This is the Primary Document downloaded from EDGAR on 11/9/2020 6:12:10 AM EST for EFDID 325779 and Accession Number 0001782217-20-000002.
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 |
|
Entity Type |
| 0001692951 |
| Cottonwood Multifamily REIT III, Inc. |
|
| X |
Corporation |
| |
Limited Partnership |
| |
Limited Liability Company |
| |
General Partnership |
| |
Business Trust |
| |
Other (Specify) |
|
| Name of Issuer |
|---|
| Cottonwood Communities, Inc. |
| Jurisdiction of Incorporation/Organization |
|---|
| MARYLAND |
| Year of Incorporation/Organization |
|---|
| |
Over Five Years Ago |
| X |
Within Last Five Years (Specify Year) |
2016 |
| |
Yet to Be Formed |
|
2. Principal Place of Business and Contact Information
| Name of Issuer |
|---|
| Cottonwood Communities, Inc. |
| Street Address 1 |
Street Address 2 |
| 6340 SOUTH 3000 EAST |
SUITE 500 |
| City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
| SALT LAKE CITY |
UTAH |
84121 |
801-278-0700 |
3. Related Persons
| Last Name |
First Name |
Middle Name |
| Christensen |
Gregg |
T. |
| Street Address 1 |
Street Address 2 |
| 6340 South 3000 East, Suite 500 |
| City |
State/Province/Country |
ZIP/PostalCode |
| Salt Lake City |
UTAH |
84121 |
| Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
| Last Name |
First Name |
Middle Name |
| Shaeffer |
Daniel |
W. |
| Street Address 1 |
Street Address 2 |
| 6340 South 3000 East, Suite 500 |
| City |
State/Province/Country |
ZIP/PostalCode |
| Salt Lake City |
UTAH |
84121 |
| Relationship: |
|
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
| Last Name |
First Name |
Middle Name |
| Christensen |
Chad |
| Street Address 1 |
Street Address 2 |
| 6340 South 3000 East, Suite 500 |
| City |
State/Province/Country |
ZIP/PostalCode |
| Salt Lake City |
UTAH |
84121 |
| Relationship: |
|
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
| Last Name |
First Name |
Middle Name |
| Larson |
Adam |
| Street Address 1 |
Street Address 2 |
| 6340 South 3000 East, Suite 500 |
| City |
State/Province/Country |
ZIP/PostalCode |
| Salt Lake City |
UTAH |
84121 |
| Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
| Last Name |
First Name |
Middle Name |
| Cassinis |
Enzio |
A. |
| Street Address 1 |
Street Address 2 |
| 6340 South 3000 East, Suite 500 |
| City |
State/Province/Country |
ZIP/PostalCode |
| Salt Lake City |
UTAH |
84121 |
| Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
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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Health Care |
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| |
Manufacturing |
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Real Estate |
|
|
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Retailing |
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Restaurants |
|
Technology |
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Travel |
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|
|
| |
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 |
| |
$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) |
|
| X |
Rule 506(b) |
|
| |
Rule 506(c) |
|
| |
Securities Act Section 4(a)(5) |
|
| X |
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) |
|
| X |
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 |
2019-12-11 |
|
|
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)
| 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? |
|
|
Clarification of Response (if Necessary):
11. Minimum Investment
| Minimum investment accepted from any outside investor |
$25,000
|
USD |
12. Sales Compensation
| Recipient |
| Recipient CRD Number |
|
None |
|
| Orchard Securities, LLC |
133378 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 365 Garden Grove Lane, Suite 100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Pleasant Grove |
CALIFORNIA |
84062 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Robert Lloyd Omohundro |
2415942 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Alexander Capital, L.P. |
40077 |
| Street Address 1 |
Street Address 2 |
| 9040 Roswell Road, Suite 350 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Atlanta |
GEORGIA |
30350 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| CALIFORNIA |
| FLORIDA |
| GEORGIA |
| IDAHO |
| INDIANA |
| KENTUCKY |
| MARYLAND |
| MICHIGAN |
| NEBRASKA |
| NEW JERSEY |
| NEW MEXICO |
| NORTH CAROLINA |
| OKLAHOMA |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Andrew N. Dutton |
6869349 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| American Trust Investment Services, Inc. |
3001 |
| Street Address 1 |
Street Address 2 |
| 8107 Loyola Blvd |
| City |
State/Province/Country |
ZIP/Postal Code |
| Los Angeles |
CALIFORNIA |
90045 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| FLORIDA |
| NEW JERSEY |
| NEW YORK |
| PENNSYLVANIA |
| UTAH |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Austin R. Dutton |
2739167 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| American Trust Investment Services, Inc. |
3001 |
| Street Address 1 |
Street Address 2 |
| 8107 Loyola Blvd |
| City |
State/Province/Country |
ZIP/Postal Code |
| Los Angeles |
CALIFORNIA |
90045 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| NEW YORK |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| David Richard Geake |
3088891 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| American Trust Investment Services, Inc. |
3001 |
| Street Address 1 |
Street Address 2 |
| 230 W. Monroe, Suite 300 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Chicago |
ILLINOIS |
60606 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| GEORGIA |
| ILLINOIS |
| INDIANA |
| MARYLAND |
| MICHIGAN |
| MINNESOTA |
| NEVADA |
| NEW YORK |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Jason Bryce Vanclef |
5096529 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| American Trust Investment Services, Inc. |
3001 |
| Street Address 1 |
Street Address 2 |
| 8107 Loyola Blvd |
| City |
State/Province/Country |
ZIP/Postal Code |
| Los Angeles |
CALIFORNIA |
90045 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| CONNECTICUT |
| GEORGIA |
| MARYLAND |
| MICHIGAN |
| NEVADA |
| NEW YORK |
| NORTH CAROLINA |
| TEXAS |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Ronald York |
4308987 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Arkadios Capital |
282710 |
| Street Address 1 |
Street Address 2 |
| 4814 Outlook Drive, Suite 104 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Wall |
NEW JERSEY |
07753 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| CALIFORNIA |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| PENNSYLVANIA |
| TEXAS |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Richard Steven Berger |
702839 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Arkadios Capital |
282710 |
| Street Address 1 |
Street Address 2 |
| 4814 Outlook Drive, Suite 104 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Wall |
NEW JERSEY |
07753 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ARIZONA |
| CALIFORNIA |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| MARYLAND |
| MASSACHUSETTS |
| NEW JERSEY |
| NEW YORK |
| PENNSYLVANIA |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Agnes Stutzriem Andrysiak |
1868356 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Ausdal Financial Partners, Inc. |
7995 |
| Street Address 1 |
Street Address 2 |
| 9751 Indiana Parkway, Suite B |
| City |
State/Province/Country |
ZIP/Postal Code |
| Munster |
INDIANA |
46321 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| COLORADO |
| FLORIDA |
| ILLINOIS |
| INDIANA |
| KANSAS |
| MICHIGAN |
| MISSOURI |
| OHIO |
| TEXAS |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| David Lee Frohlichstein |
1582362 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Ausdal Financial Partners, Inc. |
7995 |
| Street Address 1 |
Street Address 2 |
| 1750 E. Main Street, Suite 120 |
| City |
State/Province/Country |
ZIP/Postal Code |
| St. Charles |
ILLINOIS |
60174 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| COLORADO |
| FLORIDA |
| ILLINOIS |
| LOUISIANA |
| NEVADA |
| TEXAS |
| VERMONT |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Roger Owen Anderson |
1898275 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Ausdal Financial Partners, Inc. |
7995 |
| Street Address 1 |
Street Address 2 |
| 2000 West Galena Blvd, Suite 301 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Aurora |
ILLINOIS |
60506 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| INDIANA |
| MICHIGAN |
| NORTH CAROLINA |
| OKLAHOMA |
| SOUTH CAROLINA |
| TEXAS |
| UTAH |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Robert Boris Hardcastle |
1101791 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Berthel, Fisher & Company Financial Services, Inc. |
13609 |
| Street Address 1 |
Street Address 2 |
| 16100 Chesterfield Parkway West, Ste 150 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Chesterfield |
MISSOURI |
63017 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ARIZONA |
| CALIFORNIA |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| IOWA |
| KENTUCKY |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| NEVADA |
| NEW JERSEY |
| NEW MEXICO |
| NORTH CAROLINA |
| OHIO |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
| UTAH |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Centaurus Financial, Inc. |
30833 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 2300 E. Katella Avenue, Suite 200 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Anaheim |
CALIFORNIA |
92806 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Kenneth James New |
2836918 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Center Street Securities, Inc. |
26898 |
| Street Address 1 |
Street Address 2 |
| 1351 N. Courtenay Pkwy, Suite BB |
| City |
State/Province/Country |
ZIP/Postal Code |
| Merritt Island |
FLORIDA |
32953 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| FLORIDA |
| NEW JERSEY |
| PENNSYLVANIA |
| TENNESSEE |
| UTAH |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Kevin James LeBlanc |
1744123 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Center Street Securities, Inc. |
26898 |
| Street Address 1 |
Street Address 2 |
| 900 South Gay Street, Suite 2109 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Knoxville |
TENNESSEE |
37902 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| FLORIDA |
| GEORGIA |
| IDAHO |
| LOUISIANA |
| MARYLAND |
| MICHIGAN |
| MISSOURI |
| MONTANA |
| NEVADA |
| OHIO |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| WASHINGTON |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Concorde Investment Services, LLC |
151604 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 19500 Victor Parkway, Suite 550 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Livonia |
MICHIGAN |
48152 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| 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 |
|
| Edwin James Strazzulla |
1209491 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Crown Capital Securities, L.P. |
6312 |
| Street Address 1 |
Street Address 2 |
| 16742 Gothard Street, Suite 213 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Huntington Beach |
CALIFORNIA |
92647 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Joseph Patrick Roop |
2774470 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Dempsey Lord Smith, LLC |
141238 |
| Street Address 1 |
Street Address 2 |
| 123 N. Main Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Belmont |
NORTH CAROLINA |
28012 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| FLORIDA |
| LOUISIANA |
| MICHIGAN |
| NEVADA |
| NORTH CAROLINA |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| VIRGINIA |
| WEST VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Lauren Skidmore Ivester |
5001776 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Dempsey Lord Smith, LLC |
141238 |
| Street Address 1 |
Street Address 2 |
| 123 N. Main Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Belmont |
NORTH CAROLINA |
28012 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| FLORIDA |
| GEORGIA |
| KENTUCKY |
| LOUISIANA |
| MARYLAND |
| MICHIGAN |
| MISSISSIPPI |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NORTH CAROLINA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
| VIRGINIA |
| WEST VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Christopher Dunne |
5780072 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| IDB Capital Corp. |
106032 |
| Street Address 1 |
Street Address 2 |
| 511 Fifth Avenue |
| City |
State/Province/Country |
ZIP/Postal Code |
| New York |
NEW YORK |
10017 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| CONNECTICUT |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| ILLINOIS |
| MASSACHUSETTS |
| MICHIGAN |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| PENNSYLVANIA |
| TEXAS |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Independent Financial Group, LLC |
7717 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 12671 High Bluff Drive, Suite 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 |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Kalos Capital, Inc. |
44337 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 11525 Park Woods Circle, Suite 280 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Alpharetta |
GEORGIA |
30005 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| 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 |
|
| Guy Anthony Harrigan |
1817525 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Lion Street Financial, LLC |
165828 |
| Street Address 1 |
Street Address 2 |
| 4770 Baseline Road, Suite 380 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Boulder |
COLORADO |
80303 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| FLORIDA |
| HAWAII |
| INDIANA |
| IOWA |
| MINNESOTA |
| MISSISSIPPI |
| NEW YORK |
| OREGON |
| RHODE ISLAND |
| SOUTH DAKOTA |
| TEXAS |
| VIRGINIA |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Ara Freedman |
5987083 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| LPL Financial LLC |
6413 |
| Street Address 1 |
Street Address 2 |
| 13520 Evening Creek Dr N, Ste 300 |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Diego |
CALIFORNIA |
92128 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| FLORIDA |
| ILLINOIS |
| INDIANA |
| MISSOURI |
| OHIO |
| TENNESSEE |
| UTAH |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Lucia Securities, LLC |
37179 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 13520 Evening Creek Dr N, Ste 300 |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Diego |
CALIFORNIA |
92128 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ALASKA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| 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 |
|
| Dimitry Tikhonov |
5451809 |
| (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 Boulevard, 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 |
|
|
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| GEORGIA |
| HAWAII |
| INDIANA |
| KENTUCKY |
| MASSACHUSETTS |
| NEVADA |
| NEW JERSEY |
| NORTH CAROLINA |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TEXAS |
| VIRGINIA |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Richard David Williams |
4951778 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Madison Avenue Securities, LLC |
23224 |
| Street Address 1 |
Street Address 2 |
| 777 Beachway Drive, Suite 108 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Indianapolis |
INDIANA |
46224 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| ILLINOIS |
| INDIANA |
| KANSAS |
| KENTUCKY |
| MICHIGAN |
| MISSOURI |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| OKLAHOMA |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
| VIRGINIA |
| WASHINGTON |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Nationwide Planning Associates Inc. |
31029 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 115 West Century Road, Suite 360 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Paramus |
NEW JERSEY |
07652 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| 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 |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Newbridge Securities Corporation |
104065 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 1200 North Federal Highway, Suite 400 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Boca Raton |
FLORIDA |
33432 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ALASKA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| 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 |
| PUERTO RICO |
| RHODE ISLAND |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Austin R. Dutton Jr. |
2739167 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Primex |
29394 |
| Street Address 1 |
Street Address 2 |
| 8107 Loyola Boulevard |
| City |
State/Province/Country |
ZIP/Postal Code |
| Los Angeles |
CALIFORNIA |
90045 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| NEW YORK |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Andrew N. Dutton |
6869349 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Primex |
29394 |
| Street Address 1 |
Street Address 2 |
| 8107 Loyola Boulevard |
| City |
State/Province/Country |
ZIP/Postal Code |
| Los Angeles |
CALIFORNIA |
90045 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| FLORIDA |
| NEW JERSEY |
| NEW YORK |
| PENNSYLVANIA |
| UTAH |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| James Michael Vaughn |
1349426 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| The Strategic Financial Alliance, Inc. |
126514 |
| Street Address 1 |
Street Address 2 |
| 150 Puukolii Road, #46 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lahaina |
HAWAII |
96761 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALASKA |
| CALIFORNIA |
| COLORADO |
| HAWAII |
| ILLINOIS |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| TENNESSEE |
| WASHINGTON |
|
13. Offering and Sales Amounts
| Total Offering Amount |
$50,000,000
|
USD |
|
| Total Amount Sold |
$25,588,408
|
USD |
| Total Remaining to be Sold |
$24,411,592
|
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 |
$4,500,000
|
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 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 |
| Cottonwood Communities, Inc. |
/s/ Gregg Christensen |
Gregg Christensen |
Chief Legal Officer and Secretary |
2020-11-06 |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.
* This undertaking does not affect any limits Section 102(a) of the National Securities Markets
Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to
require information. As a result, if the securities that are the subject of this Form D are "covered securities" for purposes
of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot
routinely require offering materials under this undertaking or otherwise and can require offering materials only to the
extent NSMIA permits them to do so under NSMIA's preservation of their anti-fraud authority.