This is the Primary Document downloaded from EDGAR on 12/11/2018 6:17:21 AM EST for EFDID 259972 and Accession Number 0001758222-18-000004.
Please note that this is not the current Accession Number for this EFDId.
SEC FORM D/A
The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. The reader should not assume that the information is accurate and complete. |
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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 |
| Estimated average burden |
| hours per response: |
4.00 |
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1. Issuer's Identity
| CIK (Filer ID Number) |
Previous Names |
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Entity Type |
| 0001734696 |
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| |
Corporation |
| |
Limited Partnership |
| |
Limited Liability Company |
| |
General Partnership |
| |
Business Trust |
| X |
Other (Specify) |
Delaware Statutory Trust |
| Name of Issuer |
| Zero Coupon Chicagoland Office DST |
| Jurisdiction of Incorporation/Organization |
| DELAWARE |
| Year of Incorporation/Organization |
| |
Over Five Years Ago |
| X |
Within Last Five Years (Specify Year) |
2018 |
| |
Yet to Be Formed |
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2. Principal Place of Business and Contact Information
| Name of Issuer |
| Zero Coupon Chicagoland Office DST |
| Street Address 1 |
Street Address 2 |
| 2901 BUTTERFIELD ROAD |
| City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
| OAK BROOK |
ILLINOIS |
60523 |
(630) 218-8000 |
3. Related Persons
| Last Name |
First Name |
Middle Name |
| Inland Private |
Capital Corporation |
| Street Address 1 |
Street Address 2 |
| 2901 Butterfield Road |
| City |
State/Province/Country |
ZIP/PostalCode |
| Oak Brook |
ILLINOIS |
60523 |
| Relationship: |
|
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
Sponsor of the Issuer.
| Last Name |
First Name |
Middle Name |
| SFG Schaumburg |
Investors, LLC |
| Street Address 1 |
Street Address 2 |
| 2901 Butterfield Road |
| City |
State/Province/Country |
ZIP/PostalCode |
| Oak Brook |
ILLINOIS |
60523 |
| Relationship: |
|
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
Depositor of the Issuer.
| Last Name |
First Name |
Middle Name |
| Zero Coupon Chicagoland |
Office Exchange, L.L.C. |
| Street Address 1 |
Street Address 2 |
| 2901 Butterfield Road |
| City |
State/Province/Country |
ZIP/PostalCode |
| Oak Brook |
ILLINOIS |
60523 |
| Relationship: |
|
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
Signatory Trustee of the Issuer.
| Last Name |
First Name |
Middle Name |
| Lampi |
Keith |
| Street Address 1 |
Street Address 2 |
| 2901 Butterfield Road |
| City |
State/Province/Country |
ZIP/PostalCode |
| Oak Brook |
ILLINOIS |
60523 |
| Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Mr. Lampi if the President of Inland Private Capital Corporation, the Member of Zero Coupon Chicagoland Office Exchange, L.L.C. the Signatory Trustee of Chicagoland Zero Chicagoland Office DST.
4. Industry Group
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Agriculture |
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Banking & Financial Services |
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Commercial Banking |
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Insurance |
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Investing |
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Investment Banking |
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Pooled Investment Fund |
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Is the issuer registered as an investment company under the Investment Company Act of 1940? |
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Other Banking & Financial Services |
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Business Services |
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Energy |
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Health Care |
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Manufacturing |
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Real Estate |
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Retailing |
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Restaurants |
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Technology |
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Travel |
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Tourism & Travel Services |
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Other |
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5. Issuer Size
| Revenue Range |
OR |
Aggregate Net Asset Value Range |
| |
No Revenues |
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No Aggregate Net Asset Value |
| |
$1 - $1,000,000 |
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$1 - $5,000,000 |
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$1,000,001 - $5,000,000 |
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$5,000,001 - $25,000,000 |
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$5,000,001 - $25,000,000 |
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$25,000,001 - $50,000,000 |
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$25,000,001 - $100,000,000 |
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$50,000,001 - $100,000,000 |
| |
Over $100,000,000 |
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Over $100,000,000 |
| X |
Decline to Disclose |
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Decline to Disclose |
| |
Not Applicable |
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Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
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Rule 504(b)(1) (not (i), (ii) or (iii)) |
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Rule 504 (b)(1)(i) |
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Rule 504 (b)(1)(ii) |
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Rule 504 (b)(1)(iii) |
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| X |
Rule 506(b) |
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Rule 506(c) |
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Securities Act Section 4(a)(5) |
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Investment Company Act Section 3(c) |
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Section 3(c)(1) |
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Section 3(c)(9) |
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Section 3(c)(2) |
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Section 3(c)(10) |
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Section 3(c)(3) |
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Section 3(c)(11) |
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Section 3(c)(4) |
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Section 3(c)(12) |
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Section 3(c)(5) |
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Section 3(c)(13) |
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Section 3(c)(6) |
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Section 3(c)(14) |
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7. Type of Filing
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New Notice |
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Date of First Sale |
2018-03-06 |
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First Sale Yet to Occur |
| X |
Amendment |
8. Duration of Offering
| Does the Issuer intend this offering to last more than one year? |
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9. Type(s) of Securities Offered (select all that apply)
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Equity |
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Pooled Investment Fund Interests |
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Debt |
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Tenant-in-Common Securities |
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Option, Warrant or Other Right to Acquire Another Security |
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Mineral Property Securities |
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Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security |
X |
Other (describe) |
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Beneficial interests in Delaware Statutory Trust reflecting beneficial interests in real estate. |
10. Business Combination Transaction
| Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
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Clarification of Response (if Necessary):
11. Minimum Investment
| Minimum investment accepted from any outside investor |
$25,000
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USD |
12. Sales Compensation
| Recipient |
| Recipient CRD Number |
|
None |
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| Wealthforge Securities, LLC |
152550 |
| (Associated) Broker or Dealer |
X |
None |
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| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 819 North Harbor Drive, STE 400 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Redondo Beach |
CALIFORNIA |
90277 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
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| Recipient |
| Recipient CRD Number |
|
None |
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| McDermott Investment Services, LLC |
154926 |
| (Associated) Broker or Dealer |
X |
None |
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| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 101 Main Street, STE 260 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Huntington Beach |
CALIFORNIA |
92648 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
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|
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| Recipient |
| Recipient CRD Number |
|
None |
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| Lewis Financial Group, L.C. |
36673 |
| (Associated) Broker or Dealer |
X |
None |
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| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 150 St. Andrews Ct., STE 210 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Mankato |
MINNESOTA |
56001 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
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| Recipient |
| Recipient CRD Number |
|
None |
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| Sandlapper Securites, LLC |
13706 |
| (Associated) Broker or Dealer |
X |
None |
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| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 600 E. North Street, 2nd Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| Greenville |
SOUTH CAROLINA |
29601 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
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| Recipient |
| Recipient CRD Number |
|
None |
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| Westpark Capital, Inc. |
39914 |
| (Associated) Broker or Dealer |
X |
None |
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| (Associated) Broker or Dealer CRD Number |
X |
None |
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| None |
None |
| Street Address 1 |
Street Address 2 |
| 18872 MacAthur Blvd., 1st Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| Irvine |
CALIFORNIA |
92612 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
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| Recipient |
| Recipient CRD Number |
|
None |
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| Concorde Investment Services. LLC |
151604 |
| (Associated) Broker or Dealer |
X |
None |
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| (Associated) Broker or Dealer CRD Number |
X |
None |
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| None |
None |
| Street Address 1 |
Street Address 2 |
| 417 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 |
X |
All States |
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| Recipient |
| Recipient CRD Number |
|
None |
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| Centaurus Financial, Inc. |
30833 |
| (Associated) Broker or Dealer |
X |
None |
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| (Associated) Broker or Dealer CRD Number |
X |
None |
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| None |
None |
| Street Address 1 |
Street Address 2 |
| 80200 Green Hill Drive |
| City |
State/Province/Country |
ZIP/Postal Code |
| Indio |
CALIFORNIA |
92201 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
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| Recipient |
| Recipient CRD Number |
|
None |
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| RCX Capital Group, LLC |
114290 |
| (Associated) Broker or Dealer |
X |
None |
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| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 12707 High Bluff Drive, STE 200 |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Diego |
CALIFORNIA |
92130 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Capulent LLC |
155155 |
| (Associated) Broker or Dealer |
X |
None |
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| (Associated) Broker or Dealer CRD Number |
X |
None |
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| None |
None |
| Street Address 1 |
Street Address 2 |
| 1 Spectrum Pointe Drive, STE 150 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lake Forest |
CALIFORNIA |
92630 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
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| Recipient |
| Recipient CRD Number |
|
None |
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| Inland Securties Corporation |
15807 |
| (Associated) Broker or Dealer |
X |
None |
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| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 2901 Butterfield Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Oak Brook |
ILLINOIS |
60523 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
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| Recipient |
| Recipient CRD Number |
|
None |
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| 1ST GLOBAL CAPITAL CORP. |
30349 |
| (Associated) Broker or Dealer |
X |
None |
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| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 11 LAWRENCE ROAD |
| City |
State/Province/Country |
ZIP/Postal Code |
| NEWTON |
NEW JERSEY |
07860 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
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| Recipient |
| Recipient CRD Number |
|
None |
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| JOHN DAVID POWELL |
1196945 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| CALTON & ASSOCIATES, INC. |
20999 |
| Street Address 1 |
Street Address 2 |
| 1269 1ST STREET SUITE 4 |
| City |
State/Province/Country |
ZIP/Postal Code |
| SARASOTA |
FLORIDA |
34236 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| Recipient |
| Recipient CRD Number |
|
None |
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| MITCHAL DION O'HARE |
4561108 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Cambridge Investment Research |
39543 |
| Street Address 1 |
Street Address 2 |
| 515 S. Howes St. |
| City |
State/Province/Country |
ZIP/Postal Code |
| Fort Collins |
COLORADO |
80521 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
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| ALASKA |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| HAWAII |
| IOWA |
| LOUISIANA |
| MONTANA |
| NEBRASKA |
| OKLAHOMA |
| SOUTH DAKOTA |
| TEXAS |
| WASHINGTON |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
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| SIGRID ANN DAUGAARD |
5481583 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Cambridge Investment Research |
39543 |
| Street Address 1 |
Street Address 2 |
| 515 S. Howes St. |
| City |
State/Province/Country |
ZIP/Postal Code |
| Fort Collins |
COLORADO |
80521 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| ALASKA |
| COLORADO |
| HAWAII |
| IOWA |
| LOUISIANA |
| MONTANA |
| NEBRASKA |
| OKLAHOMA |
| WASHINGTON |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
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| DAWN EDYTHE CAMPBELL |
2214340 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| COLORADO FINANCIAL SERVICE CORPORATION |
104343 |
| Street Address 1 |
Street Address 2 |
| 20781 SW Cherry Orchard Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Sherwood |
OREGON |
97140 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
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| Recipient |
| Recipient CRD Number |
|
None |
|
| DFPG INVESTMENTS, INC. |
155576 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 670 Superior Court Suite 210 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Medford |
OREGON |
97504 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
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| MARIJO DLUZAK |
1338859 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
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| FSC SECURITIES CORPORATION |
7461 |
| Street Address 1 |
Street Address 2 |
| 285 W. 80TH PLACE |
| City |
State/Province/Country |
ZIP/Postal Code |
| MERRILLVILLE |
INDIANA |
46410 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Peter Finnegan |
1336798 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| HUNTWICKE SECURITIES, LLC |
146993 |
| Street Address 1 |
Street Address 2 |
| 65 WASHINGTON STREET |
| City |
State/Province/Country |
ZIP/Postal Code |
| HANOVER |
MASSACHUSETTS |
02339 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| MICHAEL RAYMOND FRAGER |
1230622 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| INTEGRITY BROKERAGE SERVICES, INC. |
117589 |
| Street Address 1 |
Street Address 2 |
| 9404 Genesee Ave Suite 340 |
| City |
State/Province/Country |
ZIP/Postal Code |
| La Jolla |
CALIFORNIA |
92037 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| JOHN DAVID CAHOON |
6327912 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| JCC ADVISORS, LLC |
146776 |
| Street Address 1 |
Street Address 2 |
| 141 S. LAKE STREET SUITE 102 |
| City |
State/Province/Country |
ZIP/Postal Code |
| PASADEN |
CALIFORNIA |
91101 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| MARTIN HUNTER MCFARLIN |
2838151 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| KALOS CAPITAL, INC. |
44337 |
| Street Address 1 |
Street Address 2 |
| 745 S. CHURCH STREET SUITE 125 |
| City |
State/Province/Country |
ZIP/Postal Code |
| MURFREESBORO |
TENNESSEE |
37130 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Dan Laurence Werry |
4721789 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| LIGHTHOUSE CAPITAL GROUP, LLC |
169135 |
| Street Address 1 |
Street Address 2 |
| 1055 E. COLORADO BLVD., SUITE 310 |
| City |
State/Province/Country |
ZIP/Postal Code |
| PASADENA |
CALIFORNIA |
91106 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| MICHAEL T JANIS |
5308832 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| MADISON AVENUE SECURITIES, LLC |
23224 |
| Street Address 1 |
Street Address 2 |
| 3655 TORRANCE BLVD SUITE 250 |
| 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 |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Grant Conness |
4778193 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| MADISON AVENUE SECURITIES, LLC |
23224 |
| Street Address 1 |
Street Address 2 |
| 3655 TORRANCE BLVD SUITE 250 |
| 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 |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| CRAIG M GOUGIS |
3258023 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| NATIONAL SECURITIES CORPORATION |
7569 |
| Street Address 1 |
Street Address 2 |
| 43 CORPORATE PARK SUITE 201 |
| City |
State/Province/Country |
ZIP/Postal Code |
| IRVINE |
CALIFORNIA |
92606 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| PRIMEX |
29394 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 54 WEST 21ST STREET 12TH FLOOR |
| City |
State/Province/Country |
ZIP/Postal Code |
| NEW YORK |
NEW YORK |
10010 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| LISA MARIE LYONS |
2086482 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| ROYAL ALLIANCE ASSOCIATES, INC. |
23131 |
| Street Address 1 |
Street Address 2 |
| 5959 TOPANGA CANYON BLVD SUITE 180 |
| City |
State/Province/Country |
ZIP/Postal Code |
| WOODLAND HILLS |
CALIFORNIA |
91367 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| TOMAS JUHAN VELKEN |
1600404 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| SIGMA FINANCIAL CORPORATION |
14303 |
| Street Address 1 |
Street Address 2 |
| 1078 CAROL LANE #203 |
| City |
State/Province/Country |
ZIP/Postal Code |
| LAFAYETTE |
CALIFORNIA |
94549 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| JAMES MICHAEL GAMBACCINI |
4619759 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| THE STRATEGIC FINANCIAL ALLIANCE, INC. |
126514 |
| Street Address 1 |
Street Address 2 |
| 1875 CAMPUS COMMONS DRIVE SUITE 100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| RESTON |
VIRGINIA |
20191 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| JAMES THADDEUS WALESA |
1061209 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| TRIAD ADVISORS LLC |
25803 |
| Street Address 1 |
Street Address 2 |
| 1460 RENAISSANCE DR. SUITE #212 |
| City |
State/Province/Country |
ZIP/Postal Code |
| PARK RIDGE |
ILLINOIS |
60068 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| STERLING VAUGHN LOUVIERE |
2021328 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| CABIN SECURITIES, INC. |
137608 |
| Street Address 1 |
Street Address 2 |
| 140 S. Lake Ave., Suite 300 |
| 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 |
|
|
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| KANSAS |
| NEW MEXICO |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| JOSHUA DAVID CHAPIN |
5825638 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| EMERSON EQUITY LLC |
130032 |
| Street Address 1 |
Street Address 2 |
| 9940 Research Drive |
| City |
State/Province/Country |
ZIP/Postal Code |
| Irvine |
CALIFORNIA |
92618 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| SCOTT JAMES LANGHAM |
4552006 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| INVESTACORP, INC. |
7684 |
| Street Address 1 |
Street Address 2 |
| 559 E HUISACHE AVE |
| City |
State/Province/Country |
ZIP/Postal Code |
| SAN ANTONIO |
TEXAS |
78212 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| CONNECTICUT |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW YORK |
| PENNSYLVANIA |
| TEXAS |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| ROBERT RUSSEL TWEED |
2339324 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| CABOT LODGE SECURITIES LLC |
159712 |
| 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 |
|
|
| CALIFORNIA |
| GEORGIA |
| ILLINOIS |
| LOUISIANA |
| MICHIGAN |
| NEW MEXICO |
| NEW YORK |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TEXAS |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| STEPHEN RANDALL HOLT |
5900842 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| LIGHTHOUSE CAPITAL GROUP, LLC |
169135 |
| Street Address 1 |
Street Address 2 |
| 1055 E. COLORADO BLVD., SUITE 310 |
| City |
State/Province/Country |
ZIP/Postal Code |
| PASADENA |
CALIFORNIA |
91106 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| HAWAII |
| NORTH DAKOTA |
| VIRGINIA |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| LESLIE MARGARET PAPPAS |
1735372 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| LIGHTPATH CAPITAL, INC |
34617 |
| Street Address 1 |
Street Address 2 |
| 160 Saratoga Ave., Unit. 110 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Santa Clara |
CALIFORNIA |
95051 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| FLORIDA |
| MASSACHUSETTS |
| NEVADA |
| NEW YORK |
| OREGON |
| TEXAS |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Frank Piscitelli |
6935623 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| LIGHTPATH CAPITAL, INC |
34617 |
| Street Address 1 |
Street Address 2 |
| 160 Saratoga Ave., Unit. 110 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Santa Clara |
CALIFORNIA |
95051 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| NEW MEXICO |
| OREGON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| DAVIN J CAREY |
5413012 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| HD VEST INVESTMENT SERVICES |
13686 |
| Street Address 1 |
Street Address 2 |
| 1000 Town Center Drive Suite 200 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Oxnard |
CALIFORNIA |
93036 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| FLORIDA |
| IDAHO |
| ILLINOIS |
| MICHIGAN |
| NEVADA |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| OREGON |
| TENNESSEE |
| TEXAS |
| UTAH |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| TIMOTHY KEITH KULHANEK |
5696299 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| TAYLOR CAPITAL MANAGEMENT INC. |
43559 |
| Street Address 1 |
Street Address 2 |
| 1610 South 70th Street, Suite 100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lincoln |
NEBRASKA |
68506 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| COLORADO |
| NEBRASKA |
|
13. Offering and Sales Amounts
| Total Offering Amount |
$65,334,005
|
USD |
|
| Total Amount Sold |
$21,647,801
|
USD |
| Total Remaining to be Sold |
$43,686,204
|
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 |
$3,266,700
|
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):
Estimate of certain fees, including Dealer Fee, Placement Agent Fee and Sponsorship Fee and offering and organizational expenses that may accrue to one or more Related Persons.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 the issuer 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 Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) 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 |
| Zero Coupon Chicagoland Office DST |
Keith Lampi |
Keith Lampi |
President of the Member of the Signatory Trustee |
2018-12-10 |
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.