This is the Primary Document downloaded from EDGAR on 3/2/2023 2:01:09 PM EST for EFDID 344301 and Accession Number 0001817471-23-000002.
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 |
| 0001817471 |
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Corporation |
| X |
Limited Partnership |
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Limited Liability Company |
| |
General Partnership |
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Business Trust |
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Other (Specify) |
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| Name of Issuer |
| Lodging Fund REIT III OP, LP |
| 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 |
| Lodging Fund REIT III OP, LP |
| Street Address 1 |
Street Address 2 |
| 1635 43RD STREET SOUTH, SUITE 205 |
| City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
| FARGO |
NORTH DAKOTA |
58103 |
(701) 630-6500 |
3. Related Persons
| Last Name |
First Name |
Middle Name |
| Maple |
Corey |
R. |
| Street Address 1 |
Street Address 2 |
| 1635 43rd Street South, Suite 205 |
| City |
State/Province/Country |
ZIP/PostalCode |
| Fargo |
NORTH DAKOTA |
58103 |
| Relationship: |
X |
Executive Officer |
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Director |
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Promoter |
Clarification of Response (if Necessary):
CEO and Secretary of the Issuer's General Partner
| Last Name |
First Name |
Middle Name |
| Leslie |
Norman |
H. |
| Street Address 1 |
Street Address 2 |
| 1635 43rd Street South, Suite 205 |
| City |
State/Province/Country |
ZIP/PostalCode |
| Fargo |
NORTH DAKOTA |
58103 |
| Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Chief Investment Officer & Treasurer of the Issuer's General Partner
| Last Name |
First Name |
Middle Name |
| Lodging Fund REIT III, Inc. |
Lodging Fund REIT III, Inc. |
| Street Address 1 |
Street Address 2 |
| 1635 43rd Street South, Suite 205 |
| City |
State/Province/Country |
ZIP/PostalCode |
| Fargo |
NORTH DAKOTA |
58103 |
| Relationship: |
|
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
General Partner of the Issuer
| Last Name |
First Name |
Middle Name |
| Legendary Capital REIT III, LLC |
Legendary Capital REIT III, LLC |
| Street Address 1 |
Street Address 2 |
| 1635 43rd Street South, Suite 205 |
| City |
State/Province/Country |
ZIP/PostalCode |
| Fargo |
NORTH DAKOTA |
58103 |
| Relationship: |
|
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
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 |
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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 |
2020-07-20 |
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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)
| X |
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 |
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Other (describe) |
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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 |
$250,000
|
USD |
12. Sales Compensation
| Recipient |
| Recipient CRD Number |
|
None |
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| MARK LAMKIN |
2121510 |
| (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 |
| 901 Lily Creek Rd Suite 102 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Louisville |
KENTUCKY |
40243 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| INDIANA |
| KENTUCKY |
| OKLAHOMA |
| RHODE ISLAND |
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| Recipient |
| Recipient CRD Number |
|
None |
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| TAHER GILANI |
2381502 |
| (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 |
| 8304 Briarwood Lane |
| City |
State/Province/Country |
ZIP/Postal Code |
| AUSTIN |
TEXAS |
78757 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| FLORIDA |
| GEORGIA |
| KANSAS |
| MISSOURI |
| NEVADA |
| TEXAS |
|
| Recipient |
| Recipient CRD Number |
|
None |
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| NIGEL BOWMAN |
2022439 |
| (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 |
| 13111 Westheimer Road Suite 475 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Houston |
TEXAS |
77077 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| NEW YORK |
| OKLAHOMA |
| PENNSYLVANIA |
| SOUTH DAKOTA |
| TEXAS |
|
| Recipient |
| Recipient CRD Number |
|
None |
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| TODD RHINE |
2384366 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| IBN FINANCIAL SERVICES INC |
42360 |
| Street Address 1 |
Street Address 2 |
| 7 Finch Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Hilton Head Island |
SOUTH CAROLINA |
29926 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| ARIZONA |
| CALIFORNIA |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| KANSAS |
| LOUISIANA |
| MARYLAND |
| MASSACHUSETTS |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| OREGON |
| SOUTH CAROLINA |
| TEXAS |
| VIRGINIA |
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| Recipient |
| Recipient CRD Number |
|
None |
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| JOHN M BUTLER |
1951436 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| INVESTMENT SECURITY CORPORATION |
47536 |
| Street Address 1 |
Street Address 2 |
| 7240 S HIGHLAND DR SUITE 103 |
| City |
State/Province/Country |
ZIP/Postal Code |
| SALT LAKE CITY |
UTAH |
84121 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| ARIZONA |
| CALIFORNIA |
| FLORIDA |
| MASSACHUSETTS |
| NEW MEXICO |
| OREGON |
| UTAH |
| WYOMING |
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| Recipient |
| Recipient CRD Number |
|
None |
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| BO WANG |
2394019 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| LANDOLT SECURITIES INC |
28352 |
| Street Address 1 |
Street Address 2 |
| 17 Canoe Brook Dr. |
| City |
State/Province/Country |
ZIP/Postal Code |
| Livingston |
NEW JERSEY |
07039 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| CALIFORNIA |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| INDIANA |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TEXAS |
| VIRGINIA |
| WASHINGTON |
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| Recipient |
| Recipient CRD Number |
|
None |
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| G ANTHONY HARRIGAN |
1817525 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| LION STREET FINANCIAL, LLC |
165828 |
| Street Address 1 |
Street Address 2 |
| 4770 Baseline Rd 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 |
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| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| FLORIDA |
| HAWAII |
| ILLINOIS |
| INDIANA |
| MINNESOTA |
| MISSISSIPPI |
| NEW YORK |
| NORTH CAROLINA |
| RHODE ISLAND |
| SOUTH DAKOTA |
| TEXAS |
| VIRGINIA |
| WYOMING |
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| Recipient |
| Recipient CRD Number |
|
None |
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| GREGORY A BALDWIN |
1476397 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| PURSHE KAPLAN STERLING INVESTMENTS |
35747 |
| Street Address 1 |
Street Address 2 |
| 8800 SE Sunnyside Road Suite 213N |
| City |
State/Province/Country |
ZIP/Postal Code |
| Clackamas |
OREGON |
97015 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
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| CALIFORNIA |
| MICHIGAN |
| NEVADA |
| NORTH CAROLINA |
| OREGON |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
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| MOHAMED ELDAWY |
6489642 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| VESTECH SECURITIES INC |
41409 |
| Street Address 1 |
Street Address 2 |
| 12 Greenway Plaza Suite 1100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Houston |
TEXAS |
77046 |
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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| KENNETH ZUPO |
4509502 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| WHITEHALL-PARKER SECURITIES INC |
10608 |
| Street Address 1 |
Street Address 2 |
| 1990 N. CALIFORNIA BLVD. 8TH FLOOR |
| City |
State/Province/Country |
ZIP/Postal Code |
| WALNUT CREEK |
CALIFORNIA |
94596 |
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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| SALVATORE A CARUSO |
4826100 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| AEGIS CAPITAL CORP |
15007 |
| Street Address 1 |
Street Address 2 |
| 1000 WOODBURY ROAD, SUITE 300 |
| City |
State/Province/Country |
ZIP/Postal Code |
| WOODBURY |
NEW YORK |
11797 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
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| ALABAMA |
| ALASKA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| FLORIDA |
| KANSAS |
| MARYLAND |
| MASSACHUSETTS |
| MINNESOTA |
| NEW JERSEY |
| NEW YORK |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
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| HUNTER S LUKE |
1348707 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| AGES FINANCIAL SERVICES, LTD. |
15427 |
| Street Address 1 |
Street Address 2 |
| 453 Washington Street, Suite One |
| City |
State/Province/Country |
ZIP/Postal Code |
| Duxbury |
MASSACHUSETTS |
02332-4560 |
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 |
|
| JEFFREY D LEWIS |
1744218 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
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| AGES FINANCIAL SERVICES, LTD. |
15427 |
| Street Address 1 |
Street Address 2 |
| 10-12 PHOENIX ROW, SUITE 3 |
| City |
State/Province/Country |
ZIP/Postal Code |
| HAVERHILL |
MASSACHUSETTS |
01832 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| FLORIDA |
| MAINE |
| MASSACHUSETTS |
| NEW HAMPSHIRE |
| SOUTH CAROLINA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| JAMES TODDY |
2636687 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
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| CENTER STREET SECURITIES INC |
26898 |
| Street Address 1 |
Street Address 2 |
| 7702 EAST DOUBLETREE RANCH ROAD |
SUITE 300 |
| City |
State/Province/Country |
ZIP/Postal Code |
| SCOTTSDALE |
ARIZONA |
85258 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| DELAWARE |
| FLORIDA |
| IDAHO |
| ILLINOIS |
| MICHIGAN |
| MINNESOTA |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OKLAHOMA |
| SOUTH DAKOTA |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| JEFFREY T KENNEDY |
5094149 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
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| CENTER STREET SECURITIES INC |
26898 |
| Street Address 1 |
Street Address 2 |
| 721 N 24TH ST |
| 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 |
|
|
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| IDAHO |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MISSOURI |
| NORTH DAKOTA |
| PENNSYLVANIA |
| TEXAS |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| LAWRENCE A HARDEE |
1701419 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| CENTER STREET SECURITIES INC |
26898 |
| Street Address 1 |
Street Address 2 |
| 116 WILSON PIKE CIRCLE, SUITE 202 |
| City |
State/Province/Country |
ZIP/Postal Code |
| BRENTWOOD |
TENNESSEE |
37027 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| FLORIDA |
| GEORGIA |
| IDAHO |
| INDIANA |
| KENTUCKY |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| NEVADA |
| NORTH CAROLINA |
| OHIO |
| SOUTH CAROLINA |
| TENNESSEE |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| JASON DOUGLAS STONE |
5455271 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| CROWN CAPITAL SECURITIES, LP |
6312 |
| Street Address 1 |
Street Address 2 |
| 333 CITY BLVD WEST, SUITE 2050 |
| 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 |
|
|
| ALABAMA |
| ARIZONA |
| CALIFORNIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| NEVADA |
| NEW JERSEY |
| NEW YORK |
| OREGON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| MARK A HOPPE |
1017793 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| CROWN CAPITAL SECURITIES, LP |
6312 |
| Street Address 1 |
Street Address 2 |
| 4063 BIRCH ST, SUITE 130 |
| City |
State/Province/Country |
ZIP/Postal Code |
| NEWPORT BEACH |
CALIFORNIA |
92660 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| FLORIDA |
| IOWA |
| MARYLAND |
| MONTANA |
| NEVADA |
| TEXAS |
| UTAH |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| MICHAEL APPLEBY |
2060904 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| CROWN CAPITAL SECURITIES, LP |
6312 |
| Street Address 1 |
Street Address 2 |
| 16653 SE 69th Way |
| City |
State/Province/Country |
ZIP/Postal Code |
| Bellevue |
WASHINGTON |
98006 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| MICHIGAN |
| OREGON |
| UTAH |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| RANDAL L LISHKA |
1600114 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| CROWN CAPITAL SECURITIES, LP |
6312 |
| Street Address 1 |
Street Address 2 |
| 12901 SE 97TH AVE, SUITE 410 |
| City |
State/Province/Country |
ZIP/Postal Code |
| CLACKAMAS |
OREGON |
97015 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| ALASKA |
| ARIZONA |
| CALIFORNIA |
| DISTRICT OF COLUMBIA |
| HAWAII |
| IDAHO |
| MONTANA |
| NEVADA |
| OREGON |
| TEXAS |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| JAMES T MANNING |
4395898 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| GREAT POINT CAPITAL LLC |
114203 |
| Street Address 1 |
Street Address 2 |
| 12515 RESEARCH BLVD, BLDG 7, SUITE 360 |
| City |
State/Province/Country |
ZIP/Postal Code |
| AUSTIN |
TEXAS |
78759 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| AIMEE A TOTH |
5079628 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| INVICTA CAPITAL LLC |
288101 |
| Street Address 1 |
Street Address 2 |
| 606 Corbet Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Tarentum |
PENNSYLVANIA |
15084 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| BRAD L CURTIS |
5422029 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| JRL CAPITAL CORPORATION |
10225 |
| Street Address 1 |
Street Address 2 |
| 100 PACIFICA, SUITE 360 |
| 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 |
|
|
| ALABAMA |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| OREGON |
| TENNESSEE |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| CURTIS J SATHRE III |
2459115 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| JRL CAPITAL CORPORATION |
10225 |
| Street Address 1 |
Street Address 2 |
| 100 PACIFICA, SUITE 360 |
| 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 |
|
|
| ARIZONA |
| CALIFORNIA |
| CONNECTICUT |
| LOUISIANA |
| OREGON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| PETER L GOFFIN |
1617710 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| NEWBRIDGE SECURITIES CORPORATION |
104065 |
| Street Address 1 |
Street Address 2 |
| 7700 CONGRESS AVENUE, SUITE 1123 |
| City |
State/Province/Country |
ZIP/Postal Code |
| BOCA RATON |
FLORIDA |
33487 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| CONNECTICUT |
| FLORIDA |
| GEORGIA |
| INDIANA |
| MARYLAND |
| MASSACHUSETTS |
| NEVADA |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| PENNSYLVANIA |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| JUAN HUA LIANG |
6860076 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| NI ADVISORS |
134502 |
| Street Address 1 |
Street Address 2 |
| 333 Gellert Blvd., Suite 102 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Daly City |
CALIFORNIA |
94015 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| SHIRLEY WONG |
4869184 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| NI ADVISORS |
134502 |
| Street Address 1 |
Street Address 2 |
| 333 Gellert Blvd., Suite 102 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Daly City |
CALIFORNIA |
94015 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| CHARLES A MASSIE |
4801524 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| PEAK BROKERAGE SERVICES LLC |
157045 |
| Street Address 1 |
Street Address 2 |
| 15961 McGregor Blvd, Suite 2 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Fort Myers |
FLORIDA |
33908 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| OMAR R SHALABI |
2777244 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| PEAK BROKERAGE SERVICES LLC |
157045 |
| Street Address 1 |
Street Address 2 |
| 2026 Assembly Street, Suite 203 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Columbia |
SOUTH CAROLINA |
29201 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| CALIFORNIA |
| FLORIDA |
| GEORGIA |
| MASSACHUSETTS |
| NEW JERSEY |
| NORTH CAROLINA |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TENNESSEE |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| KENNETH WAYNE HAST |
6382578 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| TITAN SECURITIES |
131392 |
| Street Address 1 |
Street Address 2 |
| 6100 TENNYSON PKWY, SUITE 240 |
| City |
State/Province/Country |
ZIP/Postal Code |
| PLANO |
TEXAS |
75024 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| NEW MEXICO |
| NORTH CAROLINA |
| OREGON |
| TENNESSEE |
| TEXAS |
| VIRGINIA |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| TOMAS J. VELKEN |
1600404 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| WHITEHALL-PARKER SECURITIES INC |
10608 |
| 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 |
|
| STEPHEN WAYNE WINGARD |
2746603 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| LION STREET FINANCIAL, LLC |
65828 |
| Street Address 1 |
Street Address 2 |
| 13155 Noel Road, Suite 900 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Dallas |
TEXAS |
75240 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| COLORADO |
| LOUISIANA |
| MINNESOTA |
| NEW JERSEY |
| RHODE ISLAND |
| TEXAS |
| UTAH |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| PETER K JOHNSON |
1371966 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| CENTER STREET SECURITIES INC |
26898 |
| Street Address 1 |
Street Address 2 |
| 925 MEZZANINE DRIVE, SUITE C |
| City |
State/Province/Country |
ZIP/Postal Code |
| LAFAYETTE |
INDIANA |
47905 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| WILLIAM PAUL EVANS III |
5375352 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| CENTER STREET SECURITIES INC |
26898 |
| Street Address 1 |
Street Address 2 |
| 115 EAST MAIN STREET |
| City |
State/Province/Country |
ZIP/Postal Code |
| MARION |
VIRGINIA |
24354 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| ANTHONY B LISHKA |
5767664 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| CROWN CAPITAL SECURITIES, LP 6312 |
6312 |
| Street Address 1 |
Street Address 2 |
| 12901 SE 97TH AVE, SUITE 410 |
| City |
State/Province/Country |
ZIP/Postal Code |
| CLACKAMAS |
OREGON |
97015 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| ALASKA |
| ARIZONA |
| CALIFORNIA |
| DISTRICT OF COLUMBIA |
| HAWAII |
| IDAHO |
| MONTANA |
| NEVADA |
| OHIO |
| OREGON |
| TENNESSEE |
| TEXAS |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| STEPHEN J BLUM |
2667312 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| COASTAL EQUITIES, INC. |
23769 |
| Street Address 1 |
Street Address 2 |
| 14900 Landmark Blvd., #460 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Dallas |
TEXAS |
75254 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| COLORADO |
| FLORIDA |
| TEXAS |
| VIRGINIA |
|
13. Offering and Sales Amounts
| Total Offering Amount |
$30,000,000
|
USD |
|
| Total Amount Sold |
$21,521,919
|
USD |
| Total Remaining to be Sold |
$8,478,081
|
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 |
$1,372,991
|
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 |
| Lodging Fund REIT III OP, LP |
Corey R. Maple |
Corey R. Maple |
CEO and Secretary of the Issuer's General Partner |
2023-02-23 |
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.