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 | ||||||||||||
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0001755755 |
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Name of Issuer | |||||||||||||||
VINEBROOK HOMES TRUST, INC. | |||||||||||||||
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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VINEBROOK HOMES TRUST, INC. | |||
Street Address 1 | Street Address 2 | ||
300 CRESCENT COURT | SUITE 700 | ||
City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
DALLAS | TEXAS | 75201 | 972-628-4100 |
3. Related Persons
Last Name | First Name | Middle Name |
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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 |
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Clarification of Response (if Necessary):
Executive Vice President, Chief Investment Officer, SecretaryLast Name | First Name | Middle Name |
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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 | X | Director | Promoter |
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Clarification of Response (if Necessary):
Director, Chief Financial Officer, Assistant Secretary and TreasurerLast Name | First Name | Middle Name |
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Sprong | Dana | |
Street Address 1 | Street Address 2 | |
300 Crescent Court | Suite 700 | |
City | State/Province/Country | ZIP/PostalCode |
Dallas | TEXAS | 75201 |
Relationship: | X | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Director, Senior Vice President of Acquisitions & DispositionsLast Name | First Name | Middle Name |
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McGarry | Ryan | |
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 |
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Clarification of Response (if Necessary):
Senior Vice President of Asset ManagementLast Name | First Name | Middle Name |
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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 | X | Director | Promoter |
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Clarification of Response (if Necessary):
Chief Executive Officer and PresidentLast Name | First Name | Middle Name |
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Kavanaugh | Scott | |
Street Address 1 | Street Address 2 | |
300 Crescent Court, Suite 700 | ||
City | State/Province/Country | ZIP/PostalCode |
Dallas | TEXAS | 75201 |
Relationship: | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
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Laffer | Art | |
Street Address 1 | Street Address 2 | |
300 Crescent Court, Suite 700 | ||
City | State/Province/Country | ZIP/PostalCode |
Dallas | TEXAS | 75201 |
Relationship: | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
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Constantino | Ed | |
Street Address 1 | Street Address 2 | |
300 Crescent Court, Suite 700 | ||
City | State/Province/Country | ZIP/PostalCode |
Dallas | TEXAS | 75201 |
Relationship: | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
4. 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 | |||
X | Decline to Disclose | 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 | 2018-11-01 | 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)
X | 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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Raymond James & Associates, Inc. | 705 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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880 Carillon Parkway | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
St. Petersburg | FLORIDA | 33716 | |||||
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Recipient |
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Nexpoint Securities, Inc. | 165013 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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300 Crescent Court, Suite 700 | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Dallas | TEXAS | 75201 | |||||
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Recipient |
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Whitehall-Parker Securities, Inc. | 10608 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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477 Pacific Avenue | 2nd Floor | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
San Francisco | CALIFORNIA | 94133 | |||||
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Recipient |
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Emerson Equity LLC | 130032 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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155 Bovet Road | Suite 725 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
San Mateo | CALIFORNIA | 94402 | |||||
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Recipient |
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Center Street Securities, Inc. | 26898 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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2740 Old Elm Hill Pike | Suite 201 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Nashville | TENNESSEE | 37214 | |||||
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Recipient |
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Capulent, LLC | 155155 | ||||||||||||||||||||||||||||||||
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None | None | ||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||
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4144 N 44th Street | Suite 3 | ||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||
Phoenix | ARIZONA | 85018 | |||||||||||||||||||||||||||||||
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Recipient |
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Moloney Securities Co., Inc. | 38535 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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13537 Barrett Parkway Drive #300 | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Manchester | MISSOURI | 63021 | |||||
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Recipient |
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Integrity Brokerage Services, Inc. | 117589 | ||||||||||||||||
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None | None | ||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||
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1945 Stewart Street | |||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||
Oceanside | CALIFORNIA | 92054 | |||||||||||||||
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Recipient |
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WestPark Capital, Inc. | 39914 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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1900 Avenue of the Stars | Suite 310 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Los Angeles | CALIFORNIA | 90067 | |||||
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Recipient |
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NI Advisors | 134502 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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1138 CADILLAC COURT | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Milpitas | CALIFORNIA | 95035 | |||||
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Recipient |
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IFP SECURITIES, LLC | 297287 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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3030 NORTH ROCKY POINT DRIVE WEST | STE 700 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
TAMPA | FLORIDA | 33607 | |||||
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Recipient |
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WEALTHFORGE SECURITIES, LLC | 152550 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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6800 PARAGON PLACE SUITE 200 | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
RICHMOND | VIRGINIA | 23230 | |||||
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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 | ||||||
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18 CORPORATE WOODS BLVD | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
ALBANY | NEW YORK | 12211 | |||||
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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 | ||||||
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5187 UTICA RIDGE RD | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
DAVENPORT | IOWA | 52807 | |||||
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Recipient |
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CALTON & ASSOCIATES, INC. | 20999 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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2701 N ROCKY POINT DRIVE | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
TAMPA | FLORIDA | 33607 | |||||
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Recipient |
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COASTAL EQUITIES, INC. | 23769 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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1201 N. ORANGE STREET | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
WILMINGTON | DELAWARE | 19801 | |||||
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Recipient |
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DEMPSEY LORD SMITH, LLC | 141238 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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901 N BROAD STREET | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
ROME | GEORGIA | 30161 | |||||
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Recipient |
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GREAT POINT CAPITAL LLC | 114203 | |||||||||||||||||||||||||||||||||||||||||||||
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None | None | |||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||||||||||||||||||||||||||||||||||
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200 WEST JACKSON BLVD. | ||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||||||||||||||||||||||||||||||||||
CHICAGO | ILLINOIS | 60606 | ||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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HERBERT J. SIMS & CO, INC. | 3420 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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2150 POST ROAD | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
FAIRFIELD | CONNECTICUT | 06824 | |||||
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Recipient |
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CABOT LODGE SECURITIES LLC | 159712 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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200 VESEY STREET | 24TH FLOOR | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
NEW YORK | NEW YORK | 10281 | |||||
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Recipient |
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ALEXANDER CAPITAL, L.P. | 40077 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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17 STATE STREET | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
NEW YORK | NEW YORK | 10004 | |||||
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Recipient |
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FORTUNE SECURITIES, INC. | 40821 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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388 E. VALLEY BLVD | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
ALHAMBRA | CALIFORNIA | 91801 | |||||
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Recipient |
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KCD FINANCIAL, INC | 127473 | |||||||||||||||||||||||||||||||||||||||||||||||||
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None | None | |||||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||||||||||||||||||||||||||||||||||||||
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3061 ALLIED STREET SUITE B | ||||||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||||||||||||||||||||||||||||||||||||||
GREEN BAY | WISCONSIN | 54304 | ||||||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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LIGHTPATH CAPITAL, INC | 34617 | |||||||||||||||||||
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None | None | |||||||||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||||||||
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1453 THIRD STREET PROMENADE | ||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||||||||
LOS ANGELES | CALIFORNIA | 90401 | ||||||||||||||||||
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13. Offering and Sales Amounts
Total Offering Amount | $1,000,000,000 | USD |
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Total Amount Sold | $118,457,157 | USD | ||||
Total Remaining to be Sold | $881,542,843 | 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 | $1,234,100 | USD |
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Finders' Fees | $0 | USD |
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Clarification of Response (if Necessary):
Only Class A Shares are subject to commissions.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 |
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Clarification of Response (if Necessary):
Certain persons named in Item 3 or affiliate(s) thereof may receive payments deemed to be made from the proceeds of the offering, the amounts of which cannot be estimated at this time.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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VINEBROOK HOMES TRUST, INC. | /s/ Brian Mitts | Brian Mitts | CFO, Treasurer and Assistant Secretary | 2019-10-01 |
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.