This is the Primary Document downloaded from EDGAR on 2/23/2021 2:11:51 PM EST for EFDID 336432 and Accession Number 0001805828-21-000001.

SEC FORM D/A

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM D

Notice of Exempt Offering of Securities
OMB APPROVAL
OMB Number: 3235-0076
Estimated average burden
hours per response: 4.00

1. Issuer's Identity

CIK (Filer ID Number) Previous Names
X None
Entity Type
0001805828
   Corporation
X Limited Partnership
   Limited Liability Company
   General Partnership
   Business Trust
   Other (Specify)

Name of Issuer
APX New Harmony Partners-E, LP
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
   Over Five Years Ago
X Within Last Five Years (Specify Year) 2020
   Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
APX New Harmony Partners-E, LP
Street Address 1 Street Address 2
651 DELAWARE AVENUE #210
City State/Province/Country ZIP/PostalCode Phone Number of Issuer
BUFFALO NEW YORK 14202 716-855-8090

3. Related Persons

Last Name First Name Middle Name
Reich Justin
Street Address 1 Street Address 2
651 Delaware Ave Suite 210
City State/Province/Country ZIP/PostalCode
Buffalo NEW YORK 14202
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Executive officer of APX Energy, LLC, the managing general partner and sponsor of the issuer.
Last Name First Name Middle Name
Campbell Jakob
Street Address 1 Street Address 2
651 Delaware Ave Suite 210
City State/Province/Country ZIP/PostalCode
Buffalo NEW YORK 14202
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Executive officer of APX Energy, LLC, the managing general partner and sponsor of the issuer.
Last Name First Name Middle Name
Cohen David
Street Address 1 Street Address 2
651 Delaware Ave Suite 210
City State/Province/Country ZIP/PostalCode
Buffalo NEW YORK 14202
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Executive officer of APX Energy, LLC, the managing general partner and sponsor 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
X Oil & Gas
   Other Energy
Health Care
   Biotechnology
   Health Insurance
   Hospitals & Physicians
   Pharmaceuticals
   Other Health Care
   Manufacturing
Real Estate
   Commercial
   Construction
   REITS & Finance
   Residential
   Other Real Estate
  
 Retailing
  
 Restaurants
Technology
   Computers
   Telecommunications
   Other Technology
Travel
   Airlines & Airports
   Lodging & Conventions
   Tourism & Travel Services
   Other Travel
  
 Other

5. Issuer Size

Revenue Range OR Aggregate Net Asset Value Range
X 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
   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)
   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

   New Notice Date of First Sale 2020-08-07    First Sale Yet to Occur
X Amendment

8. Duration of Offering

Does the Issuer intend this offering to last more than one year?
   Yes X No

9. Type(s) of Securities Offered (select all that apply)

X Equity    Pooled Investment Fund Interests
   Debt    Tenant-in-Common Securities
   Option, Warrant or Other Right to Acquire Another Security    Mineral Property Securities
   Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security    Other (describe)

10. Business Combination Transaction

Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer?
   Yes X No

Clarification of Response (if Necessary):

11. Minimum Investment

Minimum investment accepted from any outside investor $5,000 USD

12. Sales Compensation

Recipient
Recipient CRD Number    None
JCC Advisors, LLC 146776
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
3012 Ivy Glen Drive Suite 180A
City State/Province/Country ZIP/Postal Code
Laguna Niguel CALIFORNIA 92677
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Edridge Bourque Jr 6342308
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Alexander Capital LLC 40077
Street Address 1 Street Address 2
17 State Street 5th Floor
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10004
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
LOUISIANA
Recipient
Recipient CRD Number    None
Ameritas Investment Co 14869
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
5900 O Street
City State/Province/Country ZIP/Postal Code
Lincoln NEBRASKA 68510
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
COLORADO
IDAHO
INDIANA
IOWA
NEBRASKA
Recipient
Recipient CRD Number    None
Noel Bragg 1175231
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
American Trust Investment Services 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
   Foreign/non-US
HAWAII
Recipient
Recipient CRD Number    None
Cabin Securities 137608
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
6240 W 135th Street Suite 214
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
NEVADA
Recipient
Recipient CRD Number    None
Kevin T Grady 4410102
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Investment Research 39543
Street Address 1 Street Address 2
609 N Argonne Rd
City State/Province/Country ZIP/Postal Code
SPOKANE VALLEY WASHINGTON 99212
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
WASHINGTON
Recipient
Recipient CRD Number    None
Nicholas Cantrell 5362436
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Investment Research 39543
Street Address 1 Street Address 2
10 Cedar St
City State/Province/Country ZIP/Postal Code
Worcester MASSACHUSETTS 01609
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MASSACHUSETTS
Recipient
Recipient CRD Number    None
Roland Bergman 4426398
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Investment Research 39543
Street Address 1 Street Address 2
1900 S NORFOLK ST Suite 350
City State/Province/Country ZIP/Postal Code
San Mateo CALIFORNIA 94403
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
Winston Malone 5005102
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Investment Research 39543
Street Address 1 Street Address 2
4209 GATEWAY DR Suite 225
City State/Province/Country ZIP/Postal Code
Colleyville TEXAS 76034
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
Thomas Nixon 833930
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cape Securities 7072
Street Address 1 Street Address 2
1600 PENNSYLVANIA AVENUE
City State/Province/Country ZIP/Postal Code
MCDONOUGH GEORGIA 30253
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW YORK
PENNSYLVANIA
Recipient
Recipient CRD Number    None
Frank Chauner 735725
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Chauner Securities 10075
Street Address 1 Street Address 2
666 DUNDEE ROAD Suite 903
City State/Province/Country ZIP/Postal Code
Northbrook ILLINOIS 60062
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ILLINOIS
Recipient
Recipient CRD Number    None
Gilbert Sabatka 1229982
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Client One Securities 152974
Street Address 1 Street Address 2
227 Southwind Place
City State/Province/Country ZIP/Postal Code
Manahattan KANSAS 66503
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
COLORADO
KANSAS
Recipient
Recipient CRD Number    None
Concorde Investment Services 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
   Foreign/non-US
CALIFORNIA
FLORIDA
GEORGIA
MISSOURI
NORTH CAROLINA
Recipient
Recipient CRD Number    None
Crown Capital Securities 6312
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
725 TOWN & COUNTRY ROAD Suite 530
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
ALABAMA
ARIZONA
CALIFORNIA
OREGON
WASHINGTON
Recipient
Recipient CRD Number    None
Todd Rhine 2384366
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
IBN Financial Services 42360
Street Address 1 Street Address 2
7 Finch Street
City State/Province/Country ZIP/Postal Code
Hilton Head SOUTH CAROLINA 29926
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
SOUTH CAROLINA
Recipient
Recipient CRD Number    None
Independent Financial Group 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		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
FLORIDA
ILLINOIS
MASSACHUSETTS
MICHIGAN
NEW JERSEY
PENNSYLVANIA
TEXAS
VIRGINIA
Recipient
Recipient CRD Number    None
Robert Horning 2311640
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
McDermott Investment Services 154926
Street Address 1 Street Address 2
6633 S. Halm Ave.
City State/Province/Country ZIP/Postal Code
Los Angeles CALIFORNIA 90056
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
Nicholas Giallourakis 4496285
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Newbridge Securities 104065
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
   Foreign/non-US
ILLINOIS
Recipient
Recipient CRD Number    None
Suihock Goy 2821380
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Ni Advisors134502 134502
Street Address 1 Street Address 2
1138 Cadillac Court
City State/Province/Country ZIP/Postal Code
Milpitas CALIFORNIA 95035
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEVADA
Recipient
Recipient CRD Number    None
Lee Bevill 1790971
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Silver Oak Securities 46947
Street Address 1 Street Address 2
2240 Broadway
City State/Province/Country ZIP/Postal Code
Quincy ILLINOIS 62301
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
GEORGIA
Recipient
Recipient CRD Number    None
Stephen Glasgow 4352357
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Silver Oak Securities 46947
Street Address 1 Street Address 2
2800 Fort Campbell Blvd Suite 200
City State/Province/Country ZIP/Postal Code
Hopkinsville KENTUCKY 42240
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
KENTUCKY
Recipient
Recipient CRD Number    None
Jeffry Fruchtenicht 2111746
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
United Planners Fin Serv 20804
Street Address 1 Street Address 2
231 FIRST ST E
City State/Province/Country ZIP/Postal Code
Independence IOWA 50644
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
Lennard van der Feltz 4630091
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
United Planners Fin Serv 20804
Street Address 1 Street Address 2
2141 E BROADWAY RD Suite 104
City State/Province/Country ZIP/Postal Code
Tempe ARIZONA 85282
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
Recipient
Recipient CRD Number    None
Susan Talbot 4868756
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
United Planners Fin Serv 20802
Street Address 1 Street Address 2
2141 E Broadway Rd Suie 104
City State/Province/Country ZIP/Postal Code
Tempe ARIZONA 85282
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA

13. Offering and Sales Amounts

Total Offering Amount $179,582,944 USD
or    Indefinite
Total Amount Sold $11,412,700 USD
Total Remaining to be Sold $168,170,244 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:
107

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 $777,717 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.

$925,413 USD
   Estimate

Clarification of Response (if Necessary):

The managing general partner received Engineering and Completion Fees based on the issuer's share of the wells it is drilling.

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
APX New Harmony Partners-E, LP David Cohen David Cohen VP, APX Energy, LLC, MGP 2021-02-23

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.