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 |
|---|
| 0002007564 | | | Corporation | | X | Limited Partnership | | Limited Liability Company | | General Partnership | | Business Trust | | Other (Specify) |
|
| Name of Issuer |
|---|
| Griffin Capital Qualified Opportunity Zone Fund IV, L.P. |
| Jurisdiction of Incorporation/Organization |
|---|
| DELAWARE |
| Year of Incorporation/Organization |
|---|
| Over Five Years Ago | | X | Within Last Five Years (Specify Year) | 2023 | | Yet to Be Formed |
|
2. Principal Place of Business and Contact Information
| Name of Issuer |
|---|
| Griffin Capital Qualified Opportunity Zone Fund IV, L.P. |
| Street Address 1 | Street Address 2 |
|---|
| GRIFFIN CAPITAL PLAZA | 266 KANSAS STREET |
| City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
|---|
| EL SEGUNDO | CALIFORNIA | 90245 | (310) 469-6100 |
3. Related Persons
| Last Name | First Name | Middle Name |
|---|
| Shields | Kevin | A. |
| Street Address 1 | Street Address 2 |
|---|
| Griffin Capital Plaza | 266 Kansas Street |
| City | State/Province/Country | ZIP/PostalCode |
|---|
| El Segundo | CALIFORNIA | 90245 |
| Relationship: | X | Executive Officer | | Director | | Promoter |
|---|
Clarification of Response (if Necessary):
Co-Chief Executive Officer of the General Partner of the Issuer
| Last Name | First Name | Middle Name |
|---|
| Griffin Capital Company, LLC | N/A | |
| Street Address 1 | Street Address 2 |
|---|
| Griffin Capital Plaza | 266 Kansas Street |
| City | State/Province/Country | ZIP/PostalCode |
|---|
| El Segundo | CALIFORNIA | 90245 |
| Relationship: | X | Executive Officer | | Director | | Promoter |
|---|
Clarification of Response (if Necessary):
Sponsor of the Issuer
| Last Name | First Name | Middle Name |
|---|
| Griffin Capital QOZ IV, LLC | N/A | |
| Street Address 1 | Street Address 2 |
|---|
| Griffin Capital Plaza | 266 Kansas Street |
| City | State/Province/Country | ZIP/PostalCode |
|---|
| El Segundo | CALIFORNIA | 90245 |
| Relationship: | X | Executive Officer | | Director | | Promoter |
|---|
Clarification of Response (if Necessary):
General Partner 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)) | | X | 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) |
| | X | 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 | 2024-02-16 | |
| 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 | 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 | $150,000 | USD |
12. Sales Compensation
| 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 |
|
| Scott Aitken | 5956581 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Cetera Advisors LLC | 10299 |
| Street Address 1 | Street Address 2 |
|---|
| 950 West Elliot Road | Suite 126 |
| City | State/Province/Country | ZIP/Postal Code |
| Tempe | ARIZONA | 85264 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Lawrence Bell | 2227247 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Purshe Kaplan Sterling Investments | 35747 |
| Street Address 1 | Street Address 2 |
|---|
| 4 Campus Drive | |
| 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 |
|
| Robert Armstrong, Jr. | 2256775 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Purshe Kaplan Sterling Investments | 35747 |
| Street Address 1 | Street Address 2 |
|---|
| 4 Campus Drive | |
| 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 |
|
| Craig Bartlett | 2653083 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Osaic FA, Inc. | 3978 |
| Street Address 1 | Street Address 2 |
|---|
| 61 South Paramus Road | Suite 425 |
| City | State/Province/Country | ZIP/Postal Code |
| Paramus | NEW JERSEY | 07652 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Shafiq Jadavij | 6274665 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Cetera Advisor Networks LLC | 13572 |
| Street Address 1 | Street Address 2 |
|---|
| 6425 Powers Ferry Road | Suite 290 |
| City | State/Province/Country | ZIP/Postal Code |
| Atlanta | GEORGIA | 30339 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| 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 |
|
| MML Investors Services, LLC | 10409 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 1295 State Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Springfield | MASSACHUSETTS | 01111 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Trevor Wilde | 4238789 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Cetera Advisors LLC | 10299 |
| Street Address 1 | Street Address 2 |
|---|
| 7025 North Scottsdale Road | Suite 115 & 110 |
| City | State/Province/Country | ZIP/Postal Code |
| Scottsdale | ARIZONA | 85253 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Ataul Azad | 6693659 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Saxony Securities, Inc. | 115547 |
| Street Address 1 | Street Address 2 |
|---|
| 4512 Legacy Drive | Suite 100 |
| City | State/Province/Country | ZIP/Postal Code |
| Plano | TEXAS | 75024 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Gregg Hartmann | 2261157 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Cetera Investment Services LLC | 15340 |
| Street Address 1 | Street Address 2 |
|---|
| 5299 DTC Boulevard | Suite 800 |
| City | State/Province/Country | ZIP/Postal Code |
| Greenwood Village | COLORADO | 80111 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Andrew Baker Woolworth, Jr. | 4407177 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Stifel, Nicolaus & Company, Incorporated | 793 |
| Street Address 1 | Street Address 2 |
|---|
| 1095 Avenue of the Americas | 3rd & 4th Floors |
| 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
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Jason Weaver | 2809696 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Purshe Kaplan Sterling Investments | 35747 |
| Street Address 1 | Street Address 2 |
|---|
| 101 Main Street | Suite 220 |
| City | State/Province/Country | ZIP/Postal Code |
| Huntington Beach | CALIFORNIA | 92648 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Joseph Polanski, Jr. | 1099754 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Cetera Advisor Networks LLC | 13572 |
| Street Address 1 | Street Address 2 |
|---|
| 2301 Rosecrans Avenue | #5100 |
| 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 |
|
| Blake Furgerson | 6055795 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Stifel, Nicolaus & Company, Incorporated | 793 |
| Street Address 1 | Street Address 2 |
|---|
| 300 Throckmorton Street | Suite 1400 |
| City | State/Province/Country | ZIP/Postal Code |
| Fort Worth | TEXAS | 76102 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Mark Sherin | 1291532 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Osaic FA, Inc. | 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 |
|
| Matthew Chancey | 5645874 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Realta Equities, Inc. | 23769 |
| Street Address 1 | Street Address 2 |
|---|
| 12636 High Bluff Drive | Suite 300 |
| 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 |
|
| Robert Decker | 2946765 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Stifel, Nicolaus & Company, Incorporated | 793 |
| Street Address 1 | Street Address 2 |
|---|
| 200 NIBCO Parkway | Suite 300 |
| City | State/Province/Country | ZIP/Postal Code |
| Elkhart | INDIANA | 46516 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Daniel Randall | 2140188 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Osaic FS, Inc. | 3870 |
| Street Address 1 | Street Address 2 |
|---|
| 900 Ridgefield Drive | Suite 130 |
| City | State/Province/Country | ZIP/Postal Code |
| Raleigh | NORTH CAROLINA | 27609 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Melvin Gross | 230866 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Osaic FS, Inc. | 3870 |
| Street Address 1 | Street Address 2 |
|---|
| 4848 Loop Central Drive | Suite 1005 |
| City | State/Province/Country | ZIP/Postal Code |
| Houston | TEXAS | 77081 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Robin Edgar | 2017918 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Concorde Investment Services, LLC | 151604 |
| Street Address 1 | Street Address 2 |
|---|
| 5775 Wayzata Boulevard | Suite 700 |
| City | State/Province/Country | ZIP/Postal Code |
| St. Louis | MINNESOTA | 55416 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| 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 |
|
| 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 |
|
| John Litscher | 4215341 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Osaic Wealth, Inc. | 23131 |
| Street Address 1 | Street Address 2 |
|---|
| 406 Science Drive | Suite 310 |
| City | State/Province/Country | ZIP/Postal Code |
| Madison | WISCONSIN | 53711 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Kalvin Sid | 4748194 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Next Financial Group, Inc. | 46214 |
| Street Address 1 | Street Address 2 |
|---|
| 1710 S. Amphlett Boulevard | Suite 128 |
| City | State/Province/Country | ZIP/Postal Code |
| San Mateo | CALIFORNIA | 94402 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Trawnegan Gall | 6266415 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| WealthForge Securities, LLC | 152550 |
| Street Address 1 | Street Address 2 |
|---|
| 3015 West Moore Street | Suite 102 |
| City | State/Province/Country | ZIP/Postal Code |
| Richmond | VIRGINIA | 23230 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Christopher Hasling | 4885779 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Cetera Advisor Networks LLC | 13572 |
| Street Address 1 | Street Address 2 |
|---|
| 901 Marquette Avenue | Suite 2800 |
| 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
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Alvin Spencer | 2399550 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Stifel, Nicolaus & Company, Incorporated | 793 |
| Street Address 1 | Street Address 2 |
|---|
| One Northwestern Plaza | 28411 Northwestern Highway |
| City | State/Province/Country | ZIP/Postal Code |
| Southfield | MICHIGAN | 48034 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Jack Michaletz | 5773608 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| DAI Securities, LLC | 36673 |
| Street Address 1 | Street Address 2 |
|---|
| 150 St. Andrews Court | Suite 210 |
| 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 |
|
| Salvadore Salvo | 409637 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Purshe Kaplan Sterling Investments | 35747 |
| Street Address 1 | Street Address 2 |
|---|
| 4 Campus Drive | |
| 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 |
|
| Mark Herding | 2239357 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Harbour Investments, Inc. | 19258 |
| Street Address 1 | Street Address 2 |
|---|
| 4648 North 32nd Street | |
| 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 |
|
| Lisa Grimes | 2017656 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Sanctuary Securities, Inc. | 205 |
| Street Address 1 | Street Address 2 |
|---|
| 9340 Priority Way West | |
| City | State/Province/Country | ZIP/Postal Code |
| Indianapolis | INDIANA | 46240 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Calton & Associates, Inc. | 20999 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 2701 North Rocky Point Drive | Suite 1000 |
| City | State/Province/Country | ZIP/Postal Code |
| Tampa | FLORIDA | 33607 |
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 | $500,000,000 | USD | |
| Total Amount Sold | $305,027,147 | USD |
| Total Remaining to be Sold | $194,972,853 | USD | |
Clarification of Response (if Necessary):
Regarding Item 11, the Issuer may accept smaller investments in the Issuer'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 | $32,500,000 | 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 |
|---|
| Griffin Capital Qualified Opportunity Zone Fund IV, L.P. | /s/Daniel Snell | Daniel Snell | Chief Financial Officer/Treasurer of the GP of the Issuer | 2025-08-15 |
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.