0001181431-14-037497.txt : 20141201 0001181431-14-037497.hdr.sgml : 20141201 20141201132232 ACCESSION NUMBER: 0001181431-14-037497 CONFORMED SUBMISSION TYPE: D PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b ITEM INFORMATION: Investment Company Act Section 3(c) ITEM INFORMATION: Section 3(c)(7) FILED AS OF DATE: 20141201 DATE AS OF CHANGE: 20141201 EFFECTIVENESS DATE: 20141201 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Rockwood IX Upper Tier REIT, Inc. CENTRAL INDEX KEY: 0001626410 IRS NUMBER: 000000000 STATE OF INCORPORATION: MD FILING VALUES: FORM TYPE: D SEC ACT: 1933 Act SEC FILE NUMBER: 021-229220 FILM NUMBER: 141257202 BUSINESS ADDRESS: STREET 1: ROCKWOOD CAPITAL, LLC STREET 2: 140 EAST 45TH STREET, 34TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-402-8500 MAIL ADDRESS: STREET 1: ROCKWOOD CAPITAL, LLC STREET 2: 140 EAST 45TH STREET, 34TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 D 1 primary_doc.xml X0707 D LIVE 0001626410 Rockwood IX Upper Tier REIT, Inc. Rockwood Capital, LLC 140 East 45th Street, 34th Floor New York NY NEW YORK 10017 212-402-8500 MARYLAND None None Corporation true 2014 None REIT Funding, LLC 1175 Peachtree Street, NE 100 Colony Square, Suite 2120 Atlanta GA GEORGIA 30361 Promoter Peter J. Falco c/o Rockwood Capital LLC 140 East 45th Street, 34th Floor New York NY NEW YORK 10017 Executive Officer Director Robert L. Gray, Jr. c/o Rockwood Capital LLC 140 East 45th Street, 34th Floor New York NY NEW YORK 10017 Executive Officer Walter P. Schmidt c/o Rockwood Capital LLC 140 East 45th Street, 34th Floor New York NY NEW YORK 10017 Executive Officer Director Jennifer A. Levy c/o Rockwood Capital LLC 140 East 45th Street, 34th Floor New York NY NEW YORK 10017 Executive Officer David I. Becker c/o Rockwood Capital LLC 140 East 45th Street, 34th Floor New York NY NEW YORK 10017 Executive Officer Director Tyson Skillings c/o Rockwood Capital LLC 140 East 45th Street, 34th Floor New York NY NEW YORK 10017 Executive Officer David A. Streicher c/o Rockwood Capital LLC 140 East 45th Street, 34th Floor New York NY NEW YORK 10017 Executive Officer Peter Kaye c/o Rockwood Capital LLC 140 East 45th Street, 34th Floor New York NY NEW YORK 10017 Executive Officer REITS and Finance Decline to Disclose 06b 3C 3C.7 false 2014-11-17 false true true false 1000 Charles B. Harrison 3071551 H & L Equities, LLC 113794 1175 Peachtree Street, NE 100 Colony Square, Suite 2120 Atlanta GA GEORGIA 30361 FL FLORIDA GA GEORGIA TX TEXAS false Phyllis J. Beck 1020488 H&L Equities, LLC 113794 1175 Peachtree St., NE 100 Colony Square, Suite 2120 Atlanta GA GEORGIA 30361 GA GEORGIA TX TEXAS false Patrick J. Whelchel 5389090 H&L Equities, LLC 113794 1175 Peachtree St., NE 100 Colony Square, Suite 2120 Atlanta GA GEORGIA 30361 GA GEORGIA false Scott Harrison 4981070 H&L Equities, LLC 113794 1175 Peachtree St., NE 100 Colony Square, Suite 2120 Atlanta GA GEORGIA 30361 FL FLORIDA GA GEORGIA TX TEXAS false Lori Mayfield 4899271 H & L Equities, LLC 113794 1175 Peachtree Street, NE 100 Colony Square, Suite 2120 Atlanta GA GEORGIA 30361 GA GEORGIA false 125000 125000 0 false 125 6250 true 0 33800 true REIT Funding LLC will be paid $23,800 from which it will pay placement and advisory fees; an affiliate of REIT Funding LLC will be paid an initial fee of $1,250 and an annual fee of $8,750 for administrative services false Rockwood IX Upper Tier REIT, Inc. /s/ Jennifer Levy Jennifer Levy Vice President and Treasurer 2014-12-01