This is the Primary Document downloaded from EDGAR on 12/5/2014 10:22:40 PM EST for EFDID 105696 and Accession Number 0001619700-14-000001.

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

SEC FORM D

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
0001619700
   Corporation
   Limited Partnership
X Limited Liability Company
   General Partnership
   Business Trust
   Other (Specify)

Name of Issuer
Granite Texas Senior Holdings IV, LLC
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
   Over Five Years Ago
X Within Last Five Years (Specify Year) 2014
   Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
Granite Texas Senior Holdings IV, LLC
Street Address 1 Street Address 2
2 PARK PLAZA, SUITE 800
City State/Province/Country ZIP/PostalCode Phone Number of Issuer
IRVINE CALIFORNIA 92614 949-477-5800

3. Related Persons

Last Name First Name Middle Name
Granite Investment Group
Street Address 1 Street Address 2
2 Park Plaza, Suite 800
City State/Province/Country ZIP/PostalCode
Irvine CALIFORNIA 92614
Relationship:    Executive Officer    Director X Promoter

Clarification of Response (if Necessary):

Manager of the Issuer.
Last Name First Name Middle Name
Boerner Allen
Street Address 1 Street Address 2
2 Park Plaza, Suite 800
City State/Province/Country ZIP/PostalCode
Irvine CALIFORNIA 92614
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Chief Executive Officer of the Manager of the Issuer.
Last Name First Name Middle Name
Heller John J
Street Address 1 Street Address 2
2 Park Plaza, Suite 800
City State/Province/Country ZIP/PostalCode
Irvine CALIFORNIA 92614
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

President of the Manager of the Issuer.
Last Name First Name Middle Name
Rickard Scott
Street Address 1 Street Address 2
2 Park Plaza, Suite 800
City State/Province/Country ZIP/PostalCode
Irvine CALIFORNIA 92614
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Chief Investment Officer of the Manager of the Issuer.
Last Name First Name Middle Name
Levy Carey P
Street Address 1 Street Address 2
2 Park Plaza, Suite 800
City State/Province/Country ZIP/PostalCode
Irvine CALIFORNIA 92614
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Chief Operating Officer of the Manager of the Issuer.
Last Name First Name Middle Name
McKeever Joseph E
Street Address 1 Street Address 2
2 Park Plaza, Suite 800
City State/Province/Country ZIP/PostalCode
Irvine CALIFORNIA 92614
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

General Counsel of the Manager of the Issuer.

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
   Residential
X 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 504 (b)(1)(i)
   Rule 504 (b)(1)(ii)
   Rule 504 (b)(1)(iii)
   Rule 505
X Rule 506(b)
   Rule 506(c)
   Securities Act Section 4(a)(5)
   Investment Company Act Section 3(c)
   Section 3(c)(1)    Section 3(c)(9)  
   Section 3(c)(2)    Section 3(c)(10)
   Section 3(c)(3)    Section 3(c)(11)
   Section 3(c)(4)    Section 3(c)(12)
   Section 3(c)(5)    Section 3(c)(13)
   Section 3(c)(6)    Section 3(c)(14)
   Section 3(c)(7)

7. Type of Filing

X New Notice Date of First Sale 2014-10-22    First Sale Yet to Occur
   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 X Other (describe)
Membership interests in Granite Texas Senior Holdings IV, LLC.

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 $50,000 USD

12. Sales Compensation

Recipient
Recipient CRD Number    None
Peter R. Dorn 1089858
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Wall Street Strategies, Inc. 31268
Street Address 1 Street Address 2
650 South Prairie View Drive, Suite 125
City State/Province/Country ZIP/Postal Code
West Des Moines IOWA 50266
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
IOWA
Recipient
Recipient CRD Number    None
John J. Temple 1139897
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
ARI Financial Services, Inc. 137608
Street Address 1 Street Address 2
9120 West 135th Street, Suite 212
City State/Province/Country ZIP/Postal Code
Overland Park KANSAS 66223
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
DFPG Investments, Inc. 155576
Street Address 1 Street Address 2
406 West South Jordan Parkway, Suite 200
City State/Province/Country ZIP/Postal Code
South Jordan UTAH 84095
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
COLORADO
OREGON
Recipient
Recipient CRD Number    None
John P. Harvey, Jr. 4227692
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sandlapper Securities, LLC 137906
Street Address 1 Street Address 2
1 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
TEXAS
Recipient
Recipient CRD Number    None
Robert R. Tweed 2339324
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Concorde Investment Services, LLC 151604
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
CALIFORNIA
NEVADA
Recipient
Recipient CRD Number    None
Peter J. Kalmus 1522531
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
DFPG Investments, Inc. 155576
Street Address 1 Street Address 2
16 Tillou Road West
City State/Province/Country ZIP/Postal Code
South Orange NEW JERSEY 07079
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CONNECTICUT
TEXAS
Recipient
Recipient CRD Number    None
Michael S. Rickard 1297325
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Carolina Financial Securities, LLC 41970
Street Address 1 Street Address 2
2 Park Plaza, Suite 800
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
NORTH CAROLINA
Recipient
Recipient CRD Number    None
Gary L. Ackerman 4668422
(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
8814 Fargo Road, Suite 100
City State/Province/Country ZIP/Postal Code
Richmond VIRGINIA 23229
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
MARYLAND
VIRGINIA
Recipient
Recipient CRD Number    None
Richard L. Wagner 4575603
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Independent Financial Group, LLC 7717
Street Address 1 Street Address 2
3098 Highland Drive, Suite 490
City State/Province/Country ZIP/Postal Code
Salt Lake City UTAH 84106
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
UTAH
Recipient
Recipient CRD Number    None
Warren J. Thomas 2299254
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Lighthouse Capital Group, LLC 169135
Street Address 1 Street Address 2
251 South Lake Avenue, Suite 520
City State/Province/Country ZIP/Postal Code
Pasadena CALIFORNIA 91101
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
Frank T. Dunn, Jr. 1075960
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Concorde Investment Services, LLC 151604
Street Address 1 Street Address 2
63 Quail Rock Place
City State/Province/Country ZIP/Postal Code
The Woodlands TEXAS 77381
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MONTANA

13. Offering and Sales Amounts

Total Offering Amount $16,315,000 USD
or    Indefinite
Total Amount Sold $16,315,000 USD
Total Remaining to be Sold $0 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:
30

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 $439,517 USD
   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.

$65,000 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 Regulation D exemption for the offering, the issuer is not disqualified from relying on Regulation D for one of the reasons stated in Rule 505(b)(2)(iii) or Rule 506(d).

Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.

For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.

Issuer Signature Name of Signer Title Date
Granite Texas Senior Holdings IV, LLC /s/ John J. Heller John J. Heller President of the Manager 2014-11-04

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.