The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. The reader should not assume that the information is accurate and complete. |
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM D
Notice of Exempt Offering of Securities
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| OMB APPROVAL |
| OMB Number: |
3235-0076 |
| Estimated average burden |
| hours per response: |
4.00 |
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1. Issuer's Identity
| CIK (Filer ID Number) |
Previous Names |
|
Entity Type |
| 0001675933 |
|
| |
Corporation |
| |
Limited Partnership |
| |
Limited Liability Company |
| |
General Partnership |
| X |
Business Trust |
| |
Other (Specify) |
|
| Name of Issuer |
| Texas Healthcare Portfolio DST |
| Jurisdiction of Incorporation/Organization |
| DELAWARE |
| Year of Incorporation/Organization |
| |
Over Five Years Ago |
| X |
Within Last Five Years (Specify Year) |
2016 |
| |
Yet to Be Formed |
|
2. Principal Place of Business and Contact Information
| Name of Issuer |
| Texas Healthcare Portfolio DST |
| Street Address 1 |
Street Address 2 |
| 2901 BUTTERFIELD ROAD |
| City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
| OAK BROOK |
ILLINOIS |
60523 |
630-218-4916 |
3. Related Persons
| Last Name |
First Name |
Middle Name |
| Inland Private Capital Corporation |
N/A |
| Street Address 1 |
Street Address 2 |
| 2901 Butterfield Road |
| City |
State/Province/Country |
ZIP/PostalCode |
| Oak Brook |
ILLINOIS |
60523 |
| Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Sponsor of the Issuer.
| Last Name |
First Name |
Middle Name |
| Texas Healthcare Portfolio Exchange, L.L.C. |
N/A |
| Street Address 1 |
Street Address 2 |
| c/o Inland Private Capital Corporation |
2901 Butterfield Road |
| City |
State/Province/Country |
ZIP/PostalCode |
| Oak Brook |
ILLINOIS |
60523 |
| Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Signatory Trustee of the Issuer.
| Last Name |
First Name |
Middle Name |
| Texas Healthcare Portfolio, L.L.C. |
N/A |
| Street Address 1 |
Street Address 2 |
| c/o Inland Private Capital Corporation |
2901 Butterfield Road |
| City |
State/Province/Country |
ZIP/PostalCode |
| Oak Brook |
ILLINOIS |
60523 |
| Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Depositor of the Issuer.
4. Industry Group
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Agriculture |
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Banking & Financial Services |
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| |
Commercial Banking |
| |
Insurance |
| |
Investing |
| |
Investment Banking |
| |
Pooled Investment Fund |
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Is the issuer registered as an investment company under the Investment Company Act of 1940? |
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Other Banking & Financial Services |
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| |
Business Services |
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Energy |
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Health Care |
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| |
Manufacturing |
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Real Estate |
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Retailing |
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Restaurants |
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Technology |
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Travel |
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| |
Tourism & Travel Services |
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Other |
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5. Issuer Size
| Revenue Range |
OR |
Aggregate Net Asset Value Range |
| |
No Revenues |
|
No Aggregate Net Asset Value |
| |
$1 - $1,000,000 |
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$1 - $5,000,000 |
| |
$1,000,001 - $5,000,000 |
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$5,000,001 - $25,000,000 |
| |
$5,000,001 - $25,000,000 |
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$25,000,001 - $50,000,000 |
| |
$25,000,001 - $100,000,000 |
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$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)) |
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| |
Rule 504 (b)(1)(i) |
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| |
Rule 504 (b)(1)(ii) |
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| |
Rule 504 (b)(1)(iii) |
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Rule 505 |
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| X |
Rule 506(b) |
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| |
Rule 506(c) |
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| |
Securities Act Section 4(a)(5) |
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| |
Investment Company Act Section 3(c) |
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Section 3(c)(1) |
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Section 3(c)(9) |
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| |
Section 3(c)(2) |
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Section 3(c)(10) |
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Section 3(c)(3) |
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Section 3(c)(11) |
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Section 3(c)(4) |
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Section 3(c)(12) |
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Section 3(c)(5) |
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Section 3(c)(13) |
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| |
Section 3(c)(6) |
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Section 3(c)(14) |
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7. Type of Filing
| |
New Notice |
|
Date of First Sale |
2016-05-31 |
|
|
First Sale Yet to Occur |
| X |
Amendment |
8. Duration of Offering
| Does the Issuer intend this offering to last more than one year? |
|
|
9. Type(s) of Securities Offered (select all that apply)
| X |
Equity |
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Pooled Investment Fund Interests |
| |
Debt |
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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 |
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Other (describe) |
|
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10. Business Combination Transaction
| Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
|
|
Clarification of Response (if Necessary):
11. Minimum Investment
| Minimum investment accepted from any outside investor |
$25,000
|
USD |
12. Sales Compensation
| Recipient |
| Recipient CRD Number |
|
None |
|
| Edwin T. Suzuki |
4851317 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Westpark Capital Inc. |
39914 |
| Street Address 1 |
Street Address 2 |
| 18872 MacArthur Blvd. |
1st Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| Irvine |
CALIFORNIA |
92612 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
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| Recipient |
| Recipient CRD Number |
|
None |
|
| David B. Levinson |
705929 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Westpark Capital Inc. |
39914 |
| Street Address 1 |
Street Address 2 |
| 18872 MacArthur Blvd. |
1st Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| Irvine |
CALIFORNIA |
92612 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| 1st Global Capital Corp. |
30349 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| 1st Global Capital Corp. |
30349 |
| Street Address 1 |
Street Address 2 |
| 12750 Merit Drive |
Suite 1200 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Dallas |
TEXAS |
75251 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| COLORADO |
| NEW JERSEY |
| NORTH CAROLINA |
| OREGON |
| PENNSYLVANIA |
| SOUTH DAKOTA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Peter C. Cook |
1626293 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Vanderbilt Securities LLC |
5953 |
| Street Address 1 |
Street Address 2 |
| 125 Froehlich Farm Blvd. |
| City |
State/Province/Country |
ZIP/Postal Code |
| Woodbury |
NEW YORK |
11797 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
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| Recipient |
| Recipient CRD Number |
|
None |
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| Concorde Investment Services LLC |
151604 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Concorde Investment Services LLC |
151604 |
| Street Address 1 |
Street Address 2 |
| 19500 Victor Parkway |
Suite 550 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Livonia |
MICHIGAN |
48152 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| FLORIDA |
| ILLINOIS |
| MASSACHUSETTS |
| MINNESOTA |
| NEBRASKA |
| NEVADA |
| NORTH CAROLINA |
| OREGON |
| WASHINGTON |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Kerri Sullivan-Kreiss |
214713 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Commonwealth Financial Network |
8032 |
| Street Address 1 |
Street Address 2 |
| 225 Cedar Hill Street |
Suite 200 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Marlborough |
MASSACHUSETTS |
01752 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
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| Recipient |
| Recipient CRD Number |
|
None |
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| Paul N. Mathewson |
3079515 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
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| Commonwealth Financial Network |
8032 |
| Street Address 1 |
Street Address 2 |
| 4525 South Wasatch Blvd. |
Suite 250 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Salt Lake City |
UTAH |
84124 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
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| Recipient |
| Recipient CRD Number |
|
None |
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| Kurt C. Jackson |
2913769 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Commonwealth Financial Network |
8032 |
| Street Address 1 |
Street Address 2 |
| 110 West A Street |
Suite 1800 |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Diego |
CALIFORNIA |
92101 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
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| Recipient |
| Recipient CRD Number |
|
None |
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| Daniel Uhm |
4701186 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Commonwealth Financial Network |
8032 |
| Street Address 1 |
Street Address 2 |
| 8301-A 5th Avenue NE |
| City |
State/Province/Country |
ZIP/Postal Code |
| Seattle |
WASHINGTON |
98115 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Silver Portal Capital LLC |
114290 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Silver Portal Capital LLC |
114290 |
| Street Address 1 |
Street Address 2 |
| 12265 El Camino Real |
Suite 230 |
| 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 |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| DFPG Investments Inc. |
155576 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| DFPG Investments Inc. |
155576 |
| 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 |
|
|
| CALIFORNIA |
| MARYLAND |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| David C. Miller |
2494409 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Calton & Associates Inc. |
20999 |
| Street Address 1 |
Street Address 2 |
| 61 Broadway |
Suite 2125 |
| City |
State/Province/Country |
ZIP/Postal Code |
| New York |
NEW YORK |
10006 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Colorado Financial Service Corporation |
104343 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Colorado Financial Service Corporation |
104343 |
| Street Address 1 |
Street Address 2 |
| 304 Inverness Way South |
Suite 355 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Centennial |
COLORADO |
80112 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| COLORADO |
| HAWAII |
| NEW JERSEY |
| NEW YORK |
| TEXAS |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| John W. Kenny |
268043 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| American Investors Company |
38 |
| Street Address 1 |
Street Address 2 |
| 24121 Wine Country Court |
| City |
State/Province/Country |
ZIP/Postal Code |
| Sonoma |
CALIFORNIA |
95476 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Gary E. Conley |
52159 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| American Investors Company |
38 |
| Street Address 1 |
Street Address 2 |
| 1600 Valley River Drive |
Suite 385 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Eugene |
OREGON |
97401 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Investacorp Inc. |
7684 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Investacorp Inc. |
7684 |
| Street Address 1 |
Street Address 2 |
| 4400 Biscayne Blvd. |
11th Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| Miami |
FLORIDA |
33137 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Eric Bicknese |
2829451 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Nationwide Planning Associates Inc. |
31029 |
| Street Address 1 |
Street Address 2 |
| 375 Route 32 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Central Valley |
NEW YORK |
10917 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Adam Young |
6640146 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Nationwide Planning Associates Inc. |
31029 |
| Street Address 1 |
Street Address 2 |
| 440 Park Avenue South |
3rd Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| New York |
NEW YORK |
10016 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Elliot V. Hill |
5778689 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| McDermott Investment Services LLC |
154926 |
| Street Address 1 |
Street Address 2 |
| Liberty Plaza, 890 Portland Road |
Suite 3 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Saco |
MAINE |
04072 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Corbin S. Thomas |
4234748 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| McDermott Investment Services LLC |
154926 |
| Street Address 1 |
Street Address 2 |
| 101 Main Street |
Suite 260 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Huntington Beach |
CALIFORNIA |
92648 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Debra J. Schleining |
2768752 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| McDermott Investment Services LLC |
154926 |
| Street Address 1 |
Street Address 2 |
| 13530 Parker Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Omaha |
NEBRASKA |
68154 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Royal Alliance Associates Inc. |
23131 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Royal Alliance Associates Inc. |
23131 |
| Street Address 1 |
Street Address 2 |
| One World Financial Center |
15th Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| New York |
NEW YORK |
10281 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| FLORIDA |
| HAWAII |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Mark Alan Kemp |
2057200 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| McNally Financial Services Corporation |
121196 |
| Street Address 1 |
Street Address 2 |
| 500 N. Shoreline Blvd. |
Suite 1002 |
| City |
State/Province/Country |
ZIP/Postal Code |
| North Corpus Christi |
TEXAS |
78401 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Brian C. Greenberg |
2838351 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Woodbury Financial Services Inc. |
421 |
| Street Address 1 |
Street Address 2 |
| 7755 3rd Street North |
| City |
State/Province/Country |
ZIP/Postal Code |
| Oakdale |
MINNESOTA |
55128 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Mark A. Aleman |
2922342 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Woodbury Financial Services Inc. |
421 |
| Street Address 1 |
Street Address 2 |
| 1370 Valley Vista Drive |
Suite 221 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Diamond Bar |
CALIFORNIA |
91765 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Mark Fleksher |
2692080 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Securities America inc. |
10205 |
| Street Address 1 |
Street Address 2 |
| 8 Summit Terrace North |
| City |
State/Province/Country |
ZIP/Postal Code |
| Kinnelon |
NEW JERSEY |
07405 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Peter Mack |
2846056 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Securities America Inc. |
10205 |
| Street Address 1 |
Street Address 2 |
| 39 Henry Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Batesville |
INDIANA |
47006 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Michael J. Garvey |
1110254 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Securities America Inc. |
10205 |
| Street Address 1 |
Street Address 2 |
| 12110 Port Grace Blvd. |
Suite 201 |
| City |
State/Province/Country |
ZIP/Postal Code |
| LaVista |
NEBRASKA |
68128 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Andres P. Ichaso |
6265351 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Lighthouse Capital Group LLC |
169135 |
| Street Address 1 |
Street Address 2 |
| 200 S. Los Robles Ave. |
Suite 210 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Pasadena |
CALIFORNIA |
91101 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Jeremy A. Kisner |
2052115 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Crown Capital Securities LP |
6312 |
| Street Address 1 |
Street Address 2 |
| 2425 E. Camelback Road |
Suite 890 |
| 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 |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Robert J. Luna |
3165706 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Crown Capital Securities LP |
6312 |
| Street Address 1 |
Street Address 2 |
| 419 31st Street |
Suite B |
| City |
State/Province/Country |
ZIP/Postal Code |
| Newport Beach |
CALIFORNIA |
92663 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Steve Whyte |
5941423 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Crown Capital Securities LP |
6312 |
| Street Address 1 |
Street Address 2 |
| 10370 Commerce Center Drive |
Suite B130 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Rancho Cucamonga |
CALIFORNIA |
91730 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Sagepoint Financial Inc. |
133763 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Sagepoint Financial Inc. |
133763 |
| Street Address 1 |
Street Address 2 |
| 2800 North Central Avenue |
Suite 2100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Phoenix |
ARIZONA |
85004-1072 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| HAWAII |
| KANSAS |
| NEW HAMPSHIRE |
| TEXAS |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Melinda Olbert |
2893793 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Cetera Advisors LLC |
10299 |
| Street Address 1 |
Street Address 2 |
| 9012 N Kelley Ave. |
| City |
State/Province/Country |
ZIP/Postal Code |
| Oklahoma City |
OKLAHOMA |
73131 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| James P. Siemonsma |
2172228 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| ProEquities Inc. |
15708 |
| Street Address 1 |
Street Address 2 |
| 220 N 89th Street |
Suite 202 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Omaha |
NEBRASKA |
68144 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Ed Meekins |
3255988 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| ProEquities Inc. |
15708 |
| Street Address 1 |
Street Address 2 |
| 220 N 89th Street |
Suite 202 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Omaha |
NEBRASKA |
68144 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Glen E. Kauffman |
1364121 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| ProEquities Inc. |
15708 |
| Street Address 1 |
Street Address 2 |
| 841 Mt Clinton Pike |
Suite A |
| City |
State/Province/Country |
ZIP/Postal Code |
| Harrisonburg |
VIRGINIA |
22802 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| FSC Securities Corporation |
7461 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| FSC Securities Corporation |
7461 |
| Street Address 1 |
Street Address 2 |
| 2300 Windy Ridge Pkwy |
Suite 1100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Atlanta |
GEORGIA |
30339 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| KENTUCKY |
| NEW MEXICO |
| TEXAS |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Cambridge Investment Research Inc. |
39543 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Camridge Investment Research Inc. |
39543 |
| Street Address 1 |
Street Address 2 |
| 1776 Pleasant Plain Rd. |
| City |
State/Province/Country |
ZIP/Postal Code |
| Fairfield |
IOWA |
52556-8757 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Jeffrey J. Arburn |
1475817 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Whitehall-Parker Securities Inc. |
10608 |
| Street Address 1 |
Street Address 2 |
| 880 East Campbell Avenue |
Suite 206 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Campbell |
CALIFORNIA |
95008 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Michael V. Papa |
2110122 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Girard Securities Inc. |
18697 |
| Street Address 1 |
Street Address 2 |
| 101 N. Cascade Ave. |
Suite 320 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Colorado Springs |
COLORADO |
80903 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Mike R. Kilpatrick |
1278618 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Centaurus Financial Inc. |
30833 |
| Street Address 1 |
Street Address 2 |
| 5999-B Ridge View Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Camarillo |
CALIFORNIA |
93012 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Peter A. Finnegan |
1336798 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Huntwicke Securities LLC |
146993 |
| Street Address 1 |
Street Address 2 |
| 65 Washington Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Hanover |
MASSACHUSETTS |
02339 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Robert R. Tweed |
2339324 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Cabot Lodge Securities LLC |
159712 |
| Street Address 1 |
Street Address 2 |
| 2060 Huntington Drive |
Suite 1 |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Marino |
CALIFORNIA |
91108 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Christina S. Nielson |
4866971 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Primex |
29394 |
| Street Address 1 |
Street Address 2 |
| 650 Town Center Drive |
Suite 1400 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Costa Mesa |
CALIFORNIA |
92626 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Peter C. Han |
4704497 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| First Allied Securities Inc. |
32444 |
| Street Address 1 |
Street Address 2 |
| 200 S Los Robles Ave. |
Suite 440 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Pasadena |
CALIFORNIA |
91101 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Brian E. Kampbell |
4211321 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Voya Financial Advisors Inc. |
2882 |
| Street Address 1 |
Street Address 2 |
| 4041 Ruston Way |
Suite 200 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Tacoma |
WASHINGTON |
98402 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| William H. Lowell |
1158722 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Lowell & Company Inc. |
24913 |
| Street Address 1 |
Street Address 2 |
| 4021 84th Street |
Suite 100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lubbock |
TEXAS |
79423 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Kenneth H. Williams |
867975 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Cetera Advisor Networks LLC |
13572 |
| Street Address 1 |
Street Address 2 |
| 30200 Rancho Viejo Rd |
Suite G |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Juan Capistano |
CALIFORNIA |
92675 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Inland Securities Corporation |
15807 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Inland Securities Corporation |
15807 |
| Street Address 1 |
Street Address 2 |
| 2901 Butterfield Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Oak Brook |
ILLINOIS |
60523 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
13. Offering and Sales Amounts
| Total Offering Amount |
$45,751,631
|
USD |
|
| Total Amount Sold |
$45,751,631
|
USD |
| Total Remaining to be Sold |
$0
|
USD |
|
Clarification of Response (if Necessary):
14. Investors
|
Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering. |
|
|
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: |
|
15. Sales Commissions & Finder's Fees Expenses
Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
| Sales Commissions |
$3,614,379
|
USD |
|
| Finders' Fees |
$0
|
USD |
|
Clarification of Response (if Necessary):
Amount includes selling commissions, dealer fee and placement agent fee.16. Use of Proceeds
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
Clarification of Response (if Necessary):
Transaction based fees accruing to related parties.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 it 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 Regulation D for one of the reasons stated in Rule 505(b)(2)(iii) 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 |
| Texas Healthcare Portfolio DST |
/s/ Keith Lampi |
Keith Lampi |
President of Member of Signatory Trustee |
2016-12-22 |
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.