Name |
First Name |
Middle Name |
| Lehrer |
Kenneth |
| Street Address 1 |
Street Address 2 |
| One Riverway Ste 1700 |
| City |
State/Province/Country |
ZIP/PostalCode |
| Houston |
TX |
77056 |
| Relationship: |
|
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Director of Aztec Oil & Gas, Inc.
| Last Name |
First Name |
Middle Name |
| Vance |
Mark |
| Street Address 1 |
Street Address 2 |
| One Riverway Ste 1700 |
| City |
State/Province/Country |
ZIP/PostalCode |
| Houston |
TX |
77056 |
| Relationship: |
|
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Director of Aztec Oil & Gas, Inc.
| Last Name |
First Name |
Middle Name |
| Hornbrook |
Larry |
| Street Address 1 |
Street Address 2 |
| One Riverway Ste 1700 |
| City |
State/Province/Country |
ZIP/PostalCode |
| Houston |
TX |
77056 |
| Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
CFO of Aztec Oil & Gas, Inc.
| Last Name |
First Name |
Middle Name |
| Wheeler |
Dayton |
| Street Address 1 |
Street Address 2 |
| One Riverway Ste 1700 |
| City |
State/Province/Country |
ZIP/PostalCode |
| Houston |
TX |
77056 |
| Relationship: |
|
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Clarification of Response (if Necessary)
Director of Aztec Oil & Gas, Inc.
| Last Name |
First Name |
Middle Name |
| Cox |
Ariane |
| Street Address 1 |
Street Address 2 |
| One Riverway Ste 1700 |
| City |
State/Province/Country |
ZIP/PostalCode |
| Houston |
TX |
77056 |
| Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Vice President, Secretary-Treasurer, and Administrative Coordinator
of Aztec Oil & Gas, Inc.
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? |
|
|
| |
Other Banking & Financial Services |
|
| |
Business Services |
|
Energy |
|
|
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|
|
|
|
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|
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|
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Health Care |
|
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|
|
|
|
| |
Manufacturing |
|
Real Estate |
|
|
|
|
|
|
|
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|
|
|
|
|
Retailing |
|
|
Restaurants |
|
Technology |
|
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|
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|
|
Travel |
|
|
|
|
|
| |
Tourism & Travel Services |
|
|
|
|
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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 |
| X |
$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 |
| |
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) |
|
|
|
|
7. Type of Filing
| |
New Notice |
|
Date of First Sale |
2009-09-25 |
|
|
First Sale Yet to Occur |
| X |
Amendment |
8. Duration of Offering
| Does the Issuer intend this offering to last more than one year? |
|
|
9. Type(s) of Securities Offered (select all that apply)
| |
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 |
X |
Other (describe) |
|
Limited Partnership Units |
10. Business Combination Transaction
| Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
|
|
Clarification of Response (if Necessary):
11. Minimum Investment
| Minimum investment accepted from any outside investor |
$50,000 |
USD |
12. Sales Compensation
| Recipient |
| Recipient CRD Number |
|
None |
|
| Ray Kim |
4446196 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Private Asset Group, Inc. |
142541 |
| Street Address 1 |
Street Address 2 |
| 20241 SW Birch #100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Newport Beach |
CA |
92660 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Al Vanderlaan |
1172406 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Capwest Securities |
30002 |
| Street Address 1 |
Street Address 2 |
| 420 10th St NW |
| City |
State/Province/Country |
ZIP/Postal Code |
| Watertown |
SD |
57201 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Steve Barton |
2788138 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| QA3 Financial Corp. |
14754 |
| Street Address 1 |
Street Address 2 |
| 7000 Central Pkwy, Ste 1340 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Atlanta |
GA |
30328 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| AL |
| AR |
| FL |
| GA |
| MI |
| NC |
| SC |
| TX |
| VA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Antonio Taddeo |
5110448 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Alternative Wealth Strategies, Inc. |
130933 |
| Street Address 1 |
Street Address 2 |
| 50 Broadway, 1st Floor, Ste 22 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Hawthorne |
NY |
10532 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Patrick Cruickshank |
4214868 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| IMS Securities, Inc. |
35567 |
| Street Address 1 |
Street Address 2 |
| 6836 Bee Cave Rd. |
2nd Floor |
| 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 |
|
| Joel Beyer |
2515319 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| QA3 Corp. |
14754 |
| Street Address 1 |
Street Address 2 |
| 167535 Rendon Valley Rd |
| City |
State/Province/Country |
ZIP/Postal Code |
| Ramona |
CA |
92065 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| John Brogdon |
1450806 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| IMS Securities, Inc. |
35567 |
| Street Address 1 |
Street Address 2 |
| 10205 Westheimer Rd |
Suite 500 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Houston |
TX |
77042 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Steven Knowlton |
4527446 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| IMS Securities, Inc. |
35567 |
| Street Address 1 |
Street Address 2 |
| 6121 FM 1960 Rd W Ste 200 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Houston |
TX |
77069 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| AL |
| AZ |
| AR |
| CA |
| CO |
| FL |
| IL |
| KS |
| KY |
| LA |
| MA |
| MI |
| MS |
| MO |
| NM |
| OH |
| SC |
| TX |
| UT |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| David Gleeson |
2918661 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| QA3 Financial Corp. |
14754 |
| Street Address 1 |
Street Address 2 |
| 7000 Central Pkwy, Ste 1340 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Atlanta |
GA |
30328 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Nigel Bowman |
2022439 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| IMS Securities, Inc. |
35567 |
| Street Address 1 |
Street Address 2 |
| 6836 Bee Cave Rd., 2nd Floor |
| 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 |
|
| Lawrence Lambert |
301059 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Capwest Securities Inc. |
30002 |
| Street Address 1 |
Street Address 2 |
| 633 Berkmar Circle, Ste 1 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Charlottesville |
VA |
22901 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| AL |
| AZ |
| CA |
| CO |
| CT |
| DC |
| FL |
| ID |
| IL |
| IN |
| LA |
| MD |
| MA |
| MN |
| MS |
| NV |
| NH |
| NJ |
| NM |
| NC |
| OH |
| OK |
| OR |
| PA |
| SC |
| TX |
| UT |
| VA |
| WA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Charles Rognon |
816295 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| IMS Securities, Inc. |
35567 |
| Street Address 1 |
Street Address 2 |
| 4205 Snug Harbor Dr. |
| City |
State/Province/Country |
ZIP/Postal Code |
| College Station |
TX |
77845 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Robert Themm |
2886714 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Alternative Wealth Strategies, Inc. |
130933 |
| Street Address 1 |
Street Address 2 |
| 2901 Ross Ct |
| City |
State/Province/Country |
ZIP/Postal Code |
| Midland |
MI |
48640 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Robert Davis |
722322 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Calton & Associates, Inc. |
20999 |
| Street Address 1 |
Street Address 2 |
| 3551 W. Bearss Ave. |
| City |
State/Province/Country |
ZIP/Postal Code |
| Tampa |
FL |
33618 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Alan Lichtenstein |
1877017 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Alternative Wealth Strategies, Inc. |
130933 |
| Street Address 1 |
Street Address 2 |
| 18 Wade Dr. |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lake Grove |
NY |
11755 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Howard Kaplan |
1171182 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Calton & Associates, Inc. |
20999 |
| Street Address 1 |
Street Address 2 |
| 14497 N Dale Mabry Ste 215 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Tampa |
FL |
33618 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Oliver Williamson |
4642029 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Calton & Associates, Inc. |
20999 |
| Street Address 1 |
Street Address 2 |
| 611 Hambley Blvd. |
| City |
State/Province/Country |
ZIP/Postal Code |
| Pikeville |
KY |
41501 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Mark Markland |
1487083 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| QA3 Financial Corp. |
14754 |
| Street Address 1 |
Street Address 2 |
| 1230 Rosecrans Ave #610 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Manhattan Beach |
CA |
90266 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Ron Lundy |
4060961 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| QA3 Financial Corp. |
14754 |
| Street Address 1 |
Street Address 2 |
| 7000 Central Pkwy, Ste 1340 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Atlanta |
GA |
30328 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| AK |
| AZ |
| AR |
| CA |
| CO |
| FL |
| GA |
| IL |
| IN |
| IA |
| KY |
| ME |
| MD |
| MI |
| MS |
| MO |
| MT |
| NV |
| NJ |
| NY |
| NC |
| OH |
| OK |
| PA |
| SC |
| SD |
| TN |
| TX |
| VT |
| VA |
| WA |
| WI |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Terry Wheeler |
2163092 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| QA3 Financial Corp. |
14754 |
| Street Address 1 |
Street Address 2 |
| 2601 K Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Sacramento |
CA |
95816 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Jeff Nesseth |
1983482 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| QA3 Financial Corp. |
14754 |
| Street Address 1 |
Street Address 2 |
| 7000 Central Pkwy, Ste 1340 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Atlatnat |
GA |
30328 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CA |
| CO |
| FL |
| GA |
| IL |
| IA |
| MD |
| MI |
| MO |
| NC |
| OH |
| SD |
| TN |
| TX |
| VA |
| WA |
| WI |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Charles Bowers |
27270 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Steven Falk & Associates, Inc. |
14297 |
| Street Address 1 |
Street Address 2 |
| 17 Eastwood Dr. |
| City |
State/Province/Country |
ZIP/Postal Code |
| Palm Coast |
FL |
32164 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CA |
| CT |
| DC |
| FL |
| IL |
| MD |
| MA |
| NV |
| NH |
| NJ |
| NY |
| PA |
| RI |
| VA |
| WI |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| John Redfearn |
2771876 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| QA3 Financial Corp. |
14754 |
| Street Address 1 |
Street Address 2 |
| 7000 Central Pkwy, Ste 1340 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Atlanta |
GA |
30328 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| AL |
| AK |
| AZ |
| AR |
| CA |
| CO |
| FL |
| GA |
| IL |
| IN |
| IA |
| KY |
| ME |
| MD |
| MI |
| MS |
| MO |
| MT |
| NV |
| NJ |
| NY |
| NC |
| OH |
| OK |
| PA |
| SC |
| SD |
| TN |
| TX |
| VT |
| VA |
| WA |
| WV |
| WI |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| James Gaul |
218833 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Alternative Wealth Strategies, Inc. |
130933 |
| Street Address 1 |
Street Address 2 |
| 1040 Kings Hwy N Ste 405 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Cherry Hill |
NJ |
08034 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| AZ |
| AR |
| CA |
| CO |
| CT |
| FL |
| GA |
| HI |
| ID |
| IL |
| IN |
| IA |
| KS |
| KY |
| ME |
| MD |
| MA |
| MI |
| MN |
| MO |
| NE |
| NV |
| NH |
| NJ |
| NY |
| NC |
| ND |
| OH |
| OK |
| OR |
| PA |
| RI |
| SC |
| SD |
| TN |
| TX |
| UT |
| VT |
| VA |
| WA |
| WV |
| WI |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Jeff 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 |
| 141 Tompkins Avenue, 3rd Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| Pleasantville |
NY |
10570 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| John Bales |
1820734 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| IMS Securities, Inc. |
35567 |
| Street Address 1 |
Street Address 2 |
| 10205 Westheimer Rd., Ste 500 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Houston |
TX |
Houston |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| John Tyler |
4272019 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Capwest Securities Inc. |
30002 |
| Street Address 1 |
Street Address 2 |
| 288 Clayton St. #303 |
| 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 |
|
|
| AZ |
| AR |
| CA |
| CO |
| CT |
| FL |
| GA |
| IL |
| KS |
| MD |
| MT |
| NV |
| NM |
| NY |
| OH |
| PA |
| SC |
| TX |
| VA |
| WA |
| WY |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Tom English |
2459450 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| WFP Securities |
35098 |
| Street Address 1 |
Street Address 2 |
| 5786 Carroll Canyon Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Diego |
CA |
92121 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Nahum Daniels |
1521504 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| QA3 Financial Corp. |
14754 |
| Street Address 1 |
Street Address 2 |
| 555 Webbs Hill Rd |
| City |
State/Province/Country |
ZIP/Postal Code |
| Stamford |
CT |
06903 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| David Leathers |
2253342 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| QA3 Financial Corp. |
14754 |
| Street Address 1 |
Street Address 2 |
| 327 Dahlonega St. #1001 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Cumming |
GA |
Cumming |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| AL |
| AZ |
| CA |
| CO |
| FL |
| GA |
| IL |
| MS |
| NY |
| NC |
| PA |
| SC |
| TN |
| TX |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Jack Halley |
2130728 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Capwest Securities Inc. |
30002 |
| Street Address 1 |
Street Address 2 |
| 908 Tower Ct. |
| City |
State/Province/Country |
ZIP/Postal Code |
| Camarillo |
CA |
93010 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| David Theis |
1422471 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| QA3 Financial Corp. |
14754 |
| Street Address 1 |
Street Address 2 |
| 103 Marty Dr. Ste 101 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Buffalo |
MN |
55313 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Michael Dougherty |
2456707 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| QA3 Financial Corp. |
14754 |
| Street Address 1 |
Street Address 2 |
| 103 Marty Dr. Ste 101 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Buffalo |
MN |
55313 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Robert 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 Dr Ste 1 |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Marino |
CA |
91108 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| AZ |
| CA |
| CO |
| FL |
| GA |
| HI |
| ID |
| IL |
| MA |
| MI |
| MN |
| NV |
| NJ |
| NY |
| OH |
| OR |
| PA |
| SC |
| TN |
| TX |
| UT |
| VA |
| WA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| John Klett |
5307951 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Alternative Wealth Strategies, Inc. |
130933 |
| Street Address 1 |
Street Address 2 |
| 35 University Dr. |
| City |
State/Province/Country |
ZIP/Postal Code |
| Setauket |
NY |
11733 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| John Hannan |
1372033 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Private Asset Group, Inc. |
142541 |
| Street Address 1 |
Street Address 2 |
| 5070 Bristol St Ste 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 |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| James Conaway |
1920946 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| 3 Financial Corp. |
14754 |
| Street Address 1 |
Street Address 2 |
| 3000 E. Birch St #109 |
| City |
State/Province/Country |
ZIP/Postal Code |
| BreaBrea |
CA |
92821 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| William Lance Tolbert |
4927030 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Calton & Associates, Inc. |
20999 |
| Street Address 1 |
Street Address 2 |
| 2716 W Oxford Loop Ste 179 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Oxford |
MS |
38655 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Jackie Wadsworth |
2342163 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| IMS Securities, Inc. |
35567 |
| Street Address 1 |
Street Address 2 |
| 10205 Westheimer Rd., Ste 500 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Houston |
TX |
77042 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Michael Scavullo |
2537103 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| JP Turner & Company |
43177 |
| Street Address 1 |
Street Address 2 |
| 5266 Bailey Ct. |
| City |
State/Province/Country |
ZIP/Postal Code |
| Doylestown |
PA |
18902 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| William Laseter Jr |
1086701 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| JP Turner & Company |
43177 |
| Street Address 1 |
Street Address 2 |
| 3060 Peachtree Rd NW |
11th FL |
| City |
State/Province/Country |
ZIP/Postal Code |
| Atlanta |
GA |
30305 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Joel Kamphis |
1730775 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| JP Turner & Company |
43177 |
| Street Address 1 |
Street Address 2 |
| 350 SE 2nd St #1560 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Ft. Lauderdale |
FL |
33301 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CA |
| FL |
| GA |
| LA |
| MA |
| MI |
| NJ |
| PA |
| TX |
| WI |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Anthony Marcello |
2844880 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| JP Turner & Company |
43177 |
| Street Address 1 |
Street Address 2 |
| 350 SE 2nd St #1560 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Ft. Lauderdale |
FL |
33301 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CA |
| FL |
| GA |
| LA |
| MA |
| MI |
| NJ |
| TX |
| WI |
|
13. Offering and Sales Amounts
| Total Offering Amount |
$50,000,000 |
USD |
|
| Total Amount Sold |
$4,653,000 |
USD |
| Total Remaining to be Sold |
$45,347,000 |
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 |
$6,000,000 |
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 |
| Aztec X Oil & Gas Drilling Program |
Ariane E. Cox |
Ariane E. Cox |
Vice President and Administrative Coordinator |
2010-03-16 |
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.