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 | | Expires: | August 31, 2015 | | Estimated average burden | | hours per response: | 4.00 |
|
|
1. Issuer's Identity
| CIK (Filer ID Number) | Previous Names | | Entity Type |
|---|
| 0001871300 | | | Corporation | | Limited Partnership | | Limited Liability Company | | General Partnership | | Business Trust | | X | Other (Specify) |
|
| Name of Issuer |
|---|
| Northeast Multifamily DST |
| Jurisdiction of Incorporation/Organization |
|---|
| DELAWARE |
| Year of Incorporation/Organization |
|---|
| Over Five Years Ago | | X | Within Last Five Years (Specify Year) | 2021 | | Yet to Be Formed |
|
2. Principal Place of Business and Contact Information
| Name of Issuer |
|---|
| Northeast Multifamily DST |
| Street Address 1 | Street Address 2 |
|---|
| C/O INLAND PRIVATE CAPITAL CORPORATION | 2901 BUTTERFIELD ROAD |
| City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
|---|
| OAK BROOK | ILLINOIS | 60523 | (630) 218-8000 |
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 |
|---|
| Northeast Multifamily 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 |
|---|
| Northeast Multifamily, 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
| Last Name | First Name | Middle Name |
|---|
| Lampi | Keith | D. |
| 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):
President of the sole member of the Signatory Trustee of the Issuer
4. Industry Group
| | Agriculture | | Banking & Financial Services | | | | Commercial Banking | | | Insurance | | | Investing | | | Investment Banking | | | Pooled Investment Fund | | | | Hedge Fund | | | Private Equity Fund | | | Venture Capital Fund | | | 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 |
| 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)) | |
| 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) |
| |
|
|
|
| Rule 504 (b)(1)(i) |
|
| Rule 504 (b)(1)(ii) |
|
| Rule 504 (b)(1)(iii) |
|
| Rule 505 |
| X | Rule 506(b) |
|
| Rule 506(c) |
|
| Securities Act Section 4(a)(5) |
|
| |
7. Type of Filing
|
| New Notice | | Date of First Sale | 2021-07-20 | |
| 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 |
| 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 |
|
| Avantax Investment Services, Inc. | 13686 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 3200 Olympus Boulevard | Suite 100 |
| City | State/Province/Country | ZIP/Postal Code |
| Dallas | TEXAS | 75019 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| DAI Securities LLC | 36673 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 2200 Century Parkway NE | Suite 435 |
| City | State/Province/Country | ZIP/Postal Code |
| Atlanta | GEORGIA | 30345 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Kalos Capital, Inc. | 44337 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 11525 Park Woods Circle | Suite 280 |
| City | State/Province/Country | ZIP/Postal Code |
| Alpharetta | GEORGIA | 30005 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| 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 |
|---|
| 80 State Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Albany | NEW YORK | 12207 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Whitehall-Parker Securities, Inc. | 10608 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 117 Paul Drive | Suite B |
| City | State/Province/Country | ZIP/Postal Code |
| San Rafael | CALIFORNIA | 94903 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| 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 |
|---|
| 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 |
| |
|
| 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 |
|---|
| 1301 South Harrison 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
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Centaurus Financial, Inc. | 30833 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 2300 E. Katella Avenue | Suite 200 |
| City | State/Province/Country | ZIP/Postal Code |
| Anaheim | CALIFORNIA | 92806 |
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 | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 20 E. Thomas Road | Suite 2000 |
| City | State/Province/Country | ZIP/Postal Code |
| Phoenix | ARIZONA | 85012 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Western International Securities, Inc. | 39262 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 70 S. Lake Avenue | Suite 700 |
| 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 |
|
| Ameritas Investment Company, LLC | 14869 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 5900 "O" Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Lincoln | NEBRASKA | 68510 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Cetera Advisor Networks LLC | 13572 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 200 N. Pacific Coast Highway | Suite 1300 |
| City | State/Province/Country | ZIP/Postal Code |
| El Segundo | CALIFORNIA | 90245 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| 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 | 62102 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Capulent LLC | 155155 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 4144 N. 44th Street | Suite 3 |
| 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 |
|
| 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
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Woodbury Financial Services, Inc. | 421 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| 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 |
|
| 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 |
|---|
| 1301 South Harrison 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
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Triad Advisors LLC | 25803 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 5155 Peachtree Parkway | Suite 3220 |
| City | State/Province/Country | ZIP/Postal Code |
| Norcross | GEORGIA | 30092 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Crown Capital Securities, L.P. | 6312 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 725 Town & Country Road | Suite 530 |
| City | State/Province/Country | ZIP/Postal Code |
| Orange | CALIFORNIA | 92868 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Arkadios Capital | 282710 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 309 East Paces Ferry Road | Suite 1000 |
| City | State/Province/Country | ZIP/Postal Code |
| Atlanta | GEORGIA | 30305 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Independence Capital Co., Inc. | 24723 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 5579 Pearl Road | Suite 100 |
| City | State/Province/Country | ZIP/Postal Code |
| Parma | OHIO | 44129 |
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 | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 188 Inverness Drive West | Suite 100 |
| 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 |
| |
|
| 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 |
|---|
| 10 Exchange Place | Suite 1410 |
| 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 |
|
| Independent Financial Group, LLC | 7717 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 12671 High Bluff Drive | Suite 200 |
| 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 |
|
| National Securities Corporation | 7569 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 5000 T-Rex Avenue | Suite 300 |
| City | State/Province/Country | ZIP/Postal Code |
| Boca Raton | FLORIDA | 33431 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| 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
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Concourse Financial Group Securities, Inc. | 15708 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 2801 Highway 280 South | |
| City | State/Province/Country | ZIP/Postal Code |
| Birmingham | ALABAMA | 35223 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Wintrust Investments LLC | 875 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 231 South LaSalle Street | 13th 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 |
| |
|
| 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 |
|---|
| 400 First Street South | Suite 300 |
| City | State/Province/Country | ZIP/Postal Code |
| Saint Cloud | MINNESOTA | 56301 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| American Trust Investment Services, Inc. | 3001 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 1244 119th Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Whiting | INDIANA | 46394 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| 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
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Cabot Lodge Securities LLC | 159712 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 200 Vesey Street | 24th 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 |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Kovack Securities Inc. | 44848 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 6451 N. Federal Highway | Suite 1201 |
| City | State/Province/Country | ZIP/Postal Code |
| Fort Lauderdale | FLORIDA | 33308 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| NexTrend Securities, Inc. | 43710 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| P.O. Box 12108 | |
| City | State/Province/Country | ZIP/Postal Code |
| Austin | TEXAS | 78711 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| DFPG Investments, LLC | 155576 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| 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 |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Cape Securities Inc. | 7072 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 1600 Pennsylvania Avenue | |
| City | State/Province/Country | ZIP/Postal Code |
| McDonough | GEORGIA | 30253 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Metropolitan Capital Investment Banc, Inc. | 148820 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 9 East Ontario Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Chicago | ILLINOIS | 60611 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Cetera Investment Services LLC | 15340 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 400 First Street | Suite 300 |
| City | State/Province/Country | ZIP/Postal Code |
| St. Cloud | MINNESOTA | 56302 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Thornhill Securities, Inc. | 22333 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 400 W. 15th Street | Suite 700 |
| 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 |
| |
|
13. Offering and Sales Amounts
| Total Offering Amount | $67,623,066 | USD | |
| Total Amount Sold | $60,455,950 | USD |
| Total Remaining to be Sold | $7,167,116 | USD | |
Clarification of Response (if Necessary):
Regarding Item 11, the Issuer may accept smaller investments in the Sponsor's sole discretion.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 | $6,018,453 | USD | |
| Finders' Fees | $0 | USD | |
Clarification of Response (if Necessary):
Sales Commissions include estimates of the maximum amount of Selling Commissions, Dealer Fees and Placement Agent Fees that may be paid.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):
Item 16 is an estimate of acquisition fees, reimbursements for certain acquisition and financing costs, 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 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 Rule 505
exemption, the issuer is not disqualified
from relying on Rule 505 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 |
|---|
| Northeast Multifamily DST | /s/ Keith D. Lampi | Keith D. Lampi | President/COO of sole member of Signatory Trustee of Issuer | 2021-12-01 |
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.