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
| | OMB APPROVAL | | OMB Number: | 3235-0076 | | Estimated average burden | | hours per response: | 4.00 |
|
|
1. Issuer's Identity
| CIK (Filer ID Number) | Previous Names | | Entity Type |
|---|
| 0001043951 | | | | Corporation | | | Limited Partnership | | | Limited Liability Company | | | General Partnership | | X | Business Trust | | | Other (Specify) |
|
| Name of Issuer |
|---|
| CAMPBELL FUND TRUST |
| Jurisdiction of Incorporation/Organization |
|---|
| DELAWARE |
| Year of Incorporation/Organization |
|---|
| X | Over Five Years Ago | | | Within Last Five Years (Specify Year) | | | | Yet to Be Formed |
|
2. Principal Place of Business and Contact Information
| Name of Issuer |
|---|
| CAMPBELL FUND TRUST |
| Street Address 1 | Street Address 2 |
|---|
| 2850 QUARRY LAKE DRIVE |
| City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
|---|
| BALTIMORE | MARYLAND | 21209 | 410-413-2600 |
3. Related Persons
| Last Name | First Name | Middle Name |
|---|
| Andrews | G. | William |
| Street Address 1 | Street Address 2 |
|---|
| Campbell & Company, LP | 2850 Quarry Lake Drive |
| City | State/Province/Country | ZIP/PostalCode |
|---|
| Baltimore | MARYLAND | 21209 |
| Relationship: | X | Executive Officer | | Director | | Promoter |
|---|
Clarification of Response (if Necessary):
| Last Name | First Name | Middle Name |
|---|
| Lloyd | Thomas | P. |
| Street Address 1 | Street Address 2 |
|---|
| Campbell & Company, LP | 2850 Quarry Lake Drive |
| City | State/Province/Country | ZIP/PostalCode |
|---|
| Baltimore | MARYLAND | 21209 |
| Relationship: | X | Executive Officer | | Director | | Promoter |
|---|
Clarification of Response (if Necessary):
| Last Name | First Name | Middle Name |
|---|
| Campbell & Company, LP | n/a |
| Street Address 1 | Street Address 2 |
|---|
| 2850 Quarry Lake Drive |
| City | State/Province/Country | ZIP/PostalCode |
|---|
| Baltimore | MARYLAND | 21209 |
| Relationship: | X | Executive Officer | | Director | | Promoter |
|---|
Clarification of Response (if Necessary):
Managing Operator of the Trust.
| Last Name | First Name | Middle Name |
|---|
| Cole | Kevin | D |
| Street Address 1 | Street Address 2 |
|---|
| Campbelll & Company LP | 2850 Quarry Lake Drive |
| City | State/Province/Country | ZIP/PostalCode |
|---|
| Baltimore | MARYLAND | 21209 |
| Relationship: | X | Executive Officer | | Director | | Promoter |
|---|
Clarification of Response (if Necessary):
| Last Name | First Name | Middle Name |
|---|
| Morris | Gabriel | A |
| Street Address 1 | Street Address 2 |
|---|
| Campbell & Company LP | 2850 Quarry Lake Drive |
| City | State/Province/Country | ZIP/PostalCode |
|---|
| Baltimore | MARYLAND | 21209 |
| Relationship: | X | Executive Officer | | Director | | Promoter |
|---|
Clarification of Response (if Necessary):
4. Industry Group
| | Agriculture | | Banking & Financial Services | | | | Commercial Banking | | | Insurance | | | Investing | | | Investment Banking | | X | Pooled Investment Fund | | | | Hedge Fund | | | Private Equity Fund | | | Venture Capital Fund | | X | Other Investment Fund |
| | Is the issuer registered as
an investment company under
the Investment Company
Act of 1940? | | | | | Other Banking & Financial Services |
| | | Business Services | | Energy | | | | | | | | | | | | |
| | Health Care | | | | | | | | | | | | | Manufacturing | | Real Estate | | | | | | | | | | |
| | Retailing | | Restaurants | | Technology | | | | | | | | Travel | | | | | | | | Tourism & Travel Services |
| | | | Other |
|
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 | | $5,000,001 - $25,000,000 |
| | $5,000,001 - $25,000,000 | | $25,000,001 - $50,000,000 |
| | $25,000,001 - $100,000,000 | | $50,000,001 - $100,000,000 |
| | Over $100,000,000 | | Over $100,000,000 |
| | Decline to Disclose | X | 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) |
| | Rule 504 (b)(1)(ii) |
| | Rule 504 (b)(1)(iii) |
| X | Rule 506(b) |
| | Rule 506(c) |
| | Securities Act Section 4(a)(5) |
| | Investment Company Act Section 3(c) |
| | | Section 3(c)(1) | | Section 3(c)(9) |
| | | Section 3(c)(2) | | Section 3(c)(10) |
| | | Section 3(c)(3) | | Section 3(c)(11) |
| | | Section 3(c)(4) | | Section 3(c)(12) |
| | | Section 3(c)(5) | | Section 3(c)(13) |
| | | Section 3(c)(6) | | Section 3(c)(14) |
| |
| 7. Type of Filing
| | New Notice | | Date of First Sale | 1996-01-01 | | | 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 | X | Pooled Investment Fund Interests |
| | Debt | | 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 | | Other (describe) |
| |
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 |
|
| Cambridge Investment Research, Inc. | 39543 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 1776 Pleasant Plain Road |
| City | State/Province/Country | ZIP/Postal Code |
| Fairfield | IOWA | 52556 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| Campbell Financial Services, Inc. | 42953 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 2850 Quarry Lake Drive |
| City | State/Province/Country | ZIP/Postal Code |
| Baltimore | MARYLAND | 21209 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| Commonwealth Financial Network | 8032 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 29 Sawyer Road |
| City | State/Province/Country | ZIP/Postal Code |
| Waltham | MASSACHUSETTS | 02453 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| Credit Suisse Securities (USA) LLC | 816 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 11 Madison Avenue | 24th Floor |
| City | State/Province/Country | ZIP/Postal Code |
| New York | NEW YORK | 10010 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| David A. Noyes & Company | 205 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 209 South La Salle Street | 12th Floor |
| City | State/Province/Country | ZIP/Postal Code |
| Chicago | ILLINOIS | 60604 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | | All States |
| |
| ALABAMA | | ALASKA | | ARIZONA | | ARKANSAS | | CALIFORNIA | | COLORADO | | CONNECTICUT | | DELAWARE | | DISTRICT OF COLUMBIA | | FLORIDA | | GEORGIA | | HAWAII | | IDAHO | | ILLINOIS | | INDIANA | | IOWA | | KANSAS | | KENTUCKY | | LOUISIANA | | MAINE | | MARYLAND | | MASSACHUSETTS | | MICHIGAN | | MINNESOTA | | MISSISSIPPI | | MISSOURI | | MONTANA | | NEBRASKA | | NEVADA | | NEW HAMPSHIRE | | NEW JERSEY | | NEW MEXICO | | NEW YORK | | NORTH CAROLINA | | NORTH DAKOTA | | OHIO | | OKLAHOMA | | OREGON | | PENNSYLVANIA | | RHODE ISLAND | | SOUTH CAROLINA | | SOUTH DAKOTA | | TENNESSEE | | TEXAS | | UTAH | | VERMONT | | VIRGINIA | | WASHINGTON | | WEST VIRGINIA | | WISCONSIN | | WYOMING |
|
| Recipient | | Recipient CRD Number | | None |
|
| Geneos Wealth Management, Inc. | 120894 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 9055 E Mineral Circle | Suite 200 |
| 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 | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| Janney Montgomery Scott, LLC | 463 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 1717 Arch Street |
| City | State/Province/Country | ZIP/Postal Code |
| Philadelphia | PENNSYLVANIA | 19103 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| Lincoln Financial Advisors Corporation | 3978 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 1300 South Clinton Street | Suite 150 |
| City | State/Province/Country | ZIP/Postal Code |
| Fort Wayne | INDIANA | 46802 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| LPL Financial Corporation | 6413 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 75 State Street | 24th Floor |
| City | State/Province/Country | ZIP/Postal Code |
| Boston | MASSACHUSETTS | 02109 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | 7691 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| One Bryant Park |
| City | State/Province/Country | ZIP/Postal Code |
| New York | NEW YORK | 10036 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| Morgan Stanley Smith Barney LLC | 149777 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 2000 Westchester Avenue |
| City | State/Province/Country | ZIP/Postal Code |
| Purchase | NEW YORK | 10577 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| Raymond James & Associates, Inc | 705 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 880 Carillon Parkway |
| City | State/Province/Country | ZIP/Postal Code |
| St. Petersburg | FLORIDA | 33716 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| RBC Capital Markets LLC | 31194 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 3 World Financial Center | 200 Vesey Street |
| 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 | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| BB&T Scott & Stringfellow, Inc. | 142785 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 901 E. Byrd Street | Riverfront Plaza, West Tower |
| City | State/Province/Country | ZIP/Postal Code |
| Richmond | VIRGINIA | 23219 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| Stephens, Inc. | 3496 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 111 Center Street |
| City | State/Province/Country | ZIP/Postal Code |
| Little Rock | ARKANSAS | 72201 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| Stifel Nicolaus & Company, Incorporated | 793 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 501 North Broadway |
| City | State/Province/Country | ZIP/Postal Code |
| St. Louis | MISSOURI | 63102 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| UBS Financial Services Inc. | 8174 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 1200 Harbor Boulevard |
| City | State/Province/Country | ZIP/Postal Code |
| Weehawken | NEW JERSEY | 07086 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| Wells Fargo Advisors Financial Network, LLC | 11025 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| One North Jefferson Avenue |
| City | State/Province/Country | ZIP/Postal Code |
| St. Louis | MISSOURI | 63103 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| Wells Fargo Advisors, LLC | 19616 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| One North Jefferson Avenue |
| City | State/Province/Country | ZIP/Postal Code |
| St. Louis | MISSOURI | 63103 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| American Portfolios Financial Services, Inc. | 18487 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 4250 Veterans Memorial Highway | 4th Floor East |
| City | State/Province/Country | ZIP/Postal Code |
| Holbrook | NEW YORK | 11741 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| Ameriprise Financial Services, Inc. | 6363 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 707 2nd Avenue South |
| City | State/Province/Country | ZIP/Postal Code |
| Minneapolis | MINNESOTA | 55402 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| Benjamin F. Edwards & Co., Inc. | 146936 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| One North Brentwood Boulevard | Suite 850 |
| City | State/Province/Country | ZIP/Postal Code |
| St. Louis | MISSOURI | 63105 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| Berthel, Fisher & Company Financial Services, Inc. | 13609 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 701 Tama Street | Building B |
| City | State/Province/Country | ZIP/Postal Code |
| Marion | IOWA | 52302 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | | All States |
| |
| ALABAMA | | ALASKA | | ARIZONA | | ARKANSAS | | CALIFORNIA | | COLORADO | | CONNECTICUT | | DELAWARE | | DISTRICT OF COLUMBIA | | FLORIDA | | GEORGIA | | HAWAII | | IDAHO | | ILLINOIS | | INDIANA | | IOWA | | KANSAS | | KENTUCKY | | LOUISIANA | | MAINE | | MARYLAND | | MASSACHUSETTS | | MICHIGAN | | MINNESOTA | | MISSISSIPPI | | MISSOURI | | MONTANA | | NEBRASKA | | NEVADA | | NEW HAMPSHIRE | | NEW JERSEY | | NEW MEXICO | | NEW YORK | | NORTH CAROLINA | | NORTH DAKOTA | | OHIO | | OKLAHOMA | | OREGON | | PENNSYLVANIA | | RHODE ISLAND | | SOUTH CAROLINA | | SOUTH DAKOTA | | TENNESSEE | | TEXAS | | UTAH | | VERMONT | | VIRGINIA | | WASHINGTON | | WEST VIRGINIA | | WISCONSIN | | WYOMING |
|
| Recipient | | Recipient CRD Number | | None |
|
| Davenport& Company LLC | 1588 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| One James Center | 901 E. Cary Street |
| City | State/Province/Country | ZIP/Postal Code |
| Richmond | VIRGINIA | 23219 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| First Allied Securities | 32444 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 655 West Broadway | 12th Floor |
| 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 |
|
| FSC Securities Corporation | 7461 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 2300 Windy Ridge Parkway | 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 | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| H. Beck, Inc. | 1763 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 6600 Rockledge Drive | 6th Floor |
| City | State/Province/Country | ZIP/Postal Code |
| Bethesda | MARYLAND | 20817 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| HighTower Securities, LLC | 116681 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 200 West Madison Street | Suite 2500 |
| City | State/Province/Country | ZIP/Postal Code |
| Chicago | ILLINOIS | 60606 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| Cetera Advisors LLC | 10299 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 4600 South Syracuse | Suite 600 |
| City | State/Province/Country | ZIP/Postal Code |
| Denver | COLORADO | 80237 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| Purshe, Kaplan, Sterling Investments | 35747 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 18 Corporate Woods Boulevard |
| City | State/Province/Country | ZIP/Postal Code |
| Albany | NEW YORK | 12211 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | | All States |
| |
| ALABAMA | | ALASKA | | ARIZONA | | ARKANSAS | | CALIFORNIA | | COLORADO | | CONNECTICUT | | DELAWARE | | DISTRICT OF COLUMBIA | | FLORIDA | | GEORGIA | | HAWAII | | IDAHO | | ILLINOIS | | INDIANA | | IOWA | | KANSAS | | KENTUCKY | | LOUISIANA | | MAINE | | MARYLAND | | MASSACHUSETTS | | MICHIGAN | | MINNESOTA | | MISSISSIPPI | | MISSOURI | | MONTANA | | NEBRASKA | | NEVADA | | NEW HAMPSHIRE | | NEW JERSEY | | NEW MEXICO | | NEW YORK | | NORTH CAROLINA | | NORTH DAKOTA | | OHIO | | OKLAHOMA | | OREGON | | PENNSYLVANIA | | RHODE ISLAND | | SOUTH CAROLINA | | SOUTH DAKOTA | | TENNESSEE | | TEXAS | | UTAH | | VERMONT | | VIRGINIA | | WASHINGTON | | WEST VIRGINIA | | WISCONSIN | | WYOMING |
|
| Recipient | | Recipient CRD Number | | None |
|
| Robert W. Baird & Co., Inc. | 8158 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 777 E. Wisconsin Ave. |
| City | State/Province/Country | ZIP/Postal Code |
| Milwaukee | WISCONSIN | 53202 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| Royal Alliance Associates, Inc. | 23131 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| 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 | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| Sagepoint Financial, Inc. | 133763 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 2800 North Central Avenue | Suite 2100 |
| City | State/Province/Country | ZIP/Postal Code |
| Phoenix | ARIZONA | 85004 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| Securities America, Inc. | 10205 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 12325 Port Grace Boulevard |
| 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 | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| Spire Securities, LLC | 144131 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 1840 Michael Faraday Dr. | Suite 105 |
| City | State/Province/Country | ZIP/Postal Code |
| Reston | VIRGINIA | 20190 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| Stephen A. Kohn & Associates, Ltd. | 41067 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 3232 South Vance Street | Suite 210 |
| City | State/Province/Country | ZIP/Postal Code |
| Lakewood | COLORADO | 80227 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | | All States |
| |
| ARIZONA | | CALIFORNIA | | COLORADO | | CONNECTICUT | | FLORIDA | | GEORGIA | | HAWAII | | IDAHO | | ILLINOIS | | INDIANA | | IOWA | | LOUISIANA | | MASSACHUSETTS | | MICHIGAN | | MINNESOTA | | MISSOURI | | MONTANA | | NEBRASKA | | NEVADA | | NEW JERSEY | | NEW MEXICO | | NEW YORK | | NORTH CAROLINA | | OHIO | | OREGON | | PENNSYLVANIA | | SOUTH CAROLINA | | TENNESSEE | | TEXAS | | UTAH | | VIRGINIA | | WASHINGTON | | WISCONSIN |
|
| Recipient | | Recipient CRD Number | | None |
|
| USA FInancial Securities Corporation | 103857 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 6020 East Fulton |
| City | State/Province/Country | ZIP/Postal Code |
| Ada | MICHIGAN | 49301 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | | All States |
| |
| ALABAMA | | ALASKA | | ARIZONA | | ARKANSAS | | CALIFORNIA | | COLORADO | | CONNECTICUT | | DELAWARE | | DISTRICT OF COLUMBIA | | FLORIDA | | GEORGIA | | HAWAII | | IDAHO | | ILLINOIS | | INDIANA | | IOWA | | KANSAS | | KENTUCKY | | LOUISIANA | | MAINE | | MARYLAND | | MASSACHUSETTS | | MICHIGAN | | MINNESOTA | | MISSISSIPPI | | MISSOURI | | MONTANA | | NEBRASKA | | NEVADA | | NEW HAMPSHIRE | | NEW JERSEY | | NEW MEXICO | | NEW YORK | | NORTH CAROLINA | | NORTH DAKOTA | | OHIO | | OKLAHOMA | | OREGON | | PENNSYLVANIA | | RHODE ISLAND | | SOUTH CAROLINA | | SOUTH DAKOTA | | TENNESSEE | | TEXAS | | UTAH | | VERMONT | | VIRGINIA | | WASHINGTON | | WEST VIRGINIA | | WISCONSIN | | WYOMING |
|
| Recipient | | Recipient CRD Number | | None |
|
| Wedbush Morgan Securities Inc. | 877 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 1000 Wilshire Blvd. | Suite 900 |
| City | State/Province/Country | ZIP/Postal Code |
| Los Angeles | CALIFORNIA | 90017 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | | All States |
| |
| ALABAMA | | ALASKA | | ARIZONA | | ARKANSAS | | CALIFORNIA | | COLORADO | | CONNECTICUT | | DELAWARE | | DISTRICT OF COLUMBIA | | FLORIDA | | GEORGIA | | HAWAII | | IDAHO | | ILLINOIS | | INDIANA | | IOWA | | KANSAS | | KENTUCKY | | LOUISIANA | | MAINE | | MARYLAND | | MASSACHUSETTS | | MICHIGAN | | MINNESOTA | | MISSISSIPPI | | MISSOURI | | MONTANA | | NEBRASKA | | NEVADA | | NEW HAMPSHIRE | | NEW JERSEY | | NEW MEXICO | | NEW YORK | | NORTH CAROLINA | | NORTH DAKOTA | | OHIO | | OKLAHOMA | | OREGON | | PENNSYLVANIA | | RHODE ISLAND | | SOUTH CAROLINA | | SOUTH DAKOTA | | TEXAS | | UTAH | | VERMONT | | VIRGINIA | | WASHINGTON | | WEST VIRGINIA | | WISCONSIN | | WYOMING |
|
| Recipient | | Recipient CRD Number | | None |
|
| Arete Wealth Management, LLC | 44856 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 1699 E. Woodfield Road | Suite 565 |
| City | State/Province/Country | ZIP/Postal Code |
| Schaumburg | ILLINOIS | 60173 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | | All States |
| |
| ALABAMA | | ALASKA | | ARIZONA | | ARKANSAS | | CALIFORNIA | | COLORADO | | CONNECTICUT | | DELAWARE | | DISTRICT OF COLUMBIA | | FLORIDA | | GEORGIA | | HAWAII | | ILLINOIS | | INDIANA | | IOWA | | KANSAS | | KENTUCKY | | LOUISIANA | | MAINE | | MARYLAND | | MASSACHUSETTS | | MICHIGAN | | MINNESOTA | | MISSISSIPPI | | MISSOURI | | MONTANA | | NEBRASKA | | NEVADA | | NEW HAMPSHIRE | | NEW JERSEY | | NEW MEXICO | | NEW YORK | | NORTH CAROLINA | | NORTH DAKOTA | | OHIO | | OKLAHOMA | | OREGON | | PENNSYLVANIA | | SOUTH CAROLINA | | SOUTH DAKOTA | | TENNESSEE | | TEXAS | | UTAH | | VIRGINIA | | WASHINGTON | | WEST VIRGINIA | | WISCONSIN | | WYOMING |
|
| Recipient | | Recipient CRD Number | | None |
|
| Lincoln Investment Planning, Inc. | 519 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| Forst Pavillion | 218 Glenside Avenue |
| City | State/Province/Country | ZIP/Postal Code |
| Wyncotse | PENNSYLVANIA | 19095-1595 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| Mutual Securities, Inc. | 13092 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 807-A Camarillo Springs Road |
| 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 | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| Titan Securities | 131392 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 14801 Quorum Drive | Suite 260 |
| City | State/Province/Country | ZIP/Postal Code |
| Dallas | TEXAS | 75254 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | | All States |
| |
| ARIZONA | | ARKANSAS | | CALIFORNIA | | COLORADO | | FLORIDA | | GEORGIA | | IDAHO | | INDIANA | | IOWA | | KANSAS | | LOUISIANA | | MICHIGAN | | MINNESOTA | | MISSOURI | | NEVADA | | NEW MEXICO | | NEW YORK | | NORTH CAROLINA | | OHIO | | OKLAHOMA | | SOUTH DAKOTA | | TENNESSEE | | TEXAS | | UTAH | | VIRGINIA | | WASHINGTON | | WEST VIRGINIA | | WISCONSIN | | WYOMING |
|
| Recipient | | Recipient CRD Number | | None |
|
| KMS Financial Services, Inc. | 3866 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 2001 Sixth Avenue | Suite 2801 |
| City | State/Province/Country | ZIP/Postal Code |
| Seattle | WASHINGTON | 98121-1866 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | | All States |
| |
| ALABAMA | | ALASKA | | ARIZONA | | ARKANSAS | | CALIFORNIA | | COLORADO | | CONNECTICUT | | DELAWARE | | DISTRICT OF COLUMBIA | | FLORIDA | | GEORGIA | | HAWAII | | IDAHO | | ILLINOIS | | INDIANA | | IOWA | | KANSAS | | KENTUCKY | | LOUISIANA | | MAINE | | MARYLAND | | MASSACHUSETTS | | MICHIGAN | | MINNESOTA | | MISSISSIPPI | | MISSOURI | | MONTANA | | NEBRASKA | | NEVADA | | NEW HAMPSHIRE | | NEW JERSEY | | NEW MEXICO | | NEW YORK | | NORTH CAROLINA | | NORTH DAKOTA | | OHIO | | OKLAHOMA | | OREGON | | PENNSYLVANIA | | RHODE ISLAND | | SOUTH CAROLINA | | SOUTH DAKOTA | | TENNESSEE | | TEXAS | | UTAH | | VERMONT | | VIRGINIA | | WASHINGTON | | WEST VIRGINIA | | WISCONSIN | | WYOMING |
|
| Recipient | | Recipient CRD Number | | None |
|
| Oppenheimer & Co., Inc. | 249 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 85 Broad Street | 22nd, 24th Floor |
| City | State/Province/Country | ZIP/Postal Code |
| New York | NEW YORK | 10004 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| D.H. HILL SECURITIES, LLLP | 41528 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 1543 GREEN OAK PLACE | SUITE 100 |
| City | State/Province/Country | ZIP/Postal Code |
| KINGWOOD | TEXAS | 77339 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | | All States |
| |
| ALABAMA | | ARIZONA | | ARKANSAS | | CALIFORNIA | | COLORADO | | CONNECTICUT | | DELAWARE | | FLORIDA | | GEORGIA | | HAWAII | | IDAHO | | ILLINOIS | | INDIANA | | IOWA | | KANSAS | | KENTUCKY | | LOUISIANA | | MARYLAND | | MASSACHUSETTS | | MICHIGAN | | MINNESOTA | | MISSISSIPPI | | MISSOURI | | MONTANA | | NEBRASKA | | NEVADA | | NEW HAMPSHIRE | | NEW JERSEY | | NEW MEXICO | | NEW YORK | | NORTH CAROLINA | | OHIO | | OKLAHOMA | | OREGON | | PENNSYLVANIA | | RHODE ISLAND | | SOUTH CAROLINA | | SOUTH DAKOTA | | TENNESSEE | | TEXAS | | UTAH | | VIRGINIA | | WASHINGTON | | WISCONSIN | | WYOMING |
|
| Recipient | | Recipient CRD Number | | None |
|
| Ausdal Financial Partners, Inc. | 7995 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 220 North Main Street | Suite 400 |
| City | State/Province/Country | ZIP/Postal Code |
| Davenport | IOWA | 52801 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| Kestra Investment Services, LLC | 42046 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 5707 Southwest Parkway | Bldg 2, Ste 400 |
| City | State/Province/Country | ZIP/Postal Code |
| Austin | TEXAS | 78735 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| Raymond James Financial Services, Inc. | 6694 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 880 Carillon Parkway |
| City | State/Province/Country | ZIP/Postal Code |
| Saint Petersburg | FLORIDA | 33716 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| Frontier Solutions LLC | 136102 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 9 East Franklin Street |
| City | State/Province/Country | ZIP/Postal Code |
| Richmond | VIRGINIA | 23219 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | | All States |
| |
| ALABAMA | | ARIZONA | | ARKANSAS | | CALIFORNIA | | COLORADO | | CONNECTICUT | | DELAWARE | | DISTRICT OF COLUMBIA | | FLORIDA | | GEORGIA | | IDAHO | | ILLINOIS | | INDIANA | | KANSAS | | KENTUCKY | | LOUISIANA | | MARYLAND | | MASSACHUSETTS | | MINNESOTA | | MISSISSIPPI | | NEW JERSEY | | NEW MEXICO | | NEW YORK | | NORTH CAROLINA | | OHIO | | OKLAHOMA | | OREGON | | PENNSYLVANIA | | SOUTH CAROLINA | | TEXAS | | UTAH | | VIRGINIA | | WASHINGTON | | WEST VIRGINIA | | WYOMING |
|
| Recipient | | Recipient CRD Number | | None |
|
| Hilltop Securities Inc | 6220 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 1201 Elm Street | Suite 3500 |
| City | State/Province/Country | ZIP/Postal Code |
| Dallas | TEXAS | 75270 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| J.P. Morgan Securities LLC | 79 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 383 Madison Avenue |
| City | State/Province/Country | ZIP/Postal Code |
| New York | NEW YORK | 10179 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| McDonald Partners LLC | 135414 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 1301 East 9th Street | Suite 3700 |
| City | State/Province/Country | ZIP/Postal Code |
| Cleveland | OHIO | 44114 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| Prospera Financial Services Inc | 10740 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 5429 LBJ Freeway | Suite 400 |
| City | State/Province/Country | ZIP/Postal Code |
| Dallas | TEXAS | 75240 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| Snowden Account Services LLC | 149794 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 540 Madison Avenue | 9th Floor |
| City | State/Province/Country | ZIP/Postal Code |
| New York | NEW YORK | 10022 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| Lincoln Financial Securities Corporation | 3870 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 1300 South Clinton Street |
| City | State/Province/Country | ZIP/Postal Code |
| Fort Wayne | INDIANA | 46802 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
| Recipient | | Recipient CRD Number | | None |
|
| Nations Financial Group Inc | 44181 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 4000 River Ridge Dr NE |
| City | State/Province/Country | ZIP/Postal Code |
| Cedar Rapids | IOWA | 52402 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States | X | All States |
| |
|
13. Offering and Sales Amounts
| Total Offering Amount | | USD | |
| Total Amount Sold | $2,288,472,426 | USD |
| Total Remaining to be Sold | | 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 | $105,754,345 | 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):
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 |
|---|
| CAMPBELL FUND TRUST | Thomas P. Lloyd | Thomas P. Lloyd | Chief Compliance Officer of CCLP | 2020-05-20 |
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.
