0001620672-14-000002.txt : 20141119
0001620672-14-000002.hdr.sgml : 20141119
20141119182120
ACCESSION NUMBER: 0001620672-14-000002
CONFORMED SUBMISSION TYPE: MA-I
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20141029
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: TLHocking & Associates LLC
CENTRAL INDEX KEY: 0001620672
IRS NUMBER: 743123708
STATE OF INCORPORATION: AZ
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: MA-I
SEC ACT: 1934 Act
SEC FILE NUMBER: 868-04099
FILM NUMBER: 141236960
BUSINESS ADDRESS:
STREET 1: 6116 E SHANGRI-LA
CITY: SCOTTSDALE
STATE: AZ
ZIP: 85254-5450
BUSINESS PHONE: 6024607000
MAIL ADDRESS:
STREET 1: PO BOX 10097
CITY: PHOENIX
STATE: AZ
ZIP: 85254
MA-I
1
primary_doc.xml
MA-I
0001620672
XXXXXXXX
Thomas L. Hocking
602-460-7000
tom@tlhocking.com
tlhocking@msn.com
N
Thomas
Lee
Hocking
N
1
0001620672
TLHocking & Associates LLC
04-16-2001
N
10-29-2014
0001620672
LOCATED
04-16-2001
Tom
Lee
Hocking
04-2001
TLHocking & Associates LLC
Phoenix
AZ
85254
Y
N
President
Y
10-2014
AZCO Importers LLC
6116 E. Shangri-la Rd.
Scottsdale
AZ
85254-5450
N
N
Manufacture, importation and distribution of cigars
Vice President/CEO
10
General administrative duties, including: filing monthly sales tax and federal import reports; keeping current on new regulations; coordinate production, development and maintenance of website, and; coordination of distribution and sales networks.
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
Y
N
N
N
N
N
N
N
N
10-29-2014
Thomas Lee Hocking
President
6I(2)(c)
Y
Allstate Life Insurance Company, Wells Fargo Bank, N.A., Ronald Covin, Walter Krause, Bernard Patterson, Allen Patzke, and Larry Verhulst, et. al. (the "Plaintiffs")
X1
TLHocking & Associates LLC
Debt - Municipal
In 2009 the Plaintiffs filed original claims against a number of defendants , including the underwriters, bond counsel, underwriter's counsel, the town, the event center developer/manager, the developer, the operating entity, TLHocking & Associates LLC and Thomas L. Hocking (the "Hocking Defendants") related to the financing of a multipurpose events center, "$35,000,000 - The Industrial Development Authority of the County of Yavapai, Convention Center Facilities Excise Tax Revenue Bonds, Series 2005 (Taxable)", (the "Bonds"), which included claims pursuant to the Securities Exchange Act of 1934, the Arizona Securities Act, the Illinois Securities Law, and the common law of Arizona. Over a five year period, the US District Court issued several rulings that had defined and narrowed the scope of the case. A number of the original claims were dismissed. Ultimately, Plaintiffs' only claim against Hocking Defendants was a single claim pursuant to the Arizona statute concerning certain aspects of the Official Statement. Those allegations related to material misstatements or omissions in the Official Statement. On October 24, 2014, a settlement agreement was filed with the Court between the Plaintiffs and certain defendants, including the developer, the operating entity, the town and Hocking Defendants (the "Settling Defendants") to dismiss with prejudice all remaining claims against the Settling Defendants. The settlement agreement may not be construed as evidence of admission that any of the claims were with merit. Notwithstanding the terms of the settlement agreement, the Hocking Defendants believed they had substantial defenses to Plaintiffs' remaining claim and at trial were prepared to prove there was no material misstatement in the Official Statement and Plaintiffs could not prove they were entitled to remedies they had requested. The settlement agreement was negotiated in order to come to an agreeable resolution to the long standing litigation, to avoid an uncertain result of a trial, the possibility of an appeal and the expense of continued litigation. The Hocking Defendants did not pay a monetary settlement payments to the Plaintiffs.
10000000.00
No exact amounts were determined.
Federal Court
United States District Court for the District of Arizona
CV-09--8174-PCT-GMS
401 W. Washington St.
Phoenix
AZ
85003
CV-09-08162-PCT-GMS
10-23-2009
Settlement that includes a monetary payment to customer
Hocking did not pay a monetary payment to customer
10-24-2014
Subject to final approval by the Court.
1000000.00