The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it 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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1. Issuer's Identity
CIK (Filer ID Number) | Previous Names |
| Entity Type | ||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
0001043951 |
| ||||||||||||||
Name of Issuer | |||||||||||||||
CAMPBELL FUND TRUST | |||||||||||||||
Jurisdiction of Incorporation/Organization | |||||||||||||||
DELAWARE | |||||||||||||||
Year of Incorporation/Organization | |||||||||||||||
|
2. Principal Place of Business and Contact Information
Name of Issuer | |||
---|---|---|---|
CAMPBELL FUND TRUST | |||
Street Address 1 | Street Address 2 | ||
2850 QUARRY LAKE DRIVE | |||
City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
BALTIMORE | MARYLAND | 21209 | 410-413-2600 |
3. Related Persons
Last Name | First Name | Middle Name |
---|---|---|
Lloyd | Thomas | P. |
Street Address 1 | Street Address 2 | |
Campbell & Company, LP | 2850 Quarry Lake Drive | |
City | State/Province/Country | ZIP/PostalCode |
Baltimore | MARYLAND | 21209 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
---|---|---|
Campbell & Company, LP | n/a | |
Street Address 1 | Street Address 2 | |
2850 Quarry Lake Drive | ||
City | State/Province/Country | ZIP/PostalCode |
Baltimore | MARYLAND | 21209 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
Managing Operator of the Trust.Last Name | First Name | Middle Name |
---|---|---|
Cole | Kevin | D |
Street Address 1 | Street Address 2 | |
Campbelll & Company LP | 2850 Quarry Lake Drive | |
City | State/Province/Country | ZIP/PostalCode |
Baltimore | MARYLAND | 21209 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
---|---|---|
Radle | John | R |
Street Address 1 | Street Address 2 | |
Campbell & Company LP | 2850 Quarry Lake Drive | |
City | State/Province/Country | ZIP/PostalCode |
Baltimore | MARYLAND | 21209 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
4. Industry Group
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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 | |||
Decline to Disclose | X | Decline to Disclose | ||
Not Applicable | Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
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7. Type of Filing
New Notice | Date of First Sale | 1996-01-01 | 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)
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? |
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Clarification of Response (if Necessary):
11. Minimum Investment
Minimum investment accepted from any outside investor | $25,000 | USD |
12. Sales Compensation
Recipient |
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Cambridge Investment Research, Inc. | 39543 | ||||||
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| ||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
1776 Pleasant Plain Road | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Fairfield | IOWA | 52556 | |||||
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Recipient |
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Campbell Financial Services, Inc. | 42953 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
2850 Quarry Lake Drive | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Baltimore | MARYLAND | 21209 | |||||
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Recipient |
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Commonwealth Financial Network | 8032 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
29 Sawyer Road | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Waltham | MASSACHUSETTS | 02453 | |||||
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Recipient |
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Credit Suisse Securities (USA) LLC | 816 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
11 Madison Avenue | 24th Floor | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10010 | |||||
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Recipient |
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David A. Noyes & Company | 205 | ||||||||||||||||||||||||||||||||||||||||||||||||||
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None | None | ||||||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
209 South La Salle Street | 12th Floor | ||||||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||||||||||||||
Chicago | ILLINOIS | 60604 | |||||||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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Geneos Wealth Management, Inc. | 120894 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
9055 E Mineral Circle | Suite 200 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Centennial | COLORADO | 80112 | |||||
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Recipient |
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Janney Montgomery Scott, LLC | 463 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
1717 Arch Street | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Philadelphia | PENNSYLVANIA | 19103 | |||||
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Recipient |
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Lincoln Financial Advisors Corporation | 3978 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
1300 South Clinton Street | Suite 150 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Fort Wayne | INDIANA | 46802 | |||||
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Recipient |
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LPL Financial Corporation | 6413 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
75 State Street | 24th Floor | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Boston | MASSACHUSETTS | 02109 | |||||
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Recipient |
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Merrill Lynch, Pierce, Fenner & Smith, Inc. | 7691 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
One Bryant Park | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10036 | |||||
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Recipient |
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Morgan Stanley Smith Barney LLC | 149777 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
2000 Westchester Avenue | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Purchase | NEW YORK | 10577 | |||||
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Recipient |
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Raymond James & Associates, Inc | 705 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
880 Carillon Parkway | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
St. Petersburg | FLORIDA | 33716 | |||||
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Recipient |
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RBC Capital Markets LLC | 31194 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
3 World Financial Center | 200 Vesey Street | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10281 | |||||
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Recipient |
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Stephens, Inc. | 3496 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
111 Center Street | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Little Rock | ARKANSAS | 72201 | |||||
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Recipient |
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Stifel Nicolaus & Company, Incorporated | 793 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
501 North Broadway | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
St. Louis | MISSOURI | 63102 | |||||
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Recipient |
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UBS Financial Services Inc. | 8174 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
1200 Harbor Boulevard | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Weehawken | NEW JERSEY | 07086 | |||||
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Recipient |
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Wells Fargo Advisors Financial Network, LLC | 11025 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
One North Jefferson Avenue | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
St. Louis | MISSOURI | 63103 | |||||
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Recipient |
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Wells Fargo Advisors, LLC | 19616 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
One North Jefferson Avenue | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
St. Louis | MISSOURI | 63103 | |||||
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Recipient |
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American Portfolios Financial Services, Inc. | 18487 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
4250 Veterans Memorial Highway | 4th Floor East | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Holbrook | NEW YORK | 11741 | |||||
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Recipient |
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Ameriprise Financial Services, Inc. | 6363 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
707 2nd Avenue South | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Minneapolis | MINNESOTA | 55402 | |||||
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Recipient |
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Benjamin F. Edwards & Co., Inc. | 146936 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
One North Brentwood Boulevard | Suite 850 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
St. Louis | MISSOURI | 63105 | |||||
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Recipient |
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Berthel, Fisher & Company Financial Services, Inc. | 13609 | ||||||||||||||||||||||||||||||||||||||||||||||||||
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None | None | ||||||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
701 Tama Street | Building B | ||||||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||||||||||||||
Marion | IOWA | 52302 | |||||||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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Davenport& Company LLC | 1588 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
One James Center | 901 E. Cary Street | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Richmond | VIRGINIA | 23219 | |||||
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Recipient |
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First Allied Securities | 32444 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
655 West Broadway | 12th Floor | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
San Diego | CALIFORNIA | 92101 | |||||
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Recipient |
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FSC Securities Corporation | 7461 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
2300 Windy Ridge Parkway | Suite 1100 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Atlanta | GEORGIA | 30339 | |||||
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Recipient |
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HighTower Securities, LLC | 116681 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
200 West Madison Street | Suite 2500 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Chicago | ILLINOIS | 60606 | |||||
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Recipient |
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Cetera Advisors LLC | 10299 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
4600 South Syracuse | Suite 600 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Denver | COLORADO | 80237 | |||||
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Recipient |
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Purshe, Kaplan, Sterling Investments | 35747 | ||||||||||||||||||||||||||||||||||||||||||||||||||
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None | None | ||||||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
18 Corporate Woods Boulevard | |||||||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||||||||||||||
Albany | NEW YORK | 12211 | |||||||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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Robert W. Baird & Co., Inc. | 8158 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
777 E. Wisconsin Ave. | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Milwaukee | WISCONSIN | 53202 | |||||
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Recipient |
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Royal Alliance Associates, Inc. | 23131 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
One World Financial Center | 15th Floor | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10281 | |||||
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Recipient |
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Sagepoint Financial, Inc. | 133763 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
2800 North Central Avenue | Suite 2100 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Phoenix | ARIZONA | 85004 | |||||
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Recipient |
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Securities America, Inc. | 10205 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
12325 Port Grace Boulevard | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
LaVista | NEBRASKA | 68128 | |||||
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Recipient |
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Spire Securities, LLC | 144131 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
1840 Michael Faraday Dr. | Suite 105 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Reston | VIRGINIA | 20190 | |||||
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Recipient |
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Stephen A. Kohn & Associates, Ltd. | 41067 | ||||||||||||||||||||||||||||||||
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None | None | ||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
3232 South Vance Street | Suite 210 | ||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||
Lakewood | COLORADO | 80227 | |||||||||||||||||||||||||||||||
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Recipient |
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USA FInancial Securities Corporation | 103857 | ||||||||||||||||||||||||||||||||||||||||||||||||||
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None | None | ||||||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
6020 East Fulton | |||||||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||||||||||||||
Ada | MICHIGAN | 49301 | |||||||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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Arete Wealth Management, LLC | 44856 | |||||||||||||||||||||||||||||||||||||||||||||||
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None | None | |||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||||||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
1699 E. Woodfield Road | Suite 565 | |||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||||||||||||||||||||||||||||||||||||
Schaumburg | ILLINOIS | 60173 | ||||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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Lincoln Investment Planning, Inc. | 519 | ||||||
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| ||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
Forst Pavillion | 218 Glenside Avenue | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Wyncotse | PENNSYLVANIA | 19095-1595 | |||||
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Recipient |
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Mutual Securities, Inc. | 13092 | ||||||
|
| ||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
807-A Camarillo Springs Road | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Camarillo | CALIFORNIA | 93012 | |||||
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Recipient |
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Titan Securities | 131392 | ||||||||||||||||||||||||||||
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None | None | ||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
14801 Quorum Drive | Suite 260 | ||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||
Dallas | TEXAS | 75254 | |||||||||||||||||||||||||||
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Recipient |
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KMS Financial Services, Inc. | 3866 | ||||||||||||||||||||||||||||||||||||||||||||||||||
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None | None | ||||||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
2001 Sixth Avenue | Suite 2801 | ||||||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||||||||||||||
Seattle | WASHINGTON | 98121-1866 | |||||||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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Oppenheimer & Co., Inc. | 249 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
85 Broad Street | 22nd, 24th Floor | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10004 | |||||
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Recipient |
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D.H. HILL SECURITIES, LLLP | 41528 | ||||||||||||||||||||||||||||||||||||||||||||
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None | None | ||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
1543 GREEN OAK PLACE | SUITE 100 | ||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||||||||
KINGWOOD | TEXAS | 77339 | |||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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Ausdal Financial Partners, Inc. | 7995 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
220 North Main Street | Suite 400 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Davenport | IOWA | 52801 | |||||
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Recipient |
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Kestra Investment Services, LLC | 42046 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
5707 Southwest Parkway | Bldg 2, Ste 400 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Austin | TEXAS | 78735 | |||||
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Recipient |
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Raymond James Financial Services, Inc. | 6694 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
880 Carillon Parkway | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Saint Petersburg | FLORIDA | 33716 | |||||
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Recipient |
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Frontier Solutions LLC | 136102 | ||||||||||||||||||||||||||||||||||
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None | None | ||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
9 East Franklin Street | |||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||
Richmond | VIRGINIA | 23219 | |||||||||||||||||||||||||||||||||
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Recipient |
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Hilltop Securities Inc | 6220 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
1201 Elm Street | Suite 3500 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Dallas | TEXAS | 75270 | |||||
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Recipient |
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J.P. Morgan Securities LLC | 79 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
383 Madison Avenue | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10179 | |||||
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Recipient |
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McDonald Partners LLC | 135414 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
1301 East 9th Street | Suite 3700 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Cleveland | OHIO | 44114 | |||||
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Recipient |
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Prospera Financial Services Inc | 10740 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
5429 LBJ Freeway | Suite 400 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Dallas | TEXAS | 75240 | |||||
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Recipient |
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Snowden Account Services LLC | 149794 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
540 Madison Avenue | 9th Floor | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10022 | |||||
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Recipient |
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Lincoln Financial Securities Corporation | 3870 | ||||||
|
| ||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
1300 South Clinton Street | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Fort Wayne | INDIANA | 46802 | |||||
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Recipient |
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Nations Financial Group Inc | 44181 | ||||||
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| ||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
4000 River Ridge Dr NE | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Cedar Rapids | IOWA | 52402 | |||||
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| ||||||
Recipient |
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Truist Investment Services | 17499 | ||||||
|
| ||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
303 Peachtree Center Ave | Suite 140 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Atlanta | GEORGIA | 30303 | |||||
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Recipient |
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Cetera Advisor Networks LLC | 13572 | ||||||
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| ||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
200 N Pacific Coast Hwy | STE 1300 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
El Segundo | CALIFORNIA | 90245 | |||||
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Recipient |
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LoCorr Distributors LLC | 41782 | ||||||||||||||
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| ||||||||||||||
None | None | ||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
687 Excelsior Blvd | |||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||
Excelsior | MINNESOTA | 55331 | |||||||||||||
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Recipient |
| ||||||
Grove Point Investments, LLC | 1763 | ||||||
|
| ||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
2440 Research Boulevard | Suite 500 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Rockville | MARYLAND | 20850 | |||||
|
| ||||||
Recipient |
| ||||||
Insigneo Securities, LLC | 29249 | ||||||
|
| ||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
1221 Brickell Ave | 27th FL | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Miami | FLORIDA | 33131 | |||||
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| ||||||
Recipient |
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Polar Investment Counsel, Inc | 42847 | |||||||||||||||||||||||||||||
|
| |||||||||||||||||||||||||||||
None | None | |||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
19547 210th AV NE | ||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||||||||||||||||||
Thief River Falls | MINNESOTA | 56701 | ||||||||||||||||||||||||||||
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| |||||||||||||||||||||||||||||
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13. Offering and Sales Amounts
Total Offering Amount | USD |
| ||||
Total Amount Sold | $2,340,531,963 | USD | ||||
Total Remaining to be Sold | USD |
|
Clarification of Response (if Necessary):
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 | $116,373,026 | USD |
| ||
Finders' Fees | $0 | USD |
|
Clarification of Response (if Necessary):
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.
$0 | USD |
|
Clarification of Response (if Necessary):
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: |
|
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 |
---|---|---|---|---|
CAMPBELL FUND TRUST | Thomas P. Lloyd | Thomas P. Lloyd | Chief Compliance Officer of CCLP | 2022-05-19 |
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.