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 |
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0001363397 |
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Name of Issuer | |||||||||||||||
1837 Partners L.P. | |||||||||||||||
Jurisdiction of Incorporation/Organization | |||||||||||||||
DELAWARE | |||||||||||||||
Year of Incorporation/Organization | |||||||||||||||
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2. Principal Place of Business and Contact Information
Name of Issuer | |||
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1837 Partners L.P. | |||
Street Address 1 | Street Address 2 | ||
C/O FOUR LABS LLC | ONE NORTH FRANKLIN STREET, STE 3300 | ||
City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
CHICAGO | ILLINOIS | 60606 | 312-477-3300 |
3. Related Persons
Last Name | First Name | Middle Name |
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Four Labs LLC | n/a | |
Street Address 1 | Street Address 2 | |
One North Franklin Street | Suite 3300 | |
City | State/Province/Country | ZIP/PostalCode |
Chicago | ILLINOIS | 60606 |
Relationship: | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
General PartnerLast Name | First Name | Middle Name |
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Tuite | Frances | |
Street Address 1 | Street Address 2 | |
One North Franklin Street | Suite 3300 | |
City | State/Province/Country | ZIP/PostalCode |
Chicago | ILLINOIS | 60606 |
Relationship: | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Manager of Issuer's General Partner4. Industry Group
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5. Issuer Size
Revenue Range | OR | Aggregate Net Asset Value Range | ||
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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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Rule 504 (b)(1)(i) | |||
Rule 504 (b)(1)(ii) | |||
Rule 504 (b)(1)(iii) | |||
X | Rule 506(b) | ||
Rule 506(c) | |||
Securities Act Section 4(a)(5) |
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7. Type of Filing
New Notice | Date of First Sale | 2017-10-01 | 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 | $250,000 | USD |
12. Sales Compensation
Recipient |
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The Benchmark Company, LLC | 22982 | ||||||
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The Benchmark Company, LLC | 22982 | ||||||
Street Address 1 | Street Address 2 | ||||||
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150 E. 58th Street , 17th Flooor | 150 E. 58th Street, 17th Floor | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
NEW YORK | NEW YORK | 10155 | |||||
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Recipient |
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William Blair | 1252 | ||||||
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William Blair | 1252 | ||||||
Street Address 1 | Street Address 2 | ||||||
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150 N. Riverside | 150 N. Riverside | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Chicago | ILLINOIS | 60606 | |||||
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Recipient |
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CJS Securities, Inc. | 44823 | ||||||||||||||||||||||||||||||||||||||
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CJS Securities, Inc. | 44823 | ||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||||
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50 Main Streeet, Ste. 325 | 50 Main Street, Ste. 325 | ||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||
White Plains | NEW YORK | 10606 | |||||||||||||||||||||||||||||||||||||
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Recipient |
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Craig-Hallum Capital Group LLC | 121395 | ||||||||||||||||||||||||||||||||||||||||||||||||
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Craig-Hallum Capital Group LLC | 121395 | ||||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||||||||||||||
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222 S. Ninth St., Ste. 350 | 222 S. Ninth St., Ste. 350 | ||||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||||||||||||
Minneapolis | MINNESOTA | 55402 | |||||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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Dougherty & Company LLC | 7477 | ||||||
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Doughtery & Company LLC | 7477 | ||||||
Street Address 1 | Street Address 2 | ||||||
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90 S. Seventh St., Ste 4300 | 90 S. Seventh St., Ste 4300 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Minneapolis | MINNESOTA | 55402 | |||||
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Recipient |
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First Analysis Securities Corporation | 10446 | |||||||||||||||
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First Analysis Securities Corporation | 10446 | |||||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||||
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One South Wacker Dr., Ste. 3900 | One South Wacker Dr., Ste. 3900 | |||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||||
Chicago | ILLINOIS | 60606 | ||||||||||||||
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Recipient |
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Imperial Capital, LLC | 43744 | ||||||
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Imperial Capital, LLC | 43744 | ||||||
Street Address 1 | Street Address 2 | ||||||
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10100 Santa Monica Blvd., Ste 2400 | 10100 Santa Monica Blvd., Ste. 2400 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Los Angeles | CALIFORNIA | 90067 | |||||
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Recipient |
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Instinet, LLC | 7897 | ||||||
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Instinet, LLC | 7897 | ||||||
Street Address 1 | Street Address 2 | ||||||
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309 West 49th Street | 309 West 49th Street | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10019 | |||||
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Recipient |
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Jefferies LLC | 2347 | ||||||
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Jefferies LLC | 2347 | ||||||
Street Address 1 | Street Address 2 | ||||||
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520 Madison Avenue | 520 Madison Avenue | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10022 | |||||
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Recipient |
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Northcoast Research Partners LLC | 149109 | |||||||||||||||||||||||
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Northcoast Research Partners LLC | 149109 | |||||||||||||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||||||||||||
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1301 E. Ninth Street, 15th Floor | 1301 E. Ninth Street, 15th Floor | |||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||||||||||||
Cleveland | OHIO | 44114 | ||||||||||||||||||||||
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Recipient |
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Oppenheiner & Co. Inc | 249 | ||||||
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Openheimer & Co. Inc. | 249 | ||||||
Street Address 1 | Street Address 2 | ||||||
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85 Broad Street, 22nd, 24th Floor | 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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R.F. Lafferty & Co., Inc. | 2498 | ||||||
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R.F. Latterty & Co., Inc. | 2498 | ||||||
Street Address 1 | Street Address 2 | ||||||
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40 Wall Street, 19th Floor | 40 Wall Street, 19th Floor | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10005 | |||||
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Recipient |
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Stephens | 3496 | ||||||
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Stephens | 3496 | ||||||
Street Address 1 | Street Address 2 | ||||||
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111 Center Street | 111 Center Street | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Little Rock | ARKANSAS | 72201 | |||||
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13. Offering and Sales Amounts
Total Offering Amount | USD |
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Total Amount Sold | $17,701,355 | USD | ||||
Total Remaining to be Sold | USD |
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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: |
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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 | $104,222 | USD |
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Finders' Fees | $0 | USD |
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Clarification of Response (if Necessary):
The commissions reported are those paid during the time period of January 1,2019 through December 31, 201916. 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 |
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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: |
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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 |
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1837 Partners L.P. | /s/ Frances Tuite | Frances Tuite | Manager of Issuer's General Partner | 2020-01-17 |
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.