The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. The reader should not assume that the information is accurate and complete. |
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM D
Notice of Exempt Offering of Securities
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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 |
| 0001773603 |
|
| |
Corporation |
| |
Limited Partnership |
| |
Limited Liability Company |
| |
General Partnership |
| X |
Business Trust |
| |
Other (Specify) |
|
| Name of Issuer |
| Healthcare Portfolio VII DST |
| Jurisdiction of Incorporation/Organization |
| DELAWARE |
| Year of Incorporation/Organization |
| |
Over Five Years Ago |
| X |
Within Last Five Years (Specify Year) |
2018 |
| |
Yet to Be Formed |
|
2. Principal Place of Business and Contact Information
| Name of Issuer |
| Healthcare Portfolio VII DST |
| Street Address 1 |
Street Address 2 |
| 2901 BUTTERFIELD ROAD |
| City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
| OAK BROOK |
ILLINOIS |
60523 |
888-671-1031 |
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 |
| Healthcare Portfolio VII, L.L.C. |
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):
Depositor of the Issuer
| Last Name |
First Name |
Middle Name |
| Healthcare Portfolio VII Exchange, L.L.C. |
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):
Signatory Trustee of the Issuer
| Last Name |
First Name |
Middle Name |
| Lampi |
Keith |
| 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):
Mr. Lampi is the President of the Sole Member of the Signatory Trustee of the Issuer.
4. Industry Group
| |
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 |
|
$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)) |
|
| |
Rule 504 (b)(1)(i) |
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| |
Rule 504 (b)(1)(ii) |
|
| |
Rule 504 (b)(1)(iii) |
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| X |
Rule 506(b) |
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| |
Rule 506(c) |
|
| |
Securities Act Section 4(a)(5) |
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| |
Investment Company Act Section 3(c) |
|
| |
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) |
|
Section 3(c)(14) |
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|
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7. Type of Filing
| |
New Notice |
|
Date of First Sale |
2019-03-14 |
|
|
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)
| |
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 |
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Mineral Property Securities |
| |
Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security |
X |
Other (describe) |
|
Beneficial interests in Delaware Statutory Trust reflecting beneficial interests in real estate. |
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 |
|
| DEBRA JO 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 |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| INLAND SECURITIES CORPORATION |
15807 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| 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 |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| DFPG INVESTMENTS, INC. |
155576 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 2368 2nd Ave |
| 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 |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| CONCORDE INVESTMENT SERVICES, LLC |
151604 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 5000 MEADOWS ROAD SUITE 230 |
| City |
State/Province/Country |
ZIP/Postal Code |
| LAKE OSWEGO |
OREGON |
97035 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| RYAN DAVID FINCH |
6379871 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| COLORADO FINANCIAL SERVICE CORPORATION |
104343 |
| Street Address 1 |
Street Address 2 |
| 7600 E Eastman Ave Suite 410 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Denver |
COLORADO |
80231 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Jessica Healy |
6589558 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| METROPOLITAN CAPITAL INVESTMENT BANC, INC. |
148820 |
| Street Address 1 |
Street Address 2 |
| 350 N. LaSalle Street Suite 800 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Chicago |
ILLINOIS |
60654 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| SAMUEL JAMES ANGELO JR |
1126535 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| 1ST GLOBAL CAPITAL CORP. |
30349 |
| Street Address 1 |
Street Address 2 |
| 77 E HALSEY ROAD |
| City |
State/Province/Country |
ZIP/Postal Code |
| PARSIPPANY |
NEW JERSEY |
07054 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| KEVIN MICHAEL SWEENEY |
4281256 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| 1ST GLOBAL CAPITAL CORP. |
30349 |
| Street Address 1 |
Street Address 2 |
| 77 E HALSEY ROAD |
| City |
State/Province/Country |
ZIP/Postal Code |
| PARSIPPANY |
NEW JERSEY |
07054 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| RICKY WAYNE SMALL |
1453704 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| AMERITAS INVESTMENT CORP. |
14869 |
| Street Address 1 |
Street Address 2 |
| 390 N Cotner Blvd |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lincoln |
NEBRASKA |
68505 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Daniel James Mercer |
6698392 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| COLORADO FINANCIAL SERVICE CORPORATION |
104343 |
| Street Address 1 |
Street Address 2 |
| 4020 EAST SAINT JOSEPH WAY |
| City |
State/Province/Country |
ZIP/Postal Code |
| PHOENIX |
ARIZONA |
85018 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| BRIAN DANIEL VOSBERG |
4476509 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| CENTAURUS FINANCIAL, INC. |
30833 |
| Street Address 1 |
Street Address 2 |
| 715 W. FOOTHILL BLVD. |
| City |
State/Province/Country |
ZIP/Postal Code |
| GLENDORA |
CALIFORNIA |
91741 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Samuel Heller |
6688484 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| HD VEST INVESTMENT SERVICES |
13686 |
| Street Address 1 |
Street Address 2 |
| 6762 South Holland Way |
| City |
State/Province/Country |
ZIP/Postal Code |
| Littleton |
COLORADO |
80128 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| JANET LONG CORRELL |
6360579 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| KALOS CAPITAL, INC. |
44337 |
| Street Address 1 |
Street Address 2 |
| 6101 Carnegie Blvd Suite 350 |
| City |
State/Province/Country |
ZIP/Postal Code |
| CHARLOTTE |
NORTH CAROLINA |
28209 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| CALEB WILL HUFTALIN |
5114075 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| KALOS CAPITAL, INC. |
44337 |
| Street Address 1 |
Street Address 2 |
| 6101 Carnegie Blvd Suite 350 |
| City |
State/Province/Country |
ZIP/Postal Code |
| CHARLOTTE |
NORTH CAROLINA |
28209 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| JOHN ARIOLA |
2143300 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| LINCOLN FINANCIAL ADVISORS CORPORATION |
3978 |
| Street Address 1 |
Street Address 2 |
| 6400 SHERIDAN DRIVE SUITE 320 |
| City |
State/Province/Country |
ZIP/Postal Code |
| AMHERST |
NEW YORK |
14221 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| KENNETH ALLAN ULRICH |
1017571 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| LINCOLN FINANCIAL ADVISORS CORPORATION |
3978 |
| Street Address 1 |
Street Address 2 |
| 6400 SHERIDAN DRIVE SUITE 320 |
| City |
State/Province/Country |
ZIP/Postal Code |
| AMHERST |
NEW YORK |
14221 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| GREGORY RALPH TROTTER |
1528066 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| MCDERMOTT INVESTMENT SERVICES, LLC |
154926 |
| Street Address 1 |
Street Address 2 |
| 44 EAST BROAD STREET 2ND FLOOR |
| City |
State/Province/Country |
ZIP/Postal Code |
| BETHLEHEM |
PENNSYLVANIA |
18018 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| ROYCE LEE CANNON SR |
2206590 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| MOLONEY SECURITIES CO., INC. |
38535 |
| Street Address 1 |
Street Address 2 |
| 215 Centerview Drive Suite 260 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Brentwood |
TENNESSEE |
37027 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| TROY TAKU WADA |
5636479 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| SAGEPOINT FINANCIAL, INC. |
133763 |
| Street Address 1 |
Street Address 2 |
| 1001 BISHOP STREET SUITE 2300 |
| City |
State/Province/Country |
ZIP/Postal Code |
| HONOLULU |
HAWAII |
96813 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| GENE ALVIN BREHM |
2815437 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| SAXONY SECURITIES, INC. |
115547 |
| Street Address 1 |
Street Address 2 |
| 7809 Broadway St |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Antonio |
TEXAS |
78209 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| David P Dahill |
6581024 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| WEALTHFORGE SECURITIES, LLC |
152550 |
| Street Address 1 |
Street Address 2 |
| 109 E 10th Street Suite 300 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Austin |
TEXAS |
78701 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| JASON C. BEZOU |
4642397 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| WOODBURY FINANCIAL SERVICES, INC. |
421 |
| Street Address 1 |
Street Address 2 |
| 422 HARRISON AVE. |
| City |
State/Province/Country |
ZIP/Postal Code |
| New Orleans |
LOUISIANA |
70124 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| AARON LUKE WATSON |
2341571 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| HD VEST INVESTMENT SERVICES |
13686 |
| Street Address 1 |
Street Address 2 |
| 110 SOUTH MAIN STR |
| City |
State/Province/Country |
ZIP/Postal Code |
| MCCORMICK |
SOUTH CAROLINA |
29835 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| KAYE MCKINNEY MILLER |
1000838 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| LINCOLN FINANCIAL ADVISORS CORPORATION |
3978 |
| Street Address 1 |
Street Address 2 |
| 6000 FAIRVIEW ROAD SUITE 1550 |
| City |
State/Province/Country |
ZIP/Postal Code |
| CHARLOTTE |
NORTH CAROLINA |
28210 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| WILLIAM HUGH BLACK |
709696 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| LION STREET FINANCIAL, LLC |
165828 |
| Street Address 1 |
Street Address 2 |
| 341 Cool Springs Blvd Ste 210 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Franklin |
TENNESSEE |
37067 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| KENT CHARLES COOPER |
6614756 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| LION STREET FINANCIAL, LLC |
165828 |
| Street Address 1 |
Street Address 2 |
| 341 Cool Springs Blvd Ste 210 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Franklin |
TENNESSEE |
37067 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| MARK LOTT |
5015817 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| M. H. LEBLANG, INC. |
2535 |
| Street Address 1 |
Street Address 2 |
| EVERSPIRE PLAZA 6900 S. 900 E., SUITE 20 |
| City |
State/Province/Country |
ZIP/Postal Code |
| MIDVALE |
UTAH |
84047 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| DOLORES B MITCHELL |
2722419 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| ROYAL ALLIANCE ASSOCIATES, INC. |
23131 |
| Street Address 1 |
Street Address 2 |
| 792 CARMAN AVE |
| City |
State/Province/Country |
ZIP/Postal Code |
| WESTBURY |
NEW YORK |
11590 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| NICHOLAS AGNONE |
2664405 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| ROYAL ALLIANCE ASSOCIATES, INC. |
23131 |
| Street Address 1 |
Street Address 2 |
| 792 CARMAN AVE |
| City |
State/Province/Country |
ZIP/Postal Code |
| WESTBURY |
NEW YORK |
11590 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| RICHARD GENE HOLLIS |
2377086 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| SAGEPOINT FINANCIAL, INC. |
133763 |
| Street Address 1 |
Street Address 2 |
| 1800 WEST LOOP SOUTH SUITE 1980 |
| City |
State/Province/Country |
ZIP/Postal Code |
| HOUSTON |
TEXAS |
77027 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Eric James Bell |
7015161 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| COLORADO FINANCIAL SERVICE CORPORATION |
104343 |
| Street Address 1 |
Street Address 2 |
| 7600 E Eastman Ave Suite 410 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Denver |
COLORADO |
80231 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| DONALD WAYNE RUPPANNER |
3227540 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| HD VEST INVESTMENT SERVICES |
13686 |
| Street Address 1 |
Street Address 2 |
| 800 W WALL ST STE D |
| City |
State/Province/Country |
ZIP/Postal Code |
| MIDLAND |
TEXAS |
79701 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| DUNCAN PIRIE SANDILAND |
2951570 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| HD VEST INVESTMENT SERVICES |
13686 |
| Street Address 1 |
Street Address 2 |
| 800 W WALL ST STE D |
| City |
State/Province/Country |
ZIP/Postal Code |
| MIDLAND |
TEXAS |
79701 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| LENAJO MARIE HARTLEY |
2905105 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| INVESTACORP, INC. |
7684 |
| Street Address 1 |
Street Address 2 |
| 31 COURT STREET SUITE 300 |
| City |
State/Province/Country |
ZIP/Postal Code |
| AUBURN |
MAINE |
04210 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| PATRICK BRYAN HEALEY |
2816003 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| KALOS CAPITAL, INC. |
44337 |
| Street Address 1 |
Street Address 2 |
| 239 WASHINGTON STREET SUITE 304 |
| City |
State/Province/Country |
ZIP/Postal Code |
| JERSEY CITY |
NEW JERSEY |
07302 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| MARK LAWRENCE SHERIN |
1291532 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| LINCOLN FINANCIAL ADVISORS CORPORATION |
3978 |
| Street Address 1 |
Street Address 2 |
| 31111 AGOURA ROAD SUITE 200 |
| City |
State/Province/Country |
ZIP/Postal Code |
| WESTLAKE VILLAGE |
CALIFORNIA |
91361 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| JEFFREY ALAN PERRY |
1795927 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| LINCOLN FINANCIAL ADVISORS CORPORATION |
3978 |
| Street Address 1 |
Street Address 2 |
| 31111 AGOURA ROAD SUITE 200 |
| City |
State/Province/Country |
ZIP/Postal Code |
| WESTLAKE VILLAGE |
CALIFORNIA |
91361 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| GREG PAUL MORELL |
1060876 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| SAGEPOINT FINANCIAL, INC. |
133763 |
| Street Address 1 |
Street Address 2 |
| 8722 E. VIA DE COMMERCIO |
| City |
State/Province/Country |
ZIP/Postal Code |
| SCOTTSDALE |
ARIZONA |
85258 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| MATTHEW BRADLEY BROZIK |
5963665 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| TRIAD ADVISORS LLC |
25803 |
| Street Address 1 |
Street Address 2 |
| 196 St. Andrews Drive Suite 300 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Mankato |
MINNESOTA |
56001 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| PETER A PIGEON |
4550227 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| TRIAD ADVISORS LLC |
25803 |
| Street Address 1 |
Street Address 2 |
| 196 St. Andrews Drive Suite 300 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Mankato |
MINNESOTA |
56001 |
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 |
$55,172,296
|
USD |
|
| Total Amount Sold |
$20,867,253
|
USD |
| Total Remaining to be Sold |
$34,305,043
|
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 |
$2,758,615
|
USD |
|
| Finders' Fees |
$0
|
USD |
|
Clarification of Response (if Necessary):
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):
Estimate of certain fees, including the Acquisition Fee, Dealer Fee, Placement Agent Fee, and offering and organizational expenses that may accrue to one or more Related Persons.Signature and Submission
Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.
Terms of Submission
| In submitting this notice, each issuer named above is: |
- Notifying the SEC and/or each State in which this notice is filed of the offering of
securities described and undertaking to furnish them, upon written request, in the accordance with applicable
law, the information furnished to offerees.*
- Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator
or other legally designated officer of the State in which the issuer maintains its principal
place of business and any State in which this notice is filed, as its agents for service of
process, and agreeing that these persons may accept service on its behalf, of any notice,
process or pleading, and further agreeing that such service may be made by registered or
certified mail, in any Federal or state action, administrative proceeding, or arbitration
brought against the issuer in any place subject to the jurisdiction of the United States, if the
action, proceeding or arbitration (a) arises out of any activity in connection with the
offering of securities that is the subject of this notice, and (b) is founded, directly or
indirectly, upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange
Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the
Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii)
the laws of the State in which the issuer maintains its principal place of business or any State
in which this notice is filed.
- Certifying that, if the issuer is claiming a Regulation D exemption for the offering, the issuer is not disqualified from relying on Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) or Rule 506(d).
|
Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.
For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.
| Issuer |
Signature |
Name of Signer |
Title |
Date |
| Healthcare Portfolio VII DST |
Keith Lampi |
Keith Lampi |
President of Sole Member of Signatory Trustee of Issuer |
2019-06-28 |
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.