Form D Raw Data - Electronic Filing Depository

EFDID: 6050EFD: Raw Data

Issuer: Cypress Equipment Fund 16, LLC (0001451787) - D/A

Accession: 0001011723-10-000008 () (EDGAR Files) (Form D)

Edgar Posted: Jan. 28, 2010
EFD Posted: Aug. 7, 2014

- < edgarSubmission >

< schemaVersion > X0603 </ schemaVersion >

< submissionType > D/A </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001451787 </ cik >

< entityName > Cypress Equipment Fund 16, LLC </ entityName >

- < issuerAddress >

< street1 > 188 The Embarcadero, Suite 420 </ street1 >

< city > San Francisco </ city >

< stateOrCountry > CA </ stateOrCountry >

< zipCode > 94105 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > 415-281-3020 </ issuerPhoneNumber >

< jurisdictionOfInc > CALIFORNIA </ jurisdictionOfInc >

- < issuerPreviousNameList >

< value > None </ value >

</ issuerPreviousNameList >

- < edgarPreviousNameList >

< value > None </ value >

</ edgarPreviousNameList >

< entityType > Limited Liability Company </ entityType >

- < yearOfInc >

< withinFiveYears > true </ withinFiveYears >

< value > 2008 </ value >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Stephen </ firstName >

< middleName > Rogers </ middleName >

< lastName > Harwood </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 188 The Embarcadero, Suite 420 </ street1 >

< city > San Francisco </ city >

< stateOrCountry > CA </ stateOrCountry >

< zipCode > 94105 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

< relationship > Executive Officer </ relationship >

< relationship > Promoter </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Officer and Director of LLC Manager </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > NA </ firstName >

< lastName > Cypress Equipment Management Corp IV </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 188 The Embarcadero, Suite 420 </ street1 >

< city > San Francisco </ city >

< stateOrCountry > CA </ stateOrCountry >

< zipCode > 94105 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Promoter </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > LLC Manager </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Kenneth </ firstName >

< lastName > Park </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 188 The Embarcadero, Suite 420 </ street1 >

< city > San Francisco </ city >

< stateOrCountry > CA </ stateOrCountry >

< zipCode > 94105 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Officer of LLC Manager </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Daniel </ firstName >

< lastName > Rael </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 188 The Embarcadero, Suite 420 </ street1 >

< city > San Francisco </ city >

< stateOrCountry > CA </ stateOrCountry >

< zipCode > 94105 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Officer of LLC Manager </ relationshipClarification >

</ relatedPersonInfo >

</ relatedPersonsList >

- < offeringData >

- < industryGroup >

< industryGroupType > Other Banking and Financial Services </ industryGroupType >

</ industryGroup >

- < issuerSize >

< revenueRange > Decline to Disclose </ revenueRange >

</ issuerSize >

- < federalExemptionsExclusions >

< item > 06 </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > true </ isAmendment >

< previousAccessionNumber > 0001011723-09-000001 </ previousAccessionNumber >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2009-01-07 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > true </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isEquityType > true </ isEquityType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 35000 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > Cypress Capital Corporation </ recipientName >

< recipientCRDNumber > 42681 </ recipientCRDNumber >

< associatedBDName > Cypress Capital Corporation </ associatedBDName >

< associatedBDCRDNumber > 42681 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 188 The Embarcader, Suite 420 </ street1 >

< city > San Francisco </ city >

< stateOrCountry > CA </ stateOrCountry >

< zipCode > 94105 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< state > AR </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > DC </ state >

< state > FL </ state >

< state > GA </ state >

< state > HI </ state >

< state > ID </ state >

< state > IL </ state >

< state > IN </ state >

< state > IA </ state >

< state > KS </ state >

< state > KY </ state >

< state > LA </ state >

< state > MD </ state >

< state > MA </ state >

< state > MI </ state >

< state > MN </ state >

< state > MO </ state >

< state > NE </ state >

< state > NV </ state >

< state > NJ </ state >

< state > NY </ state >

< state > NC </ state >

< state > OH </ state >

< state > OR </ state >

< state > PA </ state >

< state > SC </ state >

< state > TN </ state >

< state > TX </ state >

< state > UT </ state >

< state > VT </ state >

< state > VA </ state >

< state > WA </ state >

< state > WI </ state >

< state > WY </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Berthel, Fisher and Company Financial Services, Inc. </ recipientName >

< recipientCRDNumber > 13609 </ recipientCRDNumber >

< associatedBDName > Berthel, Fisher and Company Financial Services, Inc. </ associatedBDName >

< associatedBDCRDNumber > 13609 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 701 Tama Street, Building B </ street1 >

< city > Marion </ city >

< stateOrCountry > IA </ stateOrCountry >

< zipCode > 52302 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > AK </ state >

< state > AZ </ state >

< state > AR </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > DE </ state >

< state > DC </ state >

< state > FL </ state >

< state > GA </ state >

< state > HI </ state >

< state > ID </ state >

< state > IL </ state >

< state > IN </ state >

< state > IA </ state >

< state > KS </ state >

< state > KY </ state >

< state > LA </ state >

< state > ME </ state >

< state > MD </ state >

< state > MA </ state >

< state > MI </ state >

< state > MN </ state >

< state > MS </ state >

< state > MO </ state >

< state > MT </ state >

< state > NE </ state >

< state > NV </ state >

< state > NH </ state >

< state > NJ </ state >

< state > NM </ state >

< state > NY </ state >

< state > NC </ state >

< state > ND </ state >

< state > OH </ state >

< state > OK </ state >

< state > OR </ state >

< state > PA </ state >

< state > SC </ state >

< state > SD </ state >

< state > TN </ state >

< state > TX </ state >

< state > UT </ state >

< state > VT </ state >

< state > VA </ state >

< state > WA </ state >

< state > WI </ state >

< state > WY </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Zachary L. Carey </ recipientName >

< recipientCRDNumber > 3110546 </ recipientCRDNumber >

< associatedBDName > Calton and Associates, Inc. </ associatedBDName >

< associatedBDCRDNumber > 20999 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2716 West Oxford Loop </ street1 >

< street2 > Suite 179 </ street2 >

< city > Oxford </ city >

< stateOrCountry > MS </ stateOrCountry >

< zipCode > 38655 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > AR </ state >

< state > FL </ state >

< state > GA </ state >

< state > KY </ state >

< state > LA </ state >

< state > MS </ state >

< state > TN </ state >

< state > TX </ state >

< state > VA </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Oliver B. Williamson </ recipientName >

< recipientCRDNumber > 4642029 </ recipientCRDNumber >

< associatedBDName > Calton and Associates, Inc. </ associatedBDName >

< associatedBDCRDNumber > 20999 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 611 Hambley Blvd. </ street1 >

< city > Pikeville </ city >

< stateOrCountry > KY </ stateOrCountry >

< zipCode > 41501 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< state > IN </ state >

< state > KY </ state >

< state > MA </ state >

< state > NY </ state >

< state > NC </ state >

< state > OH </ state >

< state > PA </ state >

< state > SC </ state >

< state > TN </ state >

< state > VA </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Phillip D. King </ recipientName >

< recipientCRDNumber > 1839137 </ recipientCRDNumber >

< associatedBDName > Calton and Associates, Inc. </ associatedBDName >

< associatedBDCRDNumber > 20999 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 611 Hambley Blvd. </ street1 >

< city > Pikeville </ city >

< stateOrCountry > KY </ stateOrCountry >

< zipCode > 41501 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< state > FL </ state >

< state > GA </ state >

< state > IN </ state >

< state > KY </ state >

< state > MI </ state >

< state > NC </ state >

< state > OH </ state >

< state > SC </ state >

< state > TN </ state >

< state > VA </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Maryellen Trotter </ recipientName >

< recipientCRDNumber > 862519 </ recipientCRDNumber >

< associatedBDName > Centaurus Financial, Inc. </ associatedBDName >

< associatedBDCRDNumber > 30833 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1515 E. Cedar Avenue </ street1 >

< street2 > Suite C5 </ street2 >

< city > Flagstaff </ city >

< stateOrCountry > AZ </ stateOrCountry >

< zipCode > 86004 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< state > CA </ state >

< state > CO </ state >

< state > FL </ state >

< state > MS </ state >

< state > UT </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Bryan D. Myers </ recipientName >

< recipientCRDNumber > 2527480 </ recipientCRDNumber >

< associatedBDName > Chapin, Davis </ associatedBDName >

< associatedBDCRDNumber > 28116 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2 Village Square, Suite 200 </ street1 >

< city > Baltimore </ city >

< stateOrCountry > MD </ stateOrCountry >

< zipCode > 21210 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< state > MD </ state >

< state > NY </ state >

< state > PA </ state >

< state > VA </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Commonwealth Financial Network </ recipientName >

< recipientCRDNumber > 8032 </ recipientCRDNumber >

< associatedBDName > Commonwealth Financial Network </ associatedBDName >

< associatedBDCRDNumber > 8032 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 29 Sawyer Road </ street1 >

< city > Waltham </ city >

< stateOrCountry > MA </ stateOrCountry >

< zipCode > 02453 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > AK </ state >

< state > AZ </ state >

< state > AR </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > DE </ state >

< state > DC </ state >

< state > FL </ state >

< state > GA </ state >

< state > HI </ state >

< state > ID </ state >

< state > IL </ state >

< state > IN </ state >

< state > IA </ state >

< state > KS </ state >

< state > KY </ state >

< state > LA </ state >

< state > ME </ state >

< state > MD </ state >

< state > MA </ state >

< state > MI </ state >

< state > MN </ state >

< state > MS </ state >

< state > MO </ state >

< state > MT </ state >

< state > NE </ state >

< state > NV </ state >

< state > NH </ state >

< state > NJ </ state >

< state > NM </ state >

< state > NY </ state >

< state > NC </ state >

< state > ND </ state >

< state > OH </ state >

< state > OK </ state >

< state > OR </ state >

< state > PA </ state >

< state > SC </ state >

< state > SD </ state >

< state > TN </ state >

< state > TX </ state >

< state > UT </ state >

< state > VT </ state >

< state > VA </ state >

< state > WA </ state >

< state > WI </ state >

< state > WY </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Crown Capital Securities, L.P. </ recipientName >

< recipientCRDNumber > 6312 </ recipientCRDNumber >

< associatedBDName > Crown Capital Securities, L.P. </ associatedBDName >

< associatedBDCRDNumber > 6312 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 725 Town and Country Road </ street1 >

< street2 > Suite 530 </ street2 >

< city > Orange </ city >

< stateOrCountry > CA </ stateOrCountry >

< zipCode > 92868 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > AK </ state >

< state > AZ </ state >

< state > AR </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > DE </ state >

< state > DC </ state >

< state > FL </ state >

< state > GA </ state >

< state > HI </ state >

< state > ID </ state >

< state > IL </ state >

< state > IN </ state >

< state > IA </ state >

< state > KS </ state >

< state > KY </ state >

< state > LA </ state >

< state > ME </ state >

< state > MD </ state >

< state > MA </ state >

< state > MI </ state >

< state > MN </ state >

< state > MS </ state >

< state > MO </ state >

< state > MT </ state >

< state > NE </ state >

< state > NV </ state >

< state > NH </ state >

< state > NJ </ state >

< state > NM </ state >

< state > NY </ state >

< state > NC </ state >

< state > ND </ state >

< state > OH </ state >

< state > OK </ state >

< state > OR </ state >

< state > PA </ state >

< state > SC </ state >

< state > SD </ state >

< state > TN </ state >

< state > TX </ state >

< state > UT </ state >

< state > VT </ state >

< state > VA </ state >

< state > WA </ state >

< state > WI </ state >

< state > WY </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > David A. Harris </ recipientName >

< recipientCRDNumber > 500413 </ recipientCRDNumber >

< associatedBDName > David Harris and Co., Inc. </ associatedBDName >

< associatedBDCRDNumber > 45670 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 222 Mamaroneck Avenue </ street1 >

< city > White Plains </ city >

< stateOrCountry > NY </ stateOrCountry >

< zipCode > 10605 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > FL </ state >

< state > HI </ state >

< state > IL </ state >

< state > ME </ state >

< state > MD </ state >

< state > MI </ state >

< state > NJ </ state >

< state > NY </ state >

< state > NC </ state >

< state > VA </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Donald G. Dewaay Jr. </ recipientName >

< recipientCRDNumber > 1297174 </ recipientCRDNumber >

< associatedBDName > Dewaay Financial Network, LLC </ associatedBDName >

< associatedBDCRDNumber > 30767 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 13001 University Avenue </ street1 >

< city > Clive </ city >

< stateOrCountry > IA </ stateOrCountry >

< zipCode > 50325 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > AK </ state >

< state > AZ </ state >

< state > AR </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > DC </ state >

< state > FL </ state >

< state > GA </ state >

< state > HI </ state >

< state > ID </ state >

< state > IL </ state >

< state > IN </ state >

< state > IA </ state >

< state > KS </ state >

< state > KY </ state >

< state > MA </ state >

< state > MI </ state >

< state > MN </ state >

< state > MO </ state >

< state > MT </ state >

< state > NE </ state >

< state > NV </ state >

< state > NM </ state >

< state > NY </ state >

< state > NC </ state >

< state > ND </ state >

< state > OH </ state >

< state > OK </ state >

< state > OR </ state >

< state > PA </ state >

< state > SC </ state >

< state > SD </ state >

< state > TX </ state >

< state > UT </ state >

< state > VT </ state >

< state > VA </ state >

< state > WA </ state >

< state > WI </ state >

< state > WY </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Joshua E. Cross </ recipientName >

< recipientCRDNumber > 4522751 </ recipientCRDNumber >

< associatedBDName > Dewaay Financial Network, LLC </ associatedBDName >

< associatedBDCRDNumber > 30767 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 13001 University Avenue </ street1 >

< city > Clive </ city >

< stateOrCountry > IA </ stateOrCountry >

< zipCode > 50325 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > AZ </ state >

< state > FL </ state >

< state > HI </ state >

< state > IL </ state >

< state > IA </ state >

< state > KS </ state >

< state > KY </ state >

< state > MA </ state >

< state > MN </ state >

< state > MO </ state >

< state > NE </ state >

< state > NV </ state >

< state > NC </ state >

< state > OH </ state >

< state > TX </ state >

< state > WA </ state >

< state > WI </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > NFP Securities, Inc. </ recipientName >

< recipientCRDNumber > 42046 </ recipientCRDNumber >

< associatedBDName > NFP Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 42046 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1250 Capital of Texas Hwy S. , 2-125 </ street1 >

< city > Austin </ city >

< stateOrCountry > TX </ stateOrCountry >

< zipCode > 78746 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > AK </ state >

< state > AZ </ state >

< state > AR </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > DE </ state >

< state > DC </ state >

< state > FL </ state >

< state > GA </ state >

< state > HI </ state >

< state > ID </ state >

< state > IL </ state >

< state > IN </ state >

< state > IA </ state >

< state > KS </ state >

< state > KY </ state >

< state > LA </ state >

< state > ME </ state >

< state > MD </ state >

< state > MA </ state >

< state > MI </ state >

< state > MN </ state >

< state > MS </ state >

< state > MO </ state >

< state > MT </ state >

< state > NE </ state >

< state > NV </ state >

< state > NH </ state >

< state > NJ </ state >

< state > NM </ state >

< state > NY </ state >

< state > NC </ state >

< state > ND </ state >

< state > OH </ state >

< state > OK </ state >

< state > OR </ state >

< state > PA </ state >

< state > SC </ state >

< state > SD </ state >

< state > TN </ state >

< state > TX </ state >

< state > UT </ state >

< state > VT </ state >

< state > VA </ state >

< state > WA </ state >

< state > WI </ state >

< state > WY </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > H. Beck, Inc. </ recipientName >

< recipientCRDNumber > 1763 </ recipientCRDNumber >

< associatedBDName > H. Beck, Inc. </ associatedBDName >

< associatedBDCRDNumber > 1763 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 11140 Rockville Pike </ street1 >

< street2 > Suite 400 </ street2 >

< city > Rockville </ city >

< stateOrCountry > MD </ stateOrCountry >

< zipCode > 20852 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > AK </ state >

< state > AZ </ state >

< state > AR </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > DE </ state >

< state > DC </ state >

< state > FL </ state >

< state > GA </ state >

< state > HI </ state >

< state > ID </ state >

< state > IL </ state >

< state > IN </ state >

< state > IA </ state >

< state > KS </ state >

< state > KY </ state >

< state > LA </ state >

< state > ME </ state >

< state > MD </ state >

< state > MA </ state >

< state > MI </ state >

< state > MN </ state >

< state > MS </ state >

< state > MO </ state >

< state > MT </ state >

< state > NE </ state >

< state > NV </ state >

< state > NH </ state >

< state > NJ </ state >

< state > NM </ state >

< state > NY </ state >

< state > NC </ state >

< state > ND </ state >

< state > OH </ state >

< state > OK </ state >

< state > OR </ state >

< state > PA </ state >

< state > SC </ state >

< state > SD </ state >

< state > TN </ state >

< state > TX </ state >

< state > UT </ state >

< state > VT </ state >

< state > VA </ state >

< state > WA </ state >

< state > WI </ state >

< state > WY </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Independent Financial Group, LLC </ recipientName >

< recipientCRDNumber > 7717 </ recipientCRDNumber >

< associatedBDName > Independent Financial Group, LLC </ associatedBDName >

< associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 12636 High Bluff Drive, Suite 100 </ street1 >

< city > San Diego </ city >

< stateOrCountry > CA </ stateOrCountry >

< zipCode > 92130 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > AK </ state >

< state > AZ </ state >

< state > AR </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > DE </ state >

< state > DC </ state >

< state > FL </ state >

< state > GA </ state >

< state > HI </ state >

< state > ID </ state >

< state > IL </ state >

< state > IN </ state >

< state > IA </ state >

< state > KS </ state >

< state > KY </ state >

< state > LA </ state >

< state > ME </ state >

< state > MD </ state >

< state > MA </ state >

< state > MI </ state >

< state > MN </ state >

< state > MS </ state >

< state > MO </ state >

< state > MT </ state >

< state > NE </ state >

< state > NV </ state >

< state > NH </ state >

< state > NJ </ state >

< state > NM </ state >

< state > NY </ state >

< state > NC </ state >

< state > ND </ state >

< state > OH </ state >

< state > OK </ state >

< state > OR </ state >

< state > PA </ state >

< state > SC </ state >

< state > SD </ state >

< state > TN </ state >

< state > TX </ state >

< state > UT </ state >

< state > VT </ state >

< state > VA </ state >

< state > WA </ state >

< state > WI </ state >

< state > WY </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Lora J. Hoff </ recipientName >

< recipientCRDNumber > 3175071 </ recipientCRDNumber >

< associatedBDName > Investment Planners, Inc. </ associatedBDName >

< associatedBDCRDNumber > 18557 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 10440 N. Central Expressway </ street1 >

< street2 > Suite 1040 </ street2 >

< city > Dallas </ city >

< stateOrCountry > TX </ stateOrCountry >

< zipCode > 75231 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IA </ state >

< state > MN </ state >

< state > MO </ state >

< state > OK </ state >

< state > TX </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > LPL Financial Corporation </ recipientName >

< recipientCRDNumber > 6413 </ recipientCRDNumber >

< associatedBDName > LPL Financial Corporation </ associatedBDName >

< associatedBDCRDNumber > 6413 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > One Beacon Street </ street1 >

< street2 > 22nd Floor </ street2 >

< city > Boston </ city >

< stateOrCountry > MA </ stateOrCountry >

< zipCode > 02108 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > AK </ state >

< state > AZ </ state >

< state > AR </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > DE </ state >

< state > DC </ state >

< state > FL </ state >

< state > GA </ state >

< state > HI </ state >

< state > ID </ state >

< state > IL </ state >

< state > IN </ state >

< state > IA </ state >

< state > KS </ state >

< state > KY </ state >

< state > LA </ state >

< state > ME </ state >

< state > MD </ state >

< state > MA </ state >

< state > MI </ state >

< state > MN </ state >

< state > MS </ state >

< state > MO </ state >

< state > MT </ state >

< state > NE </ state >

< state > NV </ state >

< state > NH </ state >

< state > NJ </ state >

< state > NM </ state >

< state > NY </ state >

< state > NC </ state >

< state > ND </ state >

< state > OH </ state >

< state > OK </ state >

< state > OR </ state >

< state > PA </ state >

< state > SC </ state >

< state > SD </ state >

< state > TN </ state >

< state > TX </ state >

< state > UT </ state >

< state > VT </ state >

< state > VA </ state >

< state > WA </ state >

< state > WI </ state >

< state > WY </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Thomas J. Birch </ recipientName >

< recipientCRDNumber > 805540 </ recipientCRDNumber >

< associatedBDName > Mid Atlantic Capital Corporation </ associatedBDName >

< associatedBDCRDNumber > 10674 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1683 Novato Blvd. </ street1 >

< street2 > Suite 2 </ street2 >

< city > Novato </ city >

< stateOrCountry > CA </ stateOrCountry >

< zipCode > 94949 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< state > CA </ state >

< state > GA </ state >

< state > ID </ state >

< state > MO </ state >

< state > OR </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Howard W. Minor, Jr. </ recipientName >

< recipientCRDNumber > 1008244 </ recipientCRDNumber >

< associatedBDName > Next Financial Group, Inc. </ associatedBDName >

< associatedBDCRDNumber > 46214 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 413 Stuart Circle </ street1 >

< street2 > Suite 314 </ street2 >

< city > Richmond </ city >

< stateOrCountry > VA </ stateOrCountry >

< zipCode > 23220 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< state > MD </ state >

< state > VA </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Dennis L. Freeman </ recipientName >

< recipientCRDNumber > 213683 </ recipientCRDNumber >

< associatedBDName > Okoboji Financial Services, Inc. </ associatedBDName >

< associatedBDCRDNumber > 33727 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 600 Fifth Street </ street1 >

< street2 > Suite 102 </ street2 >

< city > Ames </ city >

< stateOrCountry > IA </ stateOrCountry >

< zipCode > 50010 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IA </ state >

< state > MN </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Pacific West Securities, Inc. </ recipientName >

< recipientCRDNumber > 6390 </ recipientCRDNumber >

< associatedBDName > Pacific West Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 555 S. Renton Village Pl </ street1 >

< street2 > Suite 700 </ street2 >

< city > Renton </ city >

< stateOrCountry > WA </ stateOrCountry >

< zipCode > 98057 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > AK </ state >

< state > AZ </ state >

< state > AR </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > DE </ state >

< state > DC </ state >

< state > FL </ state >

< state > GA </ state >

< state > HI </ state >

< state > ID </ state >

< state > IL </ state >

< state > IN </ state >

< state > IA </ state >

< state > KS </ state >

< state > KY </ state >

< state > LA </ state >

< state > ME </ state >

< state > MD </ state >

< state > MA </ state >

< state > MI </ state >

< state > MN </ state >

< state > MS </ state >

< state > MO </ state >

< state > MT </ state >

< state > NE </ state >

< state > NV </ state >

< state > NH </ state >

< state > NJ </ state >

< state > NM </ state >

< state > NY </ state >

< state > NC </ state >

< state > ND </ state >

< state > OH </ state >

< state > OK </ state >

< state > OR </ state >

< state > PA </ state >

< state > SC </ state >

< state > SD </ state >

< state > TN </ state >

< state > TX </ state >

< state > UT </ state >

< state > VT </ state >

< state > VA </ state >

< state > WA </ state >

< state > WI </ state >

< state > WY </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > QA3 Financial Corp. </ recipientName >

< recipientCRDNumber > 14754 </ recipientCRDNumber >

< associatedBDName > QA3 Financial Corp. </ associatedBDName >

< associatedBDCRDNumber > 14754 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > One Valmont Plaza, 4th Floor </ street1 >

< city > Omaha </ city >

< stateOrCountry > NE </ stateOrCountry >

< zipCode > 68154 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > AK </ state >

< state > AZ </ state >

< state > AR </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > DE </ state >

< state > DC </ state >

< state > FL </ state >

< state > GA </ state >

< state > HI </ state >

< state > ID </ state >

< state > IL </ state >

< state > IN </ state >

< state > IA </ state >

< state > KS </ state >

< state > KY </ state >

< state > LA </ state >

< state > ME </ state >

< state > MD </ state >

< state > MA </ state >

< state > MI </ state >

< state > MN </ state >

< state > MS </ state >

< state > MO </ state >

< state > MT </ state >

< state > NE </ state >

< state > NV </ state >

< state > NH </ state >

< state > NJ </ state >

< state > NM </ state >

< state > NY </ state >

< state > NC </ state >

< state > ND </ state >

< state > OH </ state >

< state > OK </ state >

< state > OR </ state >

< state > PA </ state >

< state > SC </ state >

< state > SD </ state >

< state > TN </ state >

< state > TX </ state >

< state > UT </ state >

< state > VT </ state >

< state > VA </ state >

< state > WA </ state >

< state > WI </ state >

< state > WY </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Norman G. Price </ recipientName >

< recipientCRDNumber > 2406981 </ recipientCRDNumber >

< associatedBDName > RP Capital LLC </ associatedBDName >

< associatedBDCRDNumber > 134768 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 7191 Wagner Way NW, Suite 302 </ street1 >

< city > Gig Harbor </ city >

< stateOrCountry > WA </ stateOrCountry >

< zipCode > 98335 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > CA </ state >

< state > FL </ state >

< state > NV </ state >

< state > OR </ state >

< state > TX </ state >

< state > WA </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Sagepoint Financial, Inc. </ recipientName >

< recipientCRDNumber > 133763 </ recipientCRDNumber >

< associatedBDName > Sagepoint Financial, Inc. </ associatedBDName >

< associatedBDCRDNumber > 133763 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2800 N. Central Ave., Ste 2100 </ street1 >

< city > Phoenix </ city >

< stateOrCountry > AZ </ stateOrCountry >

< zipCode > 85004 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > AK </ state >

< state > AZ </ state >

< state > AR </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > DE </ state >

< state > DC </ state >

< state > FL </ state >

< state > GA </ state >

< state > HI </ state >

< state > ID </ state >

< state > IL </ state >

< state > IN </ state >

< state > IA </ state >

< state > KS </ state >

< state > KY </ state >

< state > LA </ state >

< state > ME </ state >

< state > MD </ state >

< state > MA </ state >

< state > MI </ state >

< state > MN </ state >

< state > MS </ state >

< state > MO </ state >

< state > MT </ state >

< state > NE </ state >

< state > NV </ state >

< state > NH </ state >

< state > NJ </ state >

< state > NM </ state >

< state > NY </ state >

< state > NC </ state >

< state > ND </ state >

< state > OH </ state >

< state > OK </ state >

< state > OR </ state >

< state > PA </ state >

< state > SC </ state >

< state > SD </ state >

< state > TN </ state >

< state > TX </ state >

< state > UT </ state >

< state > VT </ state >

< state > VA </ state >

< state > WA </ state >

< state > WI </ state >

< state > WY </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Ameritas Investment Corp. </ recipientName >

< recipientCRDNumber > 14869 </ recipientCRDNumber >

< associatedBDName > Ameritas Investment Corp. </ associatedBDName >

< associatedBDCRDNumber > 14869 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5900 O Street </ street1 >

< city > Lincoln </ city >

< stateOrCountry > NE </ stateOrCountry >

< zipCode > 68510 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > AK </ state >

< state > AZ </ state >

< state > AR </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > DE </ state >

< state > DC </ state >

< state > FL </ state >

< state > GA </ state >

< state > HI </ state >

< state > ID </ state >

< state > IL </ state >

< state > IN </ state >

< state > IA </ state >

< state > KS </ state >

< state > KY </ state >

< state > LA </ state >

< state > ME </ state >

< state > MD </ state >

< state > MA </ state >

< state > MI </ state >

< state > MN </ state >

< state > MS </ state >

< state > MO </ state >

< state > MT </ state >

< state > NE </ state >

< state > NV </ state >

< state > NH </ state >

< state > NJ </ state >

< state > NM </ state >

< state > NY </ state >

< state > NC </ state >

< state > ND </ state >

< state > OH </ state >

< state > OK </ state >

< state > OR </ state >

< state > PA </ state >

< state > SC </ state >

< state > SD </ state >

< state > TN </ state >

< state > TX </ state >

< state > UT </ state >

< state > VT </ state >

< state > VA </ state >

< state > WA </ state >

< state > WI </ state >

< state > WY </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > William E. Riley, Jr. </ recipientName >

< recipientCRDNumber > 1493287 </ recipientCRDNumber >

< associatedBDName > Silver Oak Securities, Incorporated </ associatedBDName >

< associatedBDCRDNumber > 46947 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 512 Main Street </ street1 >

< street2 > Suite 1400 </ street2 >

< city > Forth Worth </ city >

< stateOrCountry > TX </ stateOrCountry >

< zipCode > 76102 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > John T. Dunn </ recipientName >

< recipientCRDNumber > 2448503 </ recipientCRDNumber >

< associatedBDName > The Strategic Financial Alliance, Inc. </ associatedBDName >

< associatedBDCRDNumber > 126514 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 107 Weatherstone Drive </ street1 >

< street2 > Suite 520 </ street2 >

< city > Woodstock </ city >

< stateOrCountry > GA </ stateOrCountry >

< zipCode > 30188 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< state > GA </ state >

< state > IL </ state >

< state > LA </ state >

< state > NC </ state >

< state > PA </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > VSR Financial Services, Inc. </ recipientName >

< recipientCRDNumber > 14503 </ recipientCRDNumber >

< associatedBDName > VSR Financial Services, Inc. </ associatedBDName >

< associatedBDCRDNumber > 14503 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 8620 W 110th Street </ street1 >

< street2 > Suite 200 </ street2 >

< city > Overland Park </ city >

< stateOrCountry > KS </ stateOrCountry >

< zipCode > 66210 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > AK </ state >

< state > AZ </ state >

< state > AR </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > DE </ state >

< state > DC </ state >

< state > FL </ state >

< state > GA </ state >

< state > HI </ state >

< state > ID </ state >

< state > IL </ state >

< state > IN </ state >

< state > IA </ state >

< state > KS </ state >

< state > KY </ state >

< state > LA </ state >

< state > ME </ state >

< state > MD </ state >

< state > MA </ state >

< state > MI </ state >

< state > MN </ state >

< state > MS </ state >

< state > MO </ state >

< state > MT </ state >

< state > NE </ state >

< state > NV </ state >

< state > NH </ state >

< state > NJ </ state >

< state > NM </ state >

< state > NY </ state >

< state > NC </ state >

< state > ND </ state >

< state > OH </ state >

< state > OK </ state >

< state > OR </ state >

< state > PA </ state >

< state > SC </ state >

< state > SD </ state >

< state > TN </ state >

< state > TX </ state >

< state > UT </ state >

< state > VT </ state >

< state > VA </ state >

< state > WA </ state >

< state > WI </ state >

< state > WY </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Jack Thomas </ recipientName >

< recipientCRDNumber > 2773136 </ recipientCRDNumber >

< associatedBDName > AFA Financial Group, LLC </ associatedBDName >

< associatedBDCRDNumber > 127648 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 950 W. Bannock Street, Suite 1100 </ street1 >

< city > Boise </ city >

< stateOrCountry > ID </ stateOrCountry >

< zipCode > 83702 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< state > ID </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Jeffrey Rachlin </ recipientName >

< recipientCRDNumber > 823547 </ recipientCRDNumber >

< associatedBDName > Alternative Wealth Strategies, Inc. </ associatedBDName >

< associatedBDCRDNumber > 130933 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 380 N. Broadway, Suite 310 </ street1 >

< city > Jericko </ city >

< stateOrCountry > NY </ stateOrCountry >

< zipCode > 11753 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CT </ state >

< state > FL </ state >

< state > MD </ state >

< state > MA </ state >

< state > NJ </ state >

< state > NY </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Richard L. Belline </ recipientName >

< recipientCRDNumber > 2432737 </ recipientCRDNumber >

< associatedBDName > AXA Advisors, LLC </ associatedBDName >

< associatedBDCRDNumber > 6627 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 213 W. Monroe, Suite Q </ street1 >

< city > Lowell </ city >

< stateOrCountry > AR </ stateOrCountry >

< zipCode > 72745 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AR </ state >

< state > CO </ state >

< state > FL </ state >

< state > GA </ state >

< state > IL </ state >

< state > KS </ state >

< state > LA </ state >

< state > MO </ state >

< state > NC </ state >

< state > OH </ state >

< state > OK </ state >

< state > TN </ state >

< state > TX </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Burley A. Daye </ recipientName >

< recipientCRDNumber > 63064 </ recipientCRDNumber >

< associatedBDName > Centaurus Financial, Inc. </ associatedBDName >

< associatedBDCRDNumber > 30833 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 533 Airport Blvd., Suite 219 </ street1 >

< city > Burlingame </ city >

< stateOrCountry > CA </ stateOrCountry >

< zipCode > 94010 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< state > NV </ state >

< state > UT </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Ty K. Bauer </ recipientName >

< recipientCRDNumber > 2150885 </ recipientCRDNumber >

< associatedBDName > Carlton & Associates, Inc. </ associatedBDName >

< associatedBDCRDNumber > 20999 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1716 West Oxford Loop, Suite 179 </ street1 >

< city > Oxford </ city >

< stateOrCountry > MS </ stateOrCountry >

< zipCode > 38655 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > GA </ state >

< state > IL </ state >

< state > IN </ state >

< state > LA </ state >

< state > MS </ state >

< state > MO </ state >

< state > NV </ state >

< state > NM </ state >

< state > NY </ state >

< state > PA </ state >

< state > TN </ state >

< state > TX </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Joseph M. Gatt </ recipientName >

< recipientCRDNumber > 218745 </ recipientCRDNumber >

< associatedBDName > Girard Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 18697 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1455 East Tropicana Avenue </ street1 >

< street2 > Suite 275 </ street2 >

< city > Las Vegas </ city >

< stateOrCountry > NV </ stateOrCountry >

< zipCode > 89119 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< state > CO </ state >

< state > NV </ state >

< state > UT </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Arthur J. Moss </ recipientName >

< recipientCRDNumber > 1409033 </ recipientCRDNumber >

< associatedBDName > National Planning Corporation </ associatedBDName >

< associatedBDCRDNumber > 29604 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 7135 E. Camelback Road </ street1 >

< street2 > Ste 230 </ street2 >

< city > Scottsdale </ city >

< stateOrCountry > AZ </ stateOrCountry >

< zipCode > 85251 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< state > CA </ state >

< state > CO </ state >

< state > FL </ state >

< state > ID </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > John P. Hannan </ recipientName >

< recipientCRDNumber > 1372033 </ recipientCRDNumber >

< associatedBDName > Private Asset Group, Inc. </ associatedBDName >

< associatedBDCRDNumber > 142541 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3070 Bristol Street, Suite 500 </ street1 >

< city > Costa Mesa </ city >

< stateOrCountry > CA </ stateOrCountry >

< zipCode > 92626 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< state > FL </ state >

< state > HI </ state >

< state > MN </ state >

< state > NV </ state >

< state > NJ </ state >

< state > NY </ state >

< state > NC </ state >

< state > TX </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Edward T. Coda </ recipientName >

< recipientCRDNumber > 1776811 </ recipientCRDNumber >

< associatedBDName > National Planning Corporation </ associatedBDName >

< associatedBDCRDNumber > 29604 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1221 Kapiolani Blvd., Penthouse 30 </ street1 >

< city > Honolulu </ city >

< stateOrCountry > HI </ stateOrCountry >

< zipCode > 96814 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< state > CA </ state >

< state > CO </ state >

< state > FL </ state >

< state > HI </ state >

< state > NV </ state >

< state > NM </ state >

< state > NC </ state >

< state > OH </ state >

< state > PA </ state >

< state > TX </ state >

< state > VA </ state >

< state > WA </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Proequities, Inc. </ recipientName >

< recipientCRDNumber > 15708 </ recipientCRDNumber >

< associatedBDName > Proequities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 15708 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2801 Highway 280 South </ street1 >

< city > Birmingham </ city >

< stateOrCountry > AL </ stateOrCountry >

< zipCode > 35223 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > AK </ state >

< state > AZ </ state >

< state > AR </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > DE </ state >

< state > DC </ state >

< state > FL </ state >

< state > GA </ state >

< state > HI </ state >

< state > ID </ state >

< state > IL </ state >

< state > IA </ state >

< state > KS </ state >

< state > KY </ state >

< state > LA </ state >

< state > ME </ state >

< state > MD </ state >

< state > MA </ state >

< state > MI </ state >

< state > MN </ state >

< state > MS </ state >

< state > MO </ state >

< state > MT </ state >

< state > NE </ state >

< state > NV </ state >

< state > NH </ state >

< state > NJ </ state >

< state > NM </ state >

< state > NY </ state >

< state > NC </ state >

< state > ND </ state >

< state > OH </ state >

< state > OK </ state >

< state > OR </ state >

< state > PA </ state >

< state > SC </ state >

< state > SD </ state >

< state > TN </ state >

< state > TX </ state >

< state > UT </ state >

< state > VT </ state >

< state > VA </ state >

< state > WA </ state >

< state > WI </ state >

< state > WY </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > FSC Securities Corporation </ recipientName >

< recipientCRDNumber > 7461 </ recipientCRDNumber >

< associatedBDName > FSC Securities Corporation </ associatedBDName >

< associatedBDCRDNumber > 7461 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2300 Windy Ridge Parkway, Suite 1100 </ street1 >

< city > Atlanta </ city >

< stateOrCountry > GA </ stateOrCountry >

< zipCode > 30339 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > AK </ state >

< state > AZ </ state >

< state > AR </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > DE </ state >

< state > DC </ state >

< state > FL </ state >

< state > GA </ state >

< state > HI </ state >

< state > ID </ state >

< state > IL </ state >

< state > IN </ state >

< state > IA </ state >

< state > KS </ state >

< state > KY </ state >

< state > LA </ state >

< state > ME </ state >

< state > MD </ state >

< state > MA </ state >

< state > MI </ state >

< state > MN </ state >

< state > MS </ state >

< state > MO </ state >

< state > MT </ state >

< state > NE </ state >

< state > NV </ state >

< state > NH </ state >

< state > NJ </ state >

< state > NM </ state >

< state > NY </ state >

< state > NC </ state >

< state > ND </ state >

< state > OH </ state >

< state > OK </ state >

< state > OR </ state >

< state > PA </ state >

< state > SC </ state >

< state > SD </ state >

< state > TN </ state >

< state > TX </ state >

< state > UT </ state >

< state > VT </ state >

< state > VA </ state >

< state > WA </ state >

< state > WI </ state >

< state > WY </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > John P. Ochsner </ recipientName >

< recipientCRDNumber > 1502183 </ recipientCRDNumber >

< associatedBDName > Royal Alliance Associates, Inc. </ associatedBDName >

< associatedBDCRDNumber > 23131 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3217 West Smith Street </ street1 >

< street2 > Suite 2 </ street2 >

< city > Seattle </ city >

< stateOrCountry > WA </ stateOrCountry >

< zipCode > 98199 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< state > NH </ state >

< state > WA </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > David L. Goodman </ recipientName >

< recipientCRDNumber > 1429972 </ recipientCRDNumber >

< associatedBDName > Transam Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 18923 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1111 Douglas Avenue </ street1 >

< city > Altamonte Springs </ city >

< stateOrCountry > FL </ stateOrCountry >

< zipCode > 32714 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< state > CO </ state >

< state > FL </ state >

< state > GA </ state >

< state > NC </ state >

< state > OH </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Charles C. Shafe </ recipientName >

< recipientCRDNumber > 1277113 </ recipientCRDNumber >

< associatedBDName > Transam Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 18923 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 531 Versailles Drive </ street1 >

< street2 > Ste. 201 </ street2 >

< city > Maitland </ city >

< stateOrCountry > FL </ stateOrCountry >

< zipCode > 32751 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< state > CT </ state >

< state > FL </ state >

< state > GA </ state >

< state > IN </ state >

< state > MD </ state >

< state > MI </ state >

< state > NJ </ state >

< state > NY </ state >

< state > NC </ state >

< state > SC </ state >

< state > VA </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Woodbury Financial Services, Inc. </ recipientName >

< recipientCRDNumber > 421 </ recipientCRDNumber >

< associatedBDName > Woodbury Financial Services, Inc. </ associatedBDName >

< associatedBDCRDNumber > 421 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 7755 Third Street North </ street1 >

< city > Oakdale </ city >

< stateOrCountry > MN </ stateOrCountry >

< zipCode > 55128 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > AK </ state >

< state > AZ </ state >

< state > AR </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > DE </ state >

< state > DC </ state >

< state > FL </ state >

< state > GA </ state >

< state > HI </ state >

< state > ID </ state >

< state > IL </ state >

< state > IN </ state >

< state > IA </ state >

< state > KS </ state >

< state > KY </ state >

< state > LA </ state >

< state > ME </ state >

< state > MD </ state >

< state > MA </ state >

< state > MI </ state >

< state > MN </ state >

< state > MS </ state >

< state > MO </ state >

< state > MT </ state >

< state > NE </ state >

< state > NV </ state >

< state > NH </ state >

< state > NJ </ state >

< state > NM </ state >

< state > NY </ state >

< state > NC </ state >

< state > ND </ state >

< state > OH </ state >

< state > OK </ state >

< state > OR </ state >

< state > PA </ state >

< state > SC </ state >

< state > SD </ state >

< state > TN </ state >

< state > TX </ state >

< state > UT </ state >

< state > VT </ state >

< state > VA </ state >

< state > WA </ state >

< state > WI </ state >

< state > WY </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Questar Capital Corporation </ recipientName >

< recipientCRDNumber > 43100 </ recipientCRDNumber >

< associatedBDName > Questar Capital Corporation </ associatedBDName >

< associatedBDCRDNumber > 43100 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5701 Golden Hills Drive </ street1 >

< city > Minneapolis </ city >

< stateOrCountry > MN </ stateOrCountry >

< zipCode > 55416 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > AK </ state >

< state > AZ </ state >

< state > AR </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > DE </ state >

< state > DC </ state >

< state > FL </ state >

< state > GA </ state >

< state > HI </ state >

< state > ID </ state >

< state > IL </ state >

< state > IN </ state >

< state > IA </ state >

< state > KS </ state >

< state > KY </ state >

< state > LA </ state >

< state > ME </ state >

< state > MD </ state >

< state > MA </ state >

< state > MI </ state >

< state > MN </ state >

< state > MS </ state >

< state > MO </ state >

< state > MT </ state >

< state > NE </ state >

< state > NV </ state >

< state > NH </ state >

< state > NJ </ state >

< state > NM </ state >

< state > NY </ state >

< state > NC </ state >

< state > ND </ state >

< state > OH </ state >

< state > OK </ state >

< state > OR </ state >

< state > PA </ state >

< state > SC </ state >

< state > SD </ state >

< state > TN </ state >

< state > TX </ state >

< state > UT </ state >

< state > VT </ state >

< state > VA </ state >

< state > WA </ state >

< state > WI </ state >

< state > WY </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Robert A. Horning </ recipientName >

< recipientCRDNumber > 2311640 </ recipientCRDNumber >

< associatedBDName > Centaurus Financial, Inc. </ associatedBDName >

< associatedBDCRDNumber > 30833 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3 MacArthur Pl. </ street1 >

< street2 > Ste. 855 </ street2 >

< city > Santa Ana </ city >

< stateOrCountry > CA </ stateOrCountry >

< zipCode > 92707 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< state > CA </ state >

< state > HI </ state >

< state > LA </ state >

< state > NV </ state >

< state > NY </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Mark C. Pedersen </ recipientName >

< recipientCRDNumber > 1283866 </ recipientCRDNumber >

< associatedBDName > Harrison Douglas, Inc. </ associatedBDName >

< associatedBDCRDNumber > 16515 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5116 Saddle Horn Trail </ street1 >

< city > Matthews </ city >

< stateOrCountry > NC </ stateOrCountry >

< zipCode > 28104 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< state > CT </ state >

< state > NC </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Richard E. Woollen </ recipientName >

< recipientCRDNumber > 1342719 </ recipientCRDNumber >

< associatedBDName > Harrison Douglas, Inc. </ associatedBDName >

< associatedBDCRDNumber > 16515 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4301 Belknap Road </ street1 >

< city > Charlotte </ city >

< stateOrCountry > NC </ stateOrCountry >

< zipCode > 28211 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NC </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Paul L. White II </ recipientName >

< recipientCRDNumber > 4669396 </ recipientCRDNumber >

< associatedBDName > Heritage Financial Services, Inc. </ associatedBDName >

< associatedBDCRDNumber > 133019 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 150 Broad Hollow Road </ street1 >

< city > Melville </ city >

< stateOrCountry > NY </ stateOrCountry >

< zipCode > 11747 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CT </ state >

< state > NJ </ state >

< state > NY </ state >

< state > PA </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Nathan L. Rewerts </ recipientName >

< recipientCRDNumber > 2913269 </ recipientCRDNumber >

< associatedBDName > Investment Planners, Inc. </ associatedBDName >

< associatedBDCRDNumber > 18557 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5950 SW 28th Street </ street1 >

< city > Topeka </ city >

< stateOrCountry > KS </ stateOrCountry >

< zipCode > 66614 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< state > KS </ state >

< state > MD </ state >

< state > MA </ state >

< state > OK </ state >

< state > TX </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Christopher M. Ingram </ recipientName >

< recipientCRDNumber > 3156210 </ recipientCRDNumber >

< associatedBDName > Next Financial Group, Inc. </ associatedBDName >

< associatedBDCRDNumber > 46214 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 23734 Valencia Blvd., Suite 301 </ street1 >

< city > Valencia </ city >

< stateOrCountry > CA </ stateOrCountry >

< zipCode > 91355 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< state > FL </ state >

< state > IL </ state >

< state > NV </ state >

< state > OR </ state >

< state > TX </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Edmardo J. Tomei III </ recipientName >

< recipientCRDNumber > 4338243 </ recipientCRDNumber >

< associatedBDName > Next Financial Group, Inc. </ associatedBDName >

< associatedBDCRDNumber > 46214 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2377 Gold Meadow Way, Suite 250 </ street1 >

< city > Gold River </ city >

< stateOrCountry > CA </ stateOrCountry >

< zipCode > 95670 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< state > CA </ state >

< state > ID </ state >

< state > MO </ state >

< state > OK </ state >

< state > VA </ state >

< state > WA </ state >

< state > WY </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Paul D. Christ </ recipientName >

< recipientCRDNumber > 844080 </ recipientCRDNumber >

< associatedBDName > Royal Alliance Associates, Inc. </ associatedBDName >

< associatedBDCRDNumber > 23131 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3805 W. Maple Road </ street1 >

< city > Bloomfield Hills </ city >

< stateOrCountry > MI </ stateOrCountry >

< zipCode > 48301 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< state > FL </ state >

< state > IL </ state >

< state > IN </ state >

< state > IA </ state >

< state > KS </ state >

< state > MD </ state >

< state > MI </ state >

< state > MN </ state >

< state > MO </ state >

< state > NV </ state >

< state > NY </ state >

< state > OH </ state >

< state > WA </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Edward J. Spanski Jr. </ recipientName >

< recipientCRDNumber > 2356329 </ recipientCRDNumber >

< associatedBDName > Royal Alliance Associates, Inc. </ associatedBDName >

< associatedBDCRDNumber > 23131 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 8207 Forest Shadow Circle </ street1 >

< city > Cornelius </ city >

< stateOrCountry > NC </ stateOrCountry >

< zipCode > 28031 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< state > FL </ state >

< state > GA </ state >

< state > IN </ state >

< state > NC </ state >

< state > TN </ state >

< state > TX </ state >

< state > VA </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Daniel G. McPherson </ recipientName >

< recipientCRDNumber > 4964802 </ recipientCRDNumber >

< associatedBDName > Sammons Securities Company, LLC </ associatedBDName >

< associatedBDCRDNumber > 115368 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1488 Midway Ave. </ street1 >

< city > Idaho Falls </ city >

< stateOrCountry > ID </ stateOrCountry >

< zipCode > 83406 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > ID </ state >

< state > MT </ state >

< state > NM </ state >

< state > UT </ state >

< state > WA </ state >

< state > WY </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Noah P. Bergeron Jr. </ recipientName >

< recipientCRDNumber > 1056146 </ recipientCRDNumber >

< associatedBDName > Sigma Financial Corporation </ associatedBDName >

< associatedBDCRDNumber > 14303 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 35060 Michelle Dr. </ street1 >

< city > Romulus </ city >

< stateOrCountry > MI </ stateOrCountry >

< zipCode > 48174 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< state > MI </ state >

< state > OH </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Peter J. Glaab Jr. </ recipientName >

< recipientCRDNumber > 222558 </ recipientCRDNumber >

< associatedBDName > Sigma Financial Corporation </ associatedBDName >

< associatedBDCRDNumber > 14303 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 37229 Huron River Drive </ street1 >

< city > New Boston </ city >

< stateOrCountry > MI </ stateOrCountry >

< zipCode > 48164 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< state > CA </ state >

< state > CO </ state >

< state > FL </ state >

< state > IN </ state >

< state > MA </ state >

< state > MI </ state >

< state > NV </ state >

< state > ND </ state >

< state > SD </ state >

< state > TX </ state >

< state > UT </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Carl D. Cornaglia </ recipientName >

< recipientCRDNumber > 3067666 </ recipientCRDNumber >

< associatedBDName > SII Investments, Inc. </ associatedBDName >

< associatedBDCRDNumber > 2225 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 344 North Main St. </ street1 >

< city > Marlborough </ city >

< stateOrCountry > CT </ stateOrCountry >

< zipCode > 06447 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CT </ state >

< state > NH </ state >

< state > NY </ state >

< state > NC </ state >

< state > PA </ state >

< state > SC </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > William N. Keen </ recipientName >

< recipientCRDNumber > 266061 </ recipientCRDNumber >

< associatedBDName > The Strategic Financial Alliance, Inc. </ associatedBDName >

< associatedBDCRDNumber > 126514 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3830 East Jones Bridge Road, 155 </ street1 >

< city > Norcross </ city >

< stateOrCountry > GA </ stateOrCountry >

< zipCode > 30092 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > AK </ state >

< state > AZ </ state >

< state > AR </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > DE </ state >

< state > DC </ state >

< state > FL </ state >

< state > GA </ state >

< state > IL </ state >

< state > IN </ state >

< state > KS </ state >

< state > KY </ state >

< state > LA </ state >

< state > MD </ state >

< state > MA </ state >

< state > MI </ state >

< state > MN </ state >

< state > MS </ state >

< state > MO </ state >

< state > NM </ state >

< state > NY </ state >

< state > NC </ state >

< state > OH </ state >

< state > OK </ state >

< state > OR </ state >

< state > PA </ state >

< state > SC </ state >

< state > TN </ state >

< state > TX </ state >

< state > VT </ state >

< state > VA </ state >

< state > WA </ state >

< state > WI </ state >

</ statesOfSolicitationList >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > 35000000 </ totalOfferingAmount >

< totalAmountSold > 32200624 </ totalAmountSold >

< totalRemaining > 2799376 </ totalRemaining >

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 477 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 2975000 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 1400000 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ grossProceedsUsed >

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > Cypress Equipment Fund 16, LLC </ issuerName >

< signatureName > /s/ DANIEL RAEL </ signatureName >

< nameOfSigner > Daniel Rael </ nameOfSigner >

< signatureTitle > Vice President of Manager of Issuer </ signatureTitle >

< signatureDate > 2010-01-28 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >