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
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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 |
|
Entity Type |
0001762806 |
|
|
Corporation |
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Limited Partnership |
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Limited Liability Company |
|
General Partnership |
|
Business Trust |
X |
Other (Specify) |
Delaware Statutory Trust |
Name of Issuer |
NREA Southeast Portfolio Three, DST |
Jurisdiction of Incorporation/Organization |
DELAWARE |
Year of Incorporation/Organization |
|
Over Five Years Ago |
X |
Within Last Five Years (Specify Year) |
2018 |
|
Yet to Be Formed |
|
2. Principal Place of Business and Contact Information
Name of Issuer |
NREA Southeast Portfolio Three, DST |
Street Address 1 |
Street Address 2 |
C/- NEXPOINT REAL ESTATE ADVISORS IV, LP |
300 CRESCENT COURT, SUITE 700 |
City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
DALLAS |
TEXAS |
75201 |
9724192500 |
3. Related Persons
Last Name |
First Name |
Middle Name |
NexPoint Real Estate Advisors IV, L.P. |
n/a |
Street Address 1 |
Street Address 2 |
300 Crescent Court |
Suite 700 |
City |
State/Province/Country |
ZIP/PostalCode |
Dallas |
TEXAS |
75201 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Sponsor of the Issuer
Last Name |
First Name |
Middle Name |
NREA Southeast Portfolio Three |
n/a |
Street Address 1 |
Street Address 2 |
300 Crescent Court |
Suite 700 |
City |
State/Province/Country |
ZIP/PostalCode |
Dallas |
TEXAS |
75201 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Manager of the Issuer
Last Name |
First Name |
Middle Name |
Dondero |
James |
Street Address 1 |
Street Address 2 |
300 Crescent Court |
Suite 700 |
City |
State/Province/Country |
ZIP/PostalCode |
Dallas |
TEXAS |
75201 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Ellington |
Scott |
Neil |
Street Address 1 |
Street Address 2 |
300 Crescent Court |
Suite 700 |
City |
State/Province/Country |
ZIP/PostalCode |
Dallas |
TEXAS |
75201 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Mitts |
Brian |
Street Address 1 |
Street Address 2 |
300 Crescent Court |
Suite 700 |
City |
State/Province/Country |
ZIP/PostalCode |
Dallas |
TEXAS |
75201 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
McGraner |
Matt |
Street Address 1 |
Street Address 2 |
300 Crescent Court |
Suite 700 |
City |
State/Province/Country |
ZIP/PostalCode |
Dallas |
TEXAS |
75201 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Goetz |
Matthew |
Street Address 1 |
Street Address 2 |
300 Crescent Court |
Suite 700 |
City |
State/Province/Country |
ZIP/PostalCode |
Dallas |
TEXAS |
75201 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Waterhouse |
Frank |
Street Address 1 |
Street Address 2 |
300 Crescent Court |
Suite 700 |
City |
State/Province/Country |
ZIP/PostalCode |
Dallas |
TEXAS |
75201 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
4. Industry Group
|
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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|
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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 |
|
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) |
| |
Rule 504 (b)(1)(ii) |
| |
Rule 504 (b)(1)(iii) |
| X |
Rule 506(b) |
| |
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
|
New Notice |
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Date of First Sale |
2018-12-18 |
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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 |
$100,000
|
USD |
12. Sales Compensation
Recipient |
Recipient CRD Number |
|
None |
|
DFPG Investments Inc. |
155576 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
DFPG Investments Inc. |
155576 |
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 |
|
|
CALIFORNIA |
CONNECTICUT |
DISTRICT OF COLUMBIA |
FLORIDA |
ILLINOIS |
MARYLAND |
MASSACHUSETTS |
NEW JERSEY |
NEW YORK |
OREGON |
PENNSYLVANIA |
UTAH |
VERMONT |
VIRGINIA |
|
Recipient |
Recipient CRD Number |
|
None |
|
McDermott Investment Services LLC |
154926 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
McDermott Investment Services LLC |
154926 |
Street Address 1 |
Street Address 2 |
44 EAST BROAD STREET |
2nd Floor |
City |
State/Province/Country |
ZIP/Postal Code |
Bethlehem |
PENNSYLVANIA |
18018 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
CALIFORNIA |
NORTH CAROLINA |
OHIO |
UTAH |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Gary G Benson |
118221 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
NPB Financial Group LLC |
137743 |
Street Address 1 |
Street Address 2 |
3500 W. OLIVE AVENUE |
3rd Floor |
City |
State/Province/Country |
ZIP/Postal Code |
Burbank |
CALIFORNIA |
91505 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Matthew T Rubis |
5863109 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Parkland Securities LLC |
115368 |
Street Address 1 |
Street Address 2 |
300 PARKLAND PLAZA |
City |
State/Province/Country |
ZIP/Postal Code |
Ann Arbor |
MICHIGAN |
48103 |
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 |
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Gregory J Meyer |
3088783 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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NPB Financial Group LLC |
137743 |
Street Address 1 |
Street Address 2 |
3500 W. OLIVE AVENUE |
3rd Floor |
City |
State/Province/Country |
ZIP/Postal Code |
Burbank |
CALIFORNIA |
91505 |
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 |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Concorde Investment Services LLC |
151604 |
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 |
|
|
ARIZONA |
CALIFORNIA |
FLORIDA |
ILLINOIS |
INDIANA |
MASSACHUSETTS |
NEVADA |
NEW YORK |
NORTH CAROLINA |
WASHINGTON |
WISCONSIN |
|
Recipient |
Recipient CRD Number |
|
None |
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James M. Lamont |
2846228 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Whitehall-Parker Securities Inc. |
10608 |
Street Address 1 |
Street Address 2 |
477 PACIFIC AVENUE-2ND FLOOR |
City |
State/Province/Country |
ZIP/Postal Code |
SAN FRANCISCO |
CALIFORNIA |
94133 |
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 |
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Chay Lapin |
6275140 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Wealthforge Securities LLC |
152550 |
Street Address 1 |
Street Address 2 |
6800 PARAGON PLACE |
SUITE 200 |
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 |
|
|
CALIFORNIA |
COLORADO |
HAWAII |
ILLINOIS |
MASSACHUSETTS |
NEW YORK |
PENNSYLVANIA |
TEXAS |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
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Joral T Schmalle |
4491484 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Sigma Financial Corp. |
14303 |
Street Address 1 |
Street Address 2 |
300 PARKLAND PLAZA |
City |
State/Province/Country |
ZIP/Postal Code |
ANN ARBOR |
MICHIGAN |
48103-9508 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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|
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Recipient |
Recipient CRD Number |
|
None |
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David P Dahill |
6581024 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Wealthforge Securities LLC |
152550 |
Street Address 1 |
Street Address 2 |
6800 PARAGON PLACE |
SUITE 200 |
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 |
|
|
CALIFORNIA |
COLORADO |
FLORIDA |
IDAHO |
ILLINOIS |
NEW YORK |
TEXAS |
|
Recipient |
Recipient CRD Number |
|
None |
|
Tomas J Velken |
1600404 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Sigma Financial Corp. |
14303 |
Street Address 1 |
Street Address 2 |
300 PARKLAND PLAZA |
City |
State/Province/Country |
ZIP/Postal Code |
ANN ARBOR |
MICHIGAN |
48103-9508 |
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 |
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Robin T Naylor |
1392433 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Emerson Equity LLC. |
130032 |
Street Address 1 |
Street Address 2 |
155 BOVET ROAD, SUITE 725 |
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 |
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|
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Recipient |
Recipient CRD Number |
|
None |
|
Michael L. Cruz |
2130750 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Courtland Securiites Corp |
137356 |
Street Address 1 |
Street Address 2 |
18218 MCDURMOTT |
SUITE A |
City |
State/Province/Country |
ZIP/Postal Code |
IRVINE |
CALIFORNIA |
92614 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Edward Fernandez |
2956661 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Capulent LLC |
155155 |
Street Address 1 |
Street Address 2 |
1 Spectrum Pointe Drive |
Ste 320 |
City |
State/Province/Country |
ZIP/Postal Code |
Lake Forest |
CALIFORNIA |
92630 |
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 |
|
Leslie Pappas |
1735372 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Lightpath Capital, Inc. |
94123 |
Street Address 1 |
Street Address 2 |
3130 Baker Street |
City |
State/Province/Country |
ZIP/Postal Code |
San Francisco |
CALIFORNIA |
94123 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
FLORIDA |
NEVADA |
NORTH CAROLINA |
TEXAS |
|
Recipient |
Recipient CRD Number |
|
None |
|
Kim R. Kunz |
718618 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Westpark Capital Inc. |
39914 |
Street Address 1 |
Street Address 2 |
1900 AVENUE OF THE STARS |
SUITE 310 |
City |
State/Province/Country |
ZIP/Postal Code |
LOS ANGELES |
CALIFORNIA |
90067 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Elizabeth L. Friant |
2122446 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Wealthforge Securities LLC |
152550 |
Street Address 1 |
Street Address 2 |
6800 PARAGON PLACE |
SUITE 200 |
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 |
|
James K. Johnston |
1689783 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Arete Wealth Management LLC |
44856 |
Street Address 1 |
Street Address 2 |
775 RIDGE LAKE BLVD SUITE 150 |
City |
State/Province/Country |
ZIP/Postal Code |
MEMPHIS |
TENNESSEE |
38120 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Patrick T Shea |
1654953 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Whitehall-Parker Securities Inc. |
10608 |
Street Address 1 |
Street Address 2 |
477 PACIFIC AVENUE-2ND FLOOR |
City |
State/Province/Country |
ZIP/Postal Code |
SAN FRANCISCO |
CALIFORNIA |
94133 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Jason A Salmon |
6081963 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Wealthforge Securities LLC |
152550 |
Street Address 1 |
Street Address 2 |
6800 PARAGON PLACE |
SUITE 200 |
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 |
|
|
CALIFORNIA |
COLORADO |
FLORIDA |
ILLINOIS |
MASSACHUSETTS |
MISSOURI |
NEW JERSEY |
NEW YORK |
NORTH CAROLINA |
OHIO |
PENNSYLVANIA |
TEXAS |
WISCONSIN |
|
Recipient |
Recipient CRD Number |
|
None |
|
Christina S. Nielson |
4866971 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Primex |
29394 |
Street Address 1 |
Street Address 2 |
54 WEST 21ST STREET |
12th Floor |
City |
State/Province/Country |
ZIP/Postal Code |
New York |
NEW YORK |
10010 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
John L. Jenkins |
1163851 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Arete Wealth Management LLC |
44856 |
Street Address 1 |
Street Address 2 |
1101 W LAKE STREET |
1ST 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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Joseph D. Jackson |
2351290 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Capital Investment Group Inc. |
14752 |
Street Address 1 |
Street Address 2 |
100 E. SIX FORKS ROAD |
STE 200 |
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 |
|
Mcihael G. Culwell |
5989109 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Emerson Equity LLC |
130032 |
Street Address 1 |
Street Address 2 |
155 Bovet Road |
Suite 725 |
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 |
|
Dieter E. Thurow |
1435375 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
NPB Financial Group LLC |
137743 |
Street Address 1 |
Street Address 2 |
3500 W. Olive Avenue |
Third Floor |
City |
State/Province/Country |
ZIP/Postal Code |
Burbank |
CALIFORNIA |
94505 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Robert D. Brinbaum |
2382580 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Advisory Group Equity SVCS LTD |
15427 |
Street Address 1 |
Street Address 2 |
444 Washington Street |
Suite 407 |
City |
State/Province/Country |
ZIP/Postal Code |
Woburn |
MASSACHUSETTS |
01801 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Stacey J. Morimoto |
4420782 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
K Capital LLC |
147191 |
Street Address 1 |
Street Address 2 |
805 Third Avenue |
Floor 14 |
City |
State/Province/Country |
ZIP/Postal Code |
New York |
NEW YORK |
10022 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Jim A. Lund |
1713921 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Cabot Lodge Securities LLC |
159712 |
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 |
|
Randy A. Barmache |
4607939 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Westpark Capital Inc. |
39914 |
Street Address 1 |
Street Address 2 |
1900 AVENUE OF THE STARS |
SUITE 310 |
City |
State/Province/Country |
ZIP/Postal Code |
LOS ANGELES |
CALIFORNIA |
90067 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Jon Lusin |
1786336 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Courtlandt Securiites Corp |
137356 |
Street Address 1 |
Street Address 2 |
18218 McDurmott |
Suite A |
City |
State/Province/Country |
ZIP/Postal Code |
Irvine |
CALIFORNIA |
92614 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
David Kangas |
6591398 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Cabot Lodge Securities LLC |
159712 |
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 |
|
Anthony Brown |
6900485 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Stax Capital |
300607 |
Street Address 1 |
Street Address 2 |
4901 Morena Blvd |
Suite 121 |
City |
State/Province/Country |
ZIP/Postal Code |
San Diego |
CALIFORNIA |
92117 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Andrew Bagnall |
4331728 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Emerson Equity LLC |
130032 |
Street Address 1 |
Street Address 2 |
155 Bovet Road |
Suite 725 |
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 |
|
Susan J. Gitt |
5580509 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Great Point Capital LLC |
114203 |
Street Address 1 |
Street Address 2 |
200 WEST JACKSON BLVD. |
SUITE 1000 |
City |
State/Province/Country |
ZIP/Postal Code |
CHICAGO |
ILLINOIS |
60606 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
William D. Ford |
1198575 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
HERBERT J. SIMS & CO, INC. |
3420 |
Street Address 1 |
Street Address 2 |
2150 POST ROAD |
SUITE 301 |
City |
State/Province/Country |
ZIP/Postal Code |
FAIRFIELD |
CONNECTICUT |
06824 |
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 |
$72,403,877
|
USD |
|
Total Amount Sold |
$71,933,810
|
USD |
Total Remaining to be Sold |
$470,067
|
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 |
$4,344,233
|
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 Fee that may be paid to one or more Related Persons.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 mayaccrue 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 the issuer in any place subject to the jurisdiction of the United States, if the
action, proceeding or arbitration (a) arises out of any activity in connection with the
offering of securities that is the subject of this notice, and (b) is founded, directly or
indirectly, upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange
Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the
Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii)
the laws of the State in which the issuer maintains its principal place of business or any State
in which this notice is filed.
- Certifying that, if the issuer is claiming a Regulation D exemption for the offering, the issuer is not disqualified from relying on Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) or Rule 506(d).
|
Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.
For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.
Issuer |
Signature |
Name of Signer |
Title |
Date |
NREA Southeast Portfolio Three, DST |
/s/ Brian Mitts |
Brian Mitts |
Authorized Signatory |
2019-08-15 |
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.