0001540420-16-000002.txt : 20160205 0001540420-16-000002.hdr.sgml : 20160205 20160205165559 ACCESSION NUMBER: 0001540420-16-000002 CONFORMED SUBMISSION TYPE: D/A PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b ITEM INFORMATION: Investment Company Act Section 3(c) ITEM INFORMATION: Section 3(c)(5) ITEM INFORMATION: Section 3(c)(6) FILED AS OF DATE: 20160205 DATE AS OF CHANGE: 20160205 EFFECTIVENESS DATE: 20160205 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Semper US RMBS Opportunity REIT, Inc. CENTRAL INDEX KEY: 0001540420 IRS NUMBER: 453567136 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: D/A SEC ACT: 1933 Act SEC FILE NUMBER: 021-211682 FILM NUMBER: 161392903 BUSINESS ADDRESS: STREET 1: 52 VANDERBILT AVENUE, SUITE 401 CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2126129106 MAIL ADDRESS: STREET 1: 52 VANDERBILT AVENUE, SUITE 401 CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: UCM US RMBS Opportunity REIT, Inc. DATE OF NAME CHANGE: 20120125 D/A 1 primary_doc.xml X0707 D/A LIVE 0001540420 Semper US RMBS Opportunity REIT, Inc. 52 VANDERBILT AVENUE, SUITE 401 NEW YORK NY NEW YORK 10017 212-612-9000 MARYLAND UCM US RMBS Opportunity REIT, Inc. Corporation true 2011 Gregory A. Parsons 166 Duane Street 7c New York NY NEW YORK 10013 Executive Officer Director Promoter Thomas Mandel 325 Dartmouth Avenue, Apartment J4 Swarthmore PA PENNSYLVANIA 19081 Executive Officer Director Promoter Gregory Smith 1708 Lockspurt Ct. Flower Mound TX TEXAS 75022 Director Semper Capital Management LP 52 Vanderbilt Avenue, Suite 401 New York NY NEW YORK 10017 Promoter REITS and Finance Decline to Disclose 06b 3C 3C.5 3C.6 true 0001540420-14-000001 2014-02-01 false true false 50000 CAVU Securities LLC 6906 None None 800 Third Avenue 10th Floor New York NY NEW YORK 10022 AL ALABAMA AK ALASKA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE DC DISTRICT OF COLUMBIA FL FLORIDA GA GEORGIA HI HAWAII ID IDAHO IL ILLINOIS IN INDIANA IA IOWA KS KANSAS KY KENTUCKY LA LOUISIANA ME MAINE MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MS MISSISSIPPI MO MISSOURI MT MONTANA NE NEBRASKA NV NEVADA NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA ND NORTH DAKOTA OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA RI RHODE ISLAND SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VT VERMONT VA VIRGINIA WA WASHINGTON WV WEST VIRGINIA WI WISCONSIN WY WYOMING false American Capital Partners, LLC 119249 None None 205 Oser Ave. Hauppauge NY NEW YORK 11788 AL ALABAMA AK ALASKA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE DC DISTRICT OF COLUMBIA FL FLORIDA GA GEORGIA HI HAWAII ID IDAHO IL ILLINOIS IN INDIANA IA IOWA KS KANSAS KY KENTUCKY LA LOUISIANA ME MAINE MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MS MISSISSIPPI MO MISSOURI MT MONTANA NE NEBRASKA NV NEVADA NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA ND NORTH DAKOTA OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA PR PUERTO RICO RI RHODE ISLAND SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VT VERMONT VA VIRGINIA WA WASHINGTON WV WEST VIRGINIA WI WISCONSIN WY WYOMING false Buckman, Buckman & Reid, Inc. 23407 None None 174 Patterson Avenue Shrewsbury NJ NEW JERSEY 07702 AL ALABAMA AK ALASKA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE DC DISTRICT OF COLUMBIA FL FLORIDA GA GEORGIA HI HAWAII ID IDAHO IL ILLINOIS IN INDIANA IA IOWA KS KANSAS KY KENTUCKY LA LOUISIANA ME MAINE MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MS MISSISSIPPI MO MISSOURI MT MONTANA NE NEBRASKA NV NEVADA NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA RI RHODE ISLAND SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VT VERMONT VA VIRGINIA WA WASHINGTON WV WEST VIRGINIA WI WISCONSIN false Financial West Group 16668 None None 4510 E. Thousand Oaks Blvd. Westlake Village CA CALIFORNIA 91362 AL ALABAMA AK ALASKA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE DC DISTRICT OF COLUMBIA FL FLORIDA GA GEORGIA HI HAWAII ID IDAHO IL ILLINOIS IN INDIANA IA IOWA KS KANSAS KY KENTUCKY LA LOUISIANA ME MAINE MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MS MISSISSIPPI MO MISSOURI MT MONTANA NE NEBRASKA NV NEVADA NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA ND NORTH DAKOTA OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA RI RHODE ISLAND SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VT VERMONT VA VIRGINIA WA WASHINGTON WV WEST VIRGINIA WI WISCONSIN WY WYOMING false Wilson-Davis & Co., Inc. 3777 None None 236 South Main Street Salt Lake City UT UTAH 84101 AK ALASKA AZ ARIZONA CA CALIFORNIA CO COLORADO FL FLORIDA GA GEORGIA ID IDAHO IL ILLINOIS IN INDIANA IA IOWA KS KANSAS KY KENTUCKY LA LOUISIANA MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MO MISSOURI MT MONTANA NV NEVADA NJ NEW JERSEY NM NEW MEXICO NY NEW YORK OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH WA WASHINGTON WI WISCONSIN WY WYOMING false First Liberties Financial 14432 None None 369 Lexington Avenue, Suite 311 New York NY NEW YORK 10017 AL ALABAMA AK ALASKA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE DC DISTRICT OF COLUMBIA FL FLORIDA GA GEORGIA IL ILLINOIS IN INDIANA IA IOWA KY KENTUCKY MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MO MISSOURI MT MONTANA NE NEBRASKA NV NEVADA NJ NEW JERSEY NY NEW YORK NC NORTH CAROLINA ND NORTH DAKOTA OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA RI RHODE ISLAND SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VA VIRGINIA WA WASHINGTON WV WEST VIRGINIA WI WISCONSIN false Newbridge Securities Corporation 104065 None None 1451 Cypress Creek Road, Suite 204 Ft. Lauderdale FL FLORIDA 33309 AL ALABAMA AK ALASKA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE DC DISTRICT OF COLUMBIA FL FLORIDA GA GEORGIA HI HAWAII ID IDAHO IL ILLINOIS IN INDIANA IA IOWA KS KANSAS KY KENTUCKY LA LOUISIANA MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MS MISSISSIPPI MO MISSOURI MT MONTANA NE NEBRASKA NV NEVADA NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA ND NORTH DAKOTA OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA PR PUERTO RICO RI RHODE ISLAND SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VT VERMONT VA VIRGINIA WA WASHINGTON WV WEST VIRGINIA WI WISCONSIN WY WYOMING false VFG Securities, Inc. 15121 None None 100 Corporate Pointe, Suite 382 Culver City CA CALIFORNIA 90230 AL ALABAMA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CT CONNECTICUT FL FLORIDA HI HAWAII ID IDAHO IL ILLINOIS KY KENTUCKY MD MARYLAND MI MICHIGAN NE NEBRASKA NV NEVADA NJ NEW JERSEY NY NEW YORK ND NORTH DAKOTA OH OHIO OR OREGON PA PENNSYLVANIA TN TENNESSEE TX TEXAS UT UTAH WA WASHINGTON WI WISCONSIN false IBN Financial Services, Inc. 42360 None None 8035 Oswego Rd. Liverpool NY NEW YORK 13090 AZ ARIZONA CA CALIFORNIA CT CONNECTICUT DE DELAWARE FL FLORIDA GA GEORGIA KY KENTUCKY MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA NH NEW HAMPSHIRE NJ NEW JERSEY NY NEW YORK NC NORTH CAROLINA OH OHIO PA PENNSYLVANIA RI RHODE ISLAND SC SOUTH CAROLINA VT VERMONT WI WISCONSIN false Landolt Securities, Inc. 28352 None None 701 Oregon Street Oshkosh WI WISCONSIN 54902 AL ALABAMA AK ALASKA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE DC DISTRICT OF COLUMBIA FL FLORIDA HI HAWAII ID IDAHO IL ILLINOIS IN INDIANA KS KANSAS KY KENTUCKY LA LOUISIANA ME MAINE MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MS MISSISSIPPI MO MISSOURI MT MONTANA NE NEBRASKA NV NEVADA NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA PR PUERTO RICO RI RHODE ISLAND SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VT VERMONT VA VIRGINIA WA WASHINGTON WV WEST VIRGINIA WI WISCONSIN WY WYOMING false Arque Capital, Inc. 121192 None None 7501 E. McCormick PKWY Suite 111N Scottsdale AZ ARIZONA 85258 All States false Sunbelt Securites, Inc. 42180 None None 5065 Westheimer Suite 600 Houston TX TEXAS 77056 AL ALABAMA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE FL FLORIDA GA GEORGIA HI HAWAII ID IDAHO IL ILLINOIS IN INDIANA IA IOWA KS KANSAS KY KENTUCKY LA LOUISIANA MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MS MISSISSIPPI MO MISSOURI NE NEBRASKA NV NEVADA NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA ND NORTH DAKOTA OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA PR PUERTO RICO SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VA VIRGINIA WA WASHINGTON WV WEST VIRGINIA WI WISCONSIN WY WYOMING false Coastal Equities, Inc. 23769 None None 1201 N. Orange Street Suite 729 Wilmington DE DELAWARE 19801 All States false K. C. Ward Financial 145135 None None 4175 Veterans Memorial HWY Suite 300 Ronkonkoma NY NEW YORK 11779 All States false Capital Investment Group, Inc. 14752 None None 100 E. Six Forks Road Suite 200 Raleigh NC NORTH CAROLINA 27609 All States false Kalos Capital, Inc. 44337 None None 11525 Park Woods Circle Suite 280 Alpharetta GA GEORGIA 30005 All States false TD Ameritrade, Inc. 7870 Dan Pikula 2563165 200 South Omaha 108th Avenue Omaha NE NEBRASKA 68154 All States false Capital Financial Services, Inc. 8408 None None 1 North Main Street Minot ND NORTH DAKOTA 58703 All States false Legend Securities, Inc. 44952 None None 45 Broadway 32nd Floor New York NY NEW YORK 10006 All States false 60000000 27037436 32962564 false 247 5700000 true 0 1200000 true false Semper US RMBS Opportunity REIT, Inc. /s/ Gregory A. Parsons Gregory A. Parsons Director 2016-02-04