The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. The reader should not assume that the information is accurate and complete. |
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM D
Notice of Exempt Offering of Securities
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OMB APPROVAL |
OMB Number: |
3235-0076 |
Estimated average burden |
hours per response: |
4.00 |
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1. Issuer's Identity
CIK (Filer ID Number) |
Previous Names |
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Entity Type |
0001771099 |
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Corporation |
X |
Limited Partnership |
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Limited Liability Company |
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General Partnership |
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Business Trust |
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Other (Specify) |
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Name of Issuer |
MDS 2019-Marcellus Shale Development, LP |
Jurisdiction of Incorporation/Organization |
DELAWARE |
Year of Incorporation/Organization |
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Over Five Years Ago |
X |
Within Last Five Years (Specify Year) |
2017 |
|
Yet to Be Formed |
|
2. Principal Place of Business and Contact Information
Name of Issuer |
MDS 2019-Marcellus Shale Development, LP |
Street Address 1 |
Street Address 2 |
603 STANWIX ST., TWO GATEWAY CENTER |
UNIT 1750 |
City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
PITTSBURGH |
PENNSYLVANIA |
15222 |
7249198703 |
3. Related Persons
Last Name |
First Name |
Middle Name |
MDS Energy Development, LLC |
- |
Street Address 1 |
Street Address 2 |
603 Stanwix Street, Unit 1750 |
Two Gateway Center |
City |
State/Province/Country |
ZIP/PostalCode |
Pittsburgh |
PENNSYLVANIA |
15222 |
Relationship: |
X |
Executive Officer |
X |
Director |
X |
Promoter |
Clarification of Response (if Necessary):
Managing General Partner of the Issuer.
Last Name |
First Name |
Middle Name |
Snyder |
Michael |
D. |
Street Address 1 |
Street Address 2 |
603 Stanwix Street, Unit 1750 |
Two Gateway Center |
City |
State/Province/Country |
ZIP/PostalCode |
Pittsburgh |
PENNSYLVANIA |
15222 |
Relationship: |
X |
Executive Officer |
X |
Director |
X |
Promoter |
Clarification of Response (if Necessary):
President of the Managing General Partner.
Last Name |
First Name |
Middle Name |
Morris, Jr. |
Randall |
L. |
Street Address 1 |
Street Address 2 |
603 Stanwix Street, Unit 1750 |
Two Gateway Center |
City |
State/Province/Country |
ZIP/PostalCode |
Pittsburgh |
PENNSYLVANIA |
15222 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
COO of the Managing General Partner.
Last Name |
First Name |
Middle Name |
Knapp |
Michael |
S. |
Street Address 1 |
Street Address 2 |
603 Stanwix Street, Unit 1750 |
Two Gateway Center |
City |
State/Province/Country |
ZIP/PostalCode |
Pittsburgh |
PENNSYLVANIA |
15222 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
President of the Managing General Partner.
Last Name |
First Name |
Middle Name |
Knapp |
Jason |
C. |
Street Address 1 |
Street Address 2 |
603 Stanwix Street, Unit 1750 |
Two Gateway Center |
City |
State/Province/Country |
ZIP/PostalCode |
Pittsburgh |
PENNSYLVANIA |
15222 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Executive VP of Finance and Secretary of the Managing General Partner.
Last Name |
First Name |
Middle Name |
Soemantoro |
Woody |
Street Address 1 |
Street Address 2 |
603 Stanwix Street, Unit 1750 |
Two Gateway Center |
City |
State/Province/Country |
ZIP/PostalCode |
Pittsburgh |
PENNSYLVANIA |
15222 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Executive VP of National Accounts and Due Diligence of the Managing General Partner.
Last Name |
First Name |
Middle Name |
Avi |
Zachary |
J. |
Street Address 1 |
Street Address 2 |
603 Stanwix Street, Unit 1750 |
Two Gateway Center |
City |
State/Province/Country |
ZIP/PostalCode |
Pittsburgh |
PENNSYLVANIA |
15222 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Executive VP of Investments of the Managing General Partner.
Last Name |
First Name |
Middle Name |
Hollander |
Jack |
Street Address 1 |
Street Address 2 |
603 Stanwix Street, Unit 1750 |
Two Gateway Center |
City |
State/Province/Country |
ZIP/PostalCode |
Pittsburgh |
PENNSYLVANIA |
15222 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Executive Vice President of Capital Formation of the Managing General Partner.
Last Name |
First Name |
Middle Name |
Saadeh |
Richard |
Street Address 1 |
Street Address 2 |
603 Stanwix Street, Unit 1750 |
Two Gateway Center |
City |
State/Province/Country |
ZIP/PostalCode |
Pittsburgh |
PENNSYLVANIA |
15222 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Executive Vice President of Development of the Managing General Partner.
4. Industry Group
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Agriculture |
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Banking & Financial Services |
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Commercial Banking |
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Insurance |
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Investing |
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Investment Banking |
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Pooled Investment Fund |
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Is the issuer registered as an investment company under the Investment Company Act of 1940? |
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Other Banking & Financial Services |
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Business Services |
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Energy |
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Health Care |
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Manufacturing |
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Real Estate |
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Retailing |
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Restaurants |
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Technology |
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Travel |
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Tourism & Travel Services |
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Other |
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5. Issuer Size
Revenue Range |
OR |
Aggregate Net Asset Value Range |
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No Revenues |
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No Aggregate Net Asset Value |
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$1 - $1,000,000 |
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$1 - $5,000,000 |
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$1,000,001 - $5,000,000 |
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$5,000,001 - $25,000,000 |
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$5,000,001 - $25,000,000 |
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$25,000,001 - $50,000,000 |
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$25,000,001 - $100,000,000 |
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$50,000,001 - $100,000,000 |
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Over $100,000,000 |
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Over $100,000,000 |
X |
Decline to Disclose |
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Decline to Disclose |
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Not Applicable |
|
Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
| |
Rule 504(b)(1) (not (i), (ii) or (iii)) |
| |
Rule 504 (b)(1)(i) |
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Rule 504 (b)(1)(ii) |
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Rule 504 (b)(1)(iii) |
| X |
Rule 506(b) |
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Rule 506(c) |
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Securities Act Section 4(a)(5) |
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Investment Company Act Section 3(c) |
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Section 3(c)(1) |
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Section 3(c)(9) |
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Section 3(c)(2) |
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Section 3(c)(10) |
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Section 3(c)(3) |
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Section 3(c)(11) |
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Section 3(c)(4) |
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Section 3(c)(12) |
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Section 3(c)(5) |
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Section 3(c)(13) |
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Section 3(c)(6) |
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Section 3(c)(14) |
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7. Type of Filing
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New Notice |
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Date of First Sale |
2019-06-17 |
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First Sale Yet to Occur |
X |
Amendment |
8. Duration of Offering
Does the Issuer intend this offering to last more than one year? |
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9. Type(s) of Securities Offered (select all that apply)
X |
Equity |
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Pooled Investment Fund Interests |
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Debt |
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Tenant-in-Common Securities |
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Option, Warrant or Other Right to Acquire Another Security |
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Mineral Property Securities |
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Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security |
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Other (describe) |
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10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
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Clarification of Response (if Necessary):
11. Minimum Investment
Minimum investment accepted from any outside investor |
$20,000
|
USD |
12. Sales Compensation
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 |
1115 W Fulton Market |
3rd Floor |
City |
State/Province/Country |
ZIP/Postal Code |
Chicago |
ILLINOIS |
60607 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ALASKA |
ARIZONA |
ARKANSAS |
CALIFORNIA |
DISTRICT OF COLUMBIA |
FLORIDA |
GEORGIA |
IDAHO |
ILLINOIS |
INDIANA |
IOWA |
KANSAS |
MARYLAND |
MICHIGAN |
MISSISSIPPI |
MISSOURI |
NEBRASKA |
NEVADA |
NEW JERSEY |
NEW YORK |
NORTH CAROLINA |
OHIO |
OREGON |
PENNSYLVANIA |
PUERTO RICO |
SOUTH DAKOTA |
TENNESSEE |
TEXAS |
UTAH |
VIRGINIA |
WASHINGTON |
WISCONSIN |
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Recipient |
Recipient CRD Number |
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None |
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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 |
5187 Utica Ridge Road |
City |
State/Province/Country |
ZIP/Postal Code |
Davenport |
IOWA |
52807 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
CALIFORNIA |
COLORADO |
FLORIDA |
GEORGIA |
ILLINOIS |
MINNESOTA |
MISSISSIPPI |
MISSOURI |
MONTANA |
OREGON |
TEXAS |
WASHINGTON |
WISCONSIN |
|
Recipient |
Recipient CRD Number |
|
None |
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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 |
4201 42nd Street NE |
Suite 100 |
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 |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Cabot Lodge Securities LLC |
159712 |
(Associated) Broker or Dealer |
X |
None |
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(Associated) Broker or Dealer CRD Number |
X |
None |
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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 |
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CALIFORNIA |
FLORIDA |
MINNESOTA |
NEVADA |
NEW YORK |
OHIO |
VIRGINIA |
WISCONSIN |
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Recipient |
Recipient CRD Number |
|
None |
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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 |
52556-8757 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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ALABAMA |
COLORADO |
CONNECTICUT |
FLORIDA |
GEORGIA |
ILLINOIS |
LOUISIANA |
MARYLAND |
MASSACHUSETTS |
MICHIGAN |
MINNESOTA |
NORTH CAROLINA |
OHIO |
PENNSYLVANIA |
SOUTH CAROLINA |
TENNESSEE |
TEXAS |
VIRGINIA |
WEST VIRGINIA |
WISCONSIN |
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Recipient |
Recipient CRD Number |
|
None |
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KCD Financial, Inc, |
127473 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
3061 Allied Street |
Suite B |
City |
State/Province/Country |
ZIP/Postal Code |
Green Bay |
WISCONSIN |
54304 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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ARIZONA |
COLORADO |
ILLINOIS |
IOWA |
MINNESOTA |
TEXAS |
WASHINGTON |
WISCONSIN |
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Recipient |
Recipient CRD Number |
|
None |
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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 |
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CALIFORNIA |
MISSOURI |
NEW YORK |
OHIO |
TEXAS |
VIRGINIA |
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Recipient |
Recipient CRD Number |
|
None |
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Newbridge Securities Corporation |
104065 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
1200 North Federal Highway |
Suite 400 |
City |
State/Province/Country |
ZIP/Postal Code |
Boca Raton |
FLORIDA |
33432 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
CALIFORNIA |
FLORIDA |
ILLINOIS |
INDIANA |
MASSACHUSETTS |
MICHIGAN |
NEW JERSEY |
NEW YORK |
TEXAS |
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Recipient |
Recipient CRD Number |
|
None |
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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 Blvd. |
City |
State/Province/Country |
ZIP/Postal Code |
La Vista |
NEBRASKA |
68128 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
CALIFORNIA |
KANSAS |
MISSOURI |
SOUTH CAROLINA |
TEXAS |
UTAH |
|
Recipient |
Recipient CRD Number |
|
None |
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Triad Advisors LLC |
25803 |
(Associated) Broker or Dealer |
X |
None |
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(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 |
|
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CALIFORNIA |
CONNECTICUT |
FLORIDA |
GEORGIA |
INDIANA |
KANSAS |
MARYLAND |
MICHIGAN |
MINNESOTA |
NEW JERSEY |
NEW YORK |
NORTH CAROLINA |
OHIO |
PENNSYLVANIA |
RHODE ISLAND |
SOUTH CAROLINA |
TEXAS |
WISCONSIN |
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Recipient |
Recipient CRD Number |
|
None |
|
Voya Financial Advisors, Inc. |
2882 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
699 Walnut Street |
Suite 1000 |
City |
State/Province/Country |
ZIP/Postal Code |
Des Moines |
IOWA |
50309 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARKANSAS |
CALIFORNIA |
FLORIDA |
GEORGIA |
HAWAII |
ILLINOIS |
IOWA |
MASSACHUSETTS |
MICHIGAN |
MINNESOTA |
MISSOURI |
NEVADA |
NORTH CAROLINA |
OHIO |
PENNSYLVANIA |
SOUTH CAROLINA |
TENNESSEE |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Jeffrey Dean Lewis |
1744218 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Advisory Group Equity Services Ltd. |
15427 |
Street Address 1 |
Street Address 2 |
10-12 Phoenix Row |
Suite 3 |
City |
State/Province/Country |
ZIP/Postal Code |
Haverhill |
MASSACHUSETTS |
01832 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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Recipient |
Recipient CRD Number |
|
None |
|
Jason Corey Griggs |
4795395 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Arkadios Capital |
282710 |
Street Address 1 |
Street Address 2 |
10739 Deerwood Park Blvd. |
#105 |
City |
State/Province/Country |
ZIP/Postal Code |
Jacksonville |
FLORIDA |
32256 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
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Recipient |
Recipient CRD Number |
|
None |
|
Michael Joseph Sievert |
2127441 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Arkadios Capital |
282710 |
Street Address 1 |
Street Address 2 |
10739 Deerwood Park Blvd. |
#105 |
City |
State/Province/Country |
ZIP/Postal Code |
Jacksonville |
FLORIDA |
32256 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Stanley Lewendoski |
4476450 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Arkadios Capital |
282710 |
Street Address 1 |
Street Address 2 |
10739 Deerwood Park Blvd. |
#105 |
City |
State/Province/Country |
ZIP/Postal Code |
Jacksonville |
FLORIDA |
32256 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Thomas Arthur Karsten |
2305465 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
BD4RIA, Inc. |
290240 |
Street Address 1 |
Street Address 2 |
3520 West Vickery Blvd. |
City |
State/Province/Country |
ZIP/Postal Code |
Fort Worth |
TEXAS |
76107 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
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Recipient |
Recipient CRD Number |
|
None |
|
Brian James McCafferty |
704729 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Chalice Capital Partners, LLC |
288898 |
Street Address 1 |
Street Address 2 |
26 South 2nd Street |
#203 |
City |
State/Province/Country |
ZIP/Postal Code |
Clearfield |
PENNSYLVANIA |
16830 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Morris Gordon Nutt |
2891940 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Chalice Capital Partners, LLC |
288898 |
Street Address 1 |
Street Address 2 |
1730 S. Germantown Road |
Suite 224 |
City |
State/Province/Country |
ZIP/Postal Code |
Germantown |
TENNESSEE |
38138 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Bennett Knapp Ely |
721298 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Calton & Associates, Inc. |
20999 |
Street Address 1 |
Street Address 2 |
2709 Jordan Grove |
City |
State/Province/Country |
ZIP/Postal Code |
West Des Moines |
IOWA |
50265-6465 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Amy L. Joslin |
6102549 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Center Street Securities, Inc. |
26898 |
Street Address 1 |
Street Address 2 |
5940 S. Rainbow Blvd. |
City |
State/Province/Country |
ZIP/Postal Code |
Las Vegas |
NEVADA |
89118 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Andrew John Dinkelmeyer |
5597768 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Center Street Securities, Inc. |
26898 |
Street Address 1 |
Street Address 2 |
10 Serna |
City |
State/Province/Country |
ZIP/Postal Code |
Rancho Santa Margarita |
CALIFORNIA |
92688 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
NORTH DAKOTA |
SOUTH DAKOTA |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Thomas Patrick Smith |
429070 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Center Street Securities, Inc. |
26898 |
Street Address 1 |
Street Address 2 |
546 Silicon Drive |
Suite 103 |
City |
State/Province/Country |
ZIP/Postal Code |
Southlake |
TEXAS |
76092 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Vincent Keith Annable |
1033573 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Center Street Securities, Inc. |
26898 |
Street Address 1 |
Street Address 2 |
14354 N. Frank Lloyd Wright Blvd. |
Suite 11 |
City |
State/Province/Country |
ZIP/Postal Code |
Scottsdale |
ARIZONA |
85260 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
CALIFORNIA |
NORTH DAKOTA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Wayburn Allen Costellow |
2169678 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Center Street Securities, Inc. |
26898 |
Street Address 1 |
Street Address 2 |
730 Fairview Avenue |
Suite B5 |
City |
State/Province/Country |
ZIP/Postal Code |
Bowling Green |
KENTUCKY |
42101 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
David Paul Rottschafer |
2410589 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Cetera Advisors LLC |
10299 |
Street Address 1 |
Street Address 2 |
271 Highway 74 N. |
Suite 4 |
City |
State/Province/Country |
ZIP/Postal Code |
Peachtree City |
GEORGIA |
30269 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Javier Alejandro Vallejo |
4698101 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Cetera Advisors LLC |
10299 |
Street Address 1 |
Street Address 2 |
4340 Von Karman |
Suite 200 |
City |
State/Province/Country |
ZIP/Postal Code |
Newport Beach |
CALIFORNIA |
92660 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Mitch Ira Silberman |
2414904 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Cetera Advisor Networks LLC |
13572 |
Street Address 1 |
Street Address 2 |
5743 Corsa Avenue |
Suite 210 |
City |
State/Province/Country |
ZIP/Postal Code |
Westlake Village |
CALIFORNIA |
91362 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Randall Lewis Cooper |
2262624 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Cetera Financial Specialists LLC |
10358 |
Street Address 1 |
Street Address 2 |
870 High Street |
Suite 1 |
City |
State/Province/Country |
ZIP/Postal Code |
Chestertown |
MARYLAND |
21620 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Michele Ann Pasquale |
3214037 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Chapin, Davis |
28116 |
Street Address 1 |
Street Address 2 |
1411 Clarkview Road |
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 |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Arthur Richard Eglington Jr. |
1932848 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Coastal Equities, Inc. |
23769 |
Street Address 1 |
Street Address 2 |
656 East Swedesford Road |
Suite 301 |
City |
State/Province/Country |
ZIP/Postal Code |
Wayne |
PENNSYLVANIA |
19087 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Bobby Kyle Cowand |
2317710 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Coastal Equities, Inc. |
23769 |
Street Address 1 |
Street Address 2 |
12304 Alcanza Drive |
City |
State/Province/Country |
ZIP/Postal Code |
Austin |
TEXAS |
78739 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
James Franklin Shenk |
2876098 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Coastal Equities, Inc. |
23769 |
Street Address 1 |
Street Address 2 |
3032 Seven Valleys Road |
City |
State/Province/Country |
ZIP/Postal Code |
Glen Rock |
PENNSYLVANIA |
17327 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Kevin Todd Canterbury |
4939385 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Coastal Equities, Inc. |
23769 |
Street Address 1 |
Street Address 2 |
7231 E. Princess Blvd. |
Suite 201 |
City |
State/Province/Country |
ZIP/Postal Code |
Scottsdale |
ARIZONA |
85255 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
James Randall McCurry |
6705995 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Dempsey Lord Smith, LLC |
141238 |
Street Address 1 |
Street Address 2 |
901 N. Broad Street |
Suite 400 |
City |
State/Province/Country |
ZIP/Postal Code |
Rome |
GEORGIA |
30161 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Matthew Mitchell Chancey |
5645874 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Dempsey Lord Smith, LLC |
141238 |
Street Address 1 |
Street Address 2 |
276 Curtis Parkway NE |
City |
State/Province/Country |
ZIP/Postal Code |
Calhoun |
GEORGIA |
30701 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Michael Gregory Culwell |
5989109 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Emerson Equity LLC |
130032 |
Street Address 1 |
Street Address 2 |
9940 Research Drive |
City |
State/Province/Country |
ZIP/Postal Code |
Irvine |
CALIFORNIA |
92618 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Sudhir G. Pai |
5928622 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Emerson Equity LLC |
130032 |
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 |
|
|
CALIFORNIA |
NEW JERSEY |
NORTH CAROLINA |
TEXAS |
|
Recipient |
Recipient CRD Number |
|
None |
|
Tony Barouti |
3031995 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Emerson Equity LLC |
130032 |
Street Address 1 |
Street Address 2 |
11661 San Vicente Blvd. |
Suite 414 |
City |
State/Province/Country |
ZIP/Postal Code |
Los Angeles |
CALIFORNIA |
90049 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
John Joseph Parrillo Jr. |
2107909 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
First Allied Securities, Inc. |
32444 |
Street Address 1 |
Street Address 2 |
11545 West Bernardo Court |
Suite 203 |
City |
State/Province/Country |
ZIP/Postal Code |
San Diego |
CALIFORNIA |
92127 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
FLORIDA |
NEW HAMPSHIRE |
|
Recipient |
Recipient CRD Number |
|
None |
|
Mark William Chamberlain |
1655738 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
First Allied Securities, Inc. |
32444 |
Street Address 1 |
Street Address 2 |
3100 Village Point |
Suite 200 |
City |
State/Province/Country |
ZIP/Postal Code |
Chesterton |
INDIANA |
46304 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Sean Robin Barbour |
4947968 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
First Allied Securities, Inc. |
32444 |
Street Address 1 |
Street Address 2 |
1286 Old Freeport Road |
Suite 2A |
City |
State/Province/Country |
ZIP/Postal Code |
Pittsburgh |
PENNSYLVANIA |
15238 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Terry Morris Anderson |
2374045 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
First Allied Securities, Inc. |
32444 |
Street Address 1 |
Street Address 2 |
12760 Stroh Ranch Way |
Suite 102 |
City |
State/Province/Country |
ZIP/Postal Code |
Parker |
COLORADO |
80134 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Steven Powell Sappington |
2335721 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
G.A. Repple & Company |
17486 |
Street Address 1 |
Street Address 2 |
2341 Mt. Carmel Drive |
City |
State/Province/Country |
ZIP/Postal Code |
Waco |
TEXAS |
76710 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Brad Whalen |
2582276 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Green Vista Capital, LLC |
293630 |
Street Address 1 |
Street Address 2 |
222 N. Park Avenue |
City |
State/Province/Country |
ZIP/Postal Code |
Winter Park |
FLORIDA |
32789 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Richard Lee Stevens |
852090 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
IBN Financial Services, Inc. |
42360 |
Street Address 1 |
Street Address 2 |
404 Old Liverpool Rd. |
City |
State/Province/Country |
ZIP/Postal Code |
Liverpool |
NEW YORK |
13088 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Robert Mathew Moskwa |
5325293 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
IBN Financial Services, Inc. |
42360 |
Street Address 1 |
Street Address 2 |
615 West Genesee Street |
Floor 2 |
City |
State/Province/Country |
ZIP/Postal Code |
Syracuse |
NEW YORK |
13204 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Thomas Joseph Kieffer |
1531908 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
IBN Financial Services, Inc. |
42360 |
Street Address 1 |
Street Address 2 |
404 Old Liverpool Rd. |
City |
State/Province/Country |
ZIP/Postal Code |
Liverpool |
NEW YORK |
13088 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Timothy Daniel Nihill |
4220287 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
IBN Financial Services, Inc. |
42360 |
Street Address 1 |
Street Address 2 |
23 Middle Street |
Suite 301 |
City |
State/Province/Country |
ZIP/Postal Code |
Newburyport |
MASSACHUSETTS |
01950 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Todd Robert Rhine |
2384366 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
IBN Financial Services, Inc. |
42360 |
Street Address 1 |
Street Address 2 |
7 Finch Street |
City |
State/Province/Country |
ZIP/Postal Code |
Hilton Head Island |
SOUTH CAROLINA |
29926 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
GEORGIA |
NEW YORK |
|
Recipient |
Recipient CRD Number |
|
None |
|
Brent Christopher McDonald |
4845727 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Investacorp, Inc. |
7684 |
Street Address 1 |
Street Address 2 |
1333 2nd Street NE |
Suite 303 |
City |
State/Province/Country |
ZIP/Postal Code |
Hickory |
NORTH CAROLINA |
28601 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Julie Dixon Carroll |
4016528 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Investacorp, Inc. |
7684 |
Street Address 1 |
Street Address 2 |
1333 2nd Street NE |
Suite 303 |
City |
State/Province/Country |
ZIP/Postal Code |
Hickory |
NORTH CAROLINA |
28601 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Lynn Smeraldo |
1884870 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Investacorp, Inc. |
7684 |
Street Address 1 |
Street Address 2 |
450 Grant Street |
City |
State/Province/Country |
ZIP/Postal Code |
Dunedin |
FLORIDA |
34698 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Matthew J. Nielsen |
2762423 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Stonecrest Capital Markets, Inc. |
39616 |
Street Address 1 |
Street Address 2 |
45 N. Broad |
Suite 401 |
City |
State/Province/Country |
ZIP/Postal Code |
Ridgewood |
NEW JERSEY |
07450 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Deborah Ann Stackpole |
4969850 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Stonecrest Capital Markets, Inc. |
39616 |
Street Address 1 |
Street Address 2 |
45 N. Broad |
Suite 401 |
City |
State/Province/Country |
ZIP/Postal Code |
Ridgewood |
NEW JERSEY |
07450 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Edward Pius Kasperavich |
4970038 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Stonecrest Capital Markets, Inc. |
39616 |
Street Address 1 |
Street Address 2 |
45 N. Broad |
Suite 401 |
City |
State/Province/Country |
ZIP/Postal Code |
Ridgewood |
NEW JERSEY |
07450 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Jason Lowther |
2606268 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Western International Securities, Inc. |
39262 |
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 |
|
|
|
13. Offering and Sales Amounts
Total Offering Amount |
$150,000,000
|
USD |
|
Total Amount Sold |
$68,639,635
|
USD |
Total Remaining to be Sold |
$81,360,365
|
USD |
|
Clarification of Response (if Necessary):
The Offering terminated on December 31, 2019.14. 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 |
$4,776,196
|
USD |
|
Finders' Fees |
$0
|
USD |
|
Clarification of Response (if Necessary):
Of the Sales Commissions listed above, $663,311 of such amount are designated as marketing fees.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):
Proceeds are paid to the Managing General Partner for deployment in the drilling completion and operation of the Issuer's wells.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).
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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 |
MDS 2019-Marcellus Shale Development, LP |
Michael D. Snyder |
Michael D. Snyder |
CEO of Managing GP |
2020-02-13 |
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.