This is the Primary Document downloaded from EDGAR on 5/5/2022 2:25:24 PM EST for EFDID 423015 and Accession Number 0001894604-22-000009.

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

SEC FORM D/A

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

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
0001894604
   Corporation
X Limited Partnership
   Limited Liability Company
   General Partnership
   Business Trust
   Other (Specify)

Name of Issuer
Griffin Capital Qualified Opportunity Zone Fund III, L.P.
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
   Over Five Years Ago
X Within Last Five Years (Specify Year) 2021
   Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
Griffin Capital Qualified Opportunity Zone Fund III, L.P.
Street Address 1 Street Address 2
GRIFFIN CAPITAL PLAZA 1520 EAST GRAND AVENUE
City State/Province/Country ZIP/PostalCode Phone Number of Issuer
EL SEGUNDO CALIFORNIA 90245 (310) 469-6100

3. Related Persons

Last Name First Name Middle Name
Shields Kevin A.
Street Address 1 Street Address 2
Griffin Capital Plaza 1520 E. Grand Avenue
City State/Province/Country ZIP/PostalCode
El Segundo CALIFORNIA 90245
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Chief Executive Officer of the General Partner of the Issuer
Last Name First Name Middle Name
Griffin Capital Company, LLC N/A
Street Address 1 Street Address 2
Griffin Capital Plaza 1520 E. Grand Avenue
City State/Province/Country ZIP/PostalCode
El Segundo CALIFORNIA 90245
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Sponsor of the Issuer
Last Name First Name Middle Name
Griffin Capital QOZ III, LLC N/A
Street Address 1 Street Address 2
Griffin Capital Plaza 1520 E. Grand Avenue
City State/Province/Country ZIP/PostalCode
El Segundo CALIFORNIA 90245
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

General Partner of the Issuer

4. Industry Group

   Agriculture
Banking & Financial Services
   Commercial Banking
   Insurance
   Investing
   Investment Banking
   Pooled Investment Fund
Is the issuer registered as
an investment company under
the Investment Company
Act of 1940?
   Yes    No
   Other Banking & Financial Services
   Business Services
Energy
   Coal Mining
   Electric Utilities
   Energy Conservation
   Environmental Services
   Oil & Gas
   Other Energy
Health Care
   Biotechnology
   Health Insurance
   Hospitals & Physicians
   Pharmaceuticals
   Other Health Care
   Manufacturing
Real Estate
   Commercial
   Construction
   REITS & Finance
   Residential
X Other Real Estate
  
 Retailing
  
 Restaurants
Technology
   Computers
   Telecommunications
   Other Technology
Travel
   Airlines & Airports
   Lodging & Conventions
   Tourism & Travel Services
   Other Travel
  
 Other

5. Issuer Size

Revenue Range OR Aggregate Net Asset Value Range
   No Revenues    No Aggregate Net Asset Value
   $1 - $1,000,000    $1 - $5,000,000
   $1,000,001 - $5,000,000    $5,000,001 - $25,000,000
   $5,000,001 - $25,000,000    $25,000,001 - $50,000,000
   $25,000,001 - $100,000,000    $50,000,001 - $100,000,000
   Over $100,000,000    Over $100,000,000
X Decline to Disclose    Decline to Disclose
   Not Applicable    Not Applicable

6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)

   Rule 504(b)(1) (not (i), (ii) or (iii))
   Rule 504 (b)(1)(i)
   Rule 504 (b)(1)(ii)
   Rule 504 (b)(1)(iii)
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)
   Section 3(c)(7)

7. Type of Filing

   New Notice Date of First Sale 2021-12-06    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 X 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 $150,000 USD

12. Sales Compensation

Recipient
Recipient CRD Number    None
Marc Seeherman 1131557
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Calton & Associates, Inc. 20999
Street Address 1 Street Address 2
32 West 40th Street 7th Floor
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10018
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
MICHIGAN
Recipient
Recipient CRD Number    None
Timothy J. Sherer 833518
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Emerson Equity LLC 130032
Street Address 1 Street Address 2
61 East Main Street Suite D
City State/Province/Country ZIP/Postal Code
Los Gatos CALIFORNIA 95032
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
DELAWARE
Recipient
Recipient CRD Number    None
Ryan Sherer 5952617
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Emerson Equity LLC 130032
Street Address 1 Street Address 2
61 East Main Street Suite D
City State/Province/Country ZIP/Postal Code
Los Gatos CALIFORNIA 95032
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
DELAWARE
Recipient
Recipient CRD Number    None
Billy Aycock 4069907
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Center Street Securities Inc. 26898
Street Address 1 Street Address 2
2 International Plaza Suite 301
City State/Province/Country ZIP/Postal Code
Nashville TENNESSEE 37217
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TENNESSEE
Recipient
Recipient CRD Number    None
Betty Friant 2122446
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Growth Capital Services, Inc. 124658
Street Address 1 Street Address 2
1101 Pennsylvania Avenue NW Suite 300
City State/Province/Country ZIP/Postal Code
Washington DISTRICT OF COLUMBIA 20004
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MINNESOTA
Recipient
Recipient CRD Number    None
Mark Baran 870541
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
McDermott Investment Services LLC 154926
Street Address 1 Street Address 2
44 East Broad Street 2nd Floor
City State/Province/Country ZIP/Postal Code
Bethlehem PENNSYLVANIA 18018
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW HAMPSHIRE
Recipient
Recipient CRD Number    None
Neeraj Agarwal 5487434
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Lincoln Financial Securities Corporation 3870
Street Address 1 Street Address 2
4664 South Boulevard Suite 201A
City State/Province/Country ZIP/Postal Code
Virginia Beach VIRGINIA 23452
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
VIRGINIA
Recipient
Recipient CRD Number    None
Colette Frey-Bitzas 2040840
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
American Portfolios Financial Services, Inc. 18487
Street Address 1 Street Address 2
4250 Veterans Memorial Highway Suite 100E
City State/Province/Country ZIP/Postal Code
Holbrook NEW YORK 11741
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
Taher Gilani 2381502
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
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
   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
David Funes 5467419
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Thornhill Securities, Inc. 22333
Street Address 1 Street Address 2
400 W. 15th Street Suite 700
City State/Province/Country ZIP/Postal Code
Austin TEXAS 78701
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
Amr Tenney 5506866
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Thornhill Securities, Inc. 22333
Street Address 1 Street Address 2
400 W. 15th Street Suite 700
City State/Province/Country ZIP/Postal Code
Austin TEXAS 78701
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
MARYLAND
Recipient
Recipient CRD Number    None
Eugene Cindrich 2444041
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Advisory Group Equity Services Ltd 15427
Street Address 1 Street Address 2
10 Phoenix Row
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
   Foreign/non-US
MASSACHUSETTS
Recipient
Recipient CRD Number    None
Michael Petter 4341091
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Calton & Associates Inc. 20999
Street Address 1 Street Address 2
62 La Escalera
City State/Province/Country ZIP/Postal Code
San Antonio TEXAS 78261
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
Scott Ozer 1009252
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Emerson Equity LLC 130032
Street Address 1 Street Address 2
30497 Canwood Street Suite 200
City State/Province/Country ZIP/Postal Code
Agoura Hills CALIFORNIA 91301
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
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		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
MASSACHUSETTS
MONTANA
UTAH
WASHINGTON
WISCONSIN
Recipient
Recipient CRD Number    None
Lincoln Financial Advisors Corporation 3978
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1301 South Harrison Street
City State/Province/Country ZIP/Postal Code
Fort Wayne INDIANA 46802
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
DISTRICT OF COLUMBIA
GEORGIA
IDAHO
NEW YORK
UTAH
VIRGINIA
Recipient
Recipient CRD Number    None
Ivan West 4921015
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
American Trust Investment Services, Inc. 3001
Street Address 1 Street Address 2
4722 Main Street
City State/Province/Country ZIP/Postal Code
Lisle ILLINOIS 60532
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MICHIGAN
Recipient
Recipient CRD Number    None
Elias Pritsoulis 2568434
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
A.G.P. / Alliance Global Partners 8361
Street Address 1 Street Address 2
590 Madison Avenue 28th Floor
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10022
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW JERSEY
Recipient
Recipient CRD Number    None
Betty Friant 2122446
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
FNEX Capital, LLC 166316
Street Address 1 Street Address 2
21515 Hawthorne Boulevard Suite 360
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
   Foreign/non-US
KANSAS
WEST VIRGINIA
Recipient
Recipient CRD Number    None
DFPG Investments, LLC 155576
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
9017 S. Riverside Drive Suite 210
City State/Province/Country ZIP/Postal Code
Sandy UTAH 84070
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
COLORADO
WASHINGTON
Recipient
Recipient CRD Number    None
Cambridge Investment Research, Inc. 39543
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1776 Pleasant Plain Road
City State/Province/Country ZIP/Postal Code
Fairfield IOWA 52556
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
FLORIDA
NORTH CAROLINA
PENNSYLVANIA
TEXAS
Recipient
Recipient CRD Number    None
John A. Doane 4083486
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Advisory Group Equity Services Ltd. 15427
Street Address 1 Street Address 2
33 Hilltop Drive
City State/Province/Country ZIP/Postal Code
Wenham MASSACHUSETTS 01984
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
Recipient
Recipient CRD Number    None
Brian Armstrong 2895592
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Skyway Capital Markets, LLC 124630
Street Address 1 Street Address 2
100 North Tampa Street Suite 3550
City State/Province/Country ZIP/Postal Code
Tampa FLORIDA 33602
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
Recipient
Recipient CRD Number    None
Sean Whalen 4000934
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Concorde Investment Services, LLC 151604
Street Address 1 Street Address 2
24 Superior Drive Suite 101
City State/Province/Country ZIP/Postal Code
Natick MASSACHUSETTS 01760
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
Mark Herding 2239357
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Harbour Investments, Inc. 19258
Street Address 1 Street Address 2
4648 N. 32nd Street
City State/Province/Country ZIP/Postal Code
Phoenix ARIZONA 85016
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
Rodney Ibrahim 4358176
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
A.G.P./Alliance Global Partners 8361
Street Address 1 Street Address 2
40 Wall Street
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10005
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
COLORADO
Recipient
Recipient CRD Number    None
Alex Ruggieri 1685884
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NexTrend Securities, Inc. 43710
Street Address 1 Street Address 2
1801 Woodfield Drive
City State/Province/Country ZIP/Postal Code
Savoy ILLINOIS 61874
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
Andrew Zorovich 2753501
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
American Portfolios Financial Services, Inc. 18487
Street Address 1 Street Address 2
200 Clinton Avenue West Suite 701
City State/Province/Country ZIP/Postal Code
Huntsville ALABAMA 35801
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
Recipient
Recipient CRD Number    None
Purshe Kaplan Sterling Investments 35747
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
80 State Street
City State/Province/Country ZIP/Postal Code
Albany NEW YORK 12207
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CONNECTICUT
NEVADA
NEW JERSEY
WASHINGTON

13. Offering and Sales Amounts

Total Offering Amount $500,000,000 USD
or    Indefinite
Total Amount Sold $124,029,891 USD
Total Remaining to be Sold $375,970,109 USD
or    Indefinite

Clarification of Response (if Necessary):

Regarding Item 11, the Issuer may accept smaller investments in the Issuer's sole discretion.

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:
231

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 $16,250,000 USD
X Estimate
Finders' Fees $0 USD
X Estimate

Clarification of Response (if Necessary):

Sales Commissions include estimates of the maximum amount of Selling Commissions, Dealer Fees and Placement Agent Fees that may be paid.

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.

$1,875,000 USD
X Estimate

Clarification of Response (if Necessary):

Item 16 is an estimate of acquisition fees, reimbursements for certain acquisition and financing costs, and offering and organizational expenses that may accrue to one or more Related Persons.

Signature and Submission

Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.

Terms of Submission

In submitting this notice, each issuer named above is:
  • Notifying the SEC and/or each State in which this notice is filed of the offering of securities described and undertaking to furnish them, upon written request, in the accordance with applicable law, the information furnished to offerees.*
  • Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator or other legally designated officer of the State in which the issuer maintains its principal place of business and any State in which this notice is filed, as its agents for service of process, and agreeing that these persons may accept service on its behalf, of any notice, process or pleading, and further agreeing that such service may be made by registered or certified mail, in any Federal or state action, administrative proceeding, or arbitration brought against the issuer in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in connection with the offering of securities that is the subject of this notice, and (b) is founded, directly or indirectly, upon the provisions of:  (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii) the laws of the State in which the issuer maintains its principal place of business or any State in which this notice is filed.
  • Certifying that, if the issuer is claiming a Regulation D exemption for the offering, the issuer is not disqualified from relying on Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) or Rule 506(d).

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

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

Issuer Signature Name of Signer Title Date
Griffin Capital Qualified Opportunity Zone Fund III, L.P. /s/ Joseph E. Miller Joseph E. Miller CFO & Treasurer of the GP of the Issuer 2022-05-05

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.