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 | ||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
0001912186 |
Statutory trust | ||||||||||||||
Name of Issuer | |||||||||||||||
Moody CY Waterbury DST | |||||||||||||||
Jurisdiction of Incorporation/Organization | |||||||||||||||
DELAWARE | |||||||||||||||
Year of Incorporation/Organization | |||||||||||||||
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2. Principal Place of Business and Contact Information
Name of Issuer | |||
---|---|---|---|
Moody CY Waterbury DST | |||
Street Address 1 | Street Address 2 | ||
9655 KATY FREEWAY, SUITE 600 | |||
City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
HOUSTON | TEXAS | 77024 | (713) 977-7500 |
3. Related Persons
Last Name | First Name | Middle Name |
---|---|---|
Moody | Brett | C |
Street Address 1 | Street Address 2 | |
9655 Katy Freeway, Suite 600 | ||
City | State/Province/Country | ZIP/PostalCode |
Houston | TEXAS | 77024 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
President of Issuer's ManagerLast Name | First Name | Middle Name |
---|---|---|
Moody Waterbury AM, LLC | N/A | |
Street Address 1 | Street Address 2 | |
9655 Katy Freeway, Suite 600 | ||
City | State/Province/Country | ZIP/PostalCode |
Houston | TEXAS | 77024 |
Relationship: | Executive Officer | Director | X | Promoter |
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Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
---|---|---|
Moody Waterbury Depositor, LLC | N/A | |
Street Address 1 | Street Address 2 | |
9655 Katy Freeway, Suite 600 | ||
City | State/Province/Country | ZIP/PostalCode |
Houston | TEXAS | 77024 |
Relationship: | Executive Officer | Director | X | Promoter |
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Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
---|---|---|
Moody National DST Sponsor, LLC | N/A | |
Street Address 1 | Street Address 2 | |
9655 Katy Freeway, Suite 600 | ||
City | State/Province/Country | ZIP/PostalCode |
Houston | TEXAS | 77024 |
Relationship: | Executive Officer | Director | X | 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 | ||
---|---|---|---|---|
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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7. Type of Filing
New Notice | Date of First Sale | 2022-03-01 | 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 | 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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Moody Securities, LLC | 148771 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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9655 Katy Freeway, Suite 600 | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Houston | TEXAS | 77024 | |||||
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Recipient |
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David Levinson | 705929 | ||||||||||||||||||||||||||||||||||||||
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American Trust Investments Services, Inc | 3001 | ||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||||
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4722 Main Street | |||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||
Lisle | ILLINOIS | 60532 | |||||||||||||||||||||||||||||||||||||
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Recipient |
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Ivan West | 4921015 | |||||||||||||||||||||
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American Trust Investments Services, Inc | 3001 | |||||||||||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||||||||||
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4722 Main Street | ||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||||||||||
Lisle | ILLINOIS | 60532 | ||||||||||||||||||||
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Recipient |
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James Parry | 1877092 | |||||||||||||
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Arkadios Capital | 282710 | |||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
2591 Dallas Parkway #300 | ||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||
Frisco | TEXAS | 75034 | ||||||||||||
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Recipient |
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Jonathan Keller | 4344114 | ||||||||||||||||
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Arkadios Capital | 282710 | ||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||
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309 East Paces Ferry Road, Suite 1000 | |||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||
Atlanta | GEORGIA | 30305 | |||||||||||||||
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Recipient |
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Ronald York | 4308987 | |||||||||||||
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Arkadios Capital | 282710 | |||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
4814 Outlook Drive, Suite 104 | ||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||
Wall | NEW JERSEY | 07753 | ||||||||||||
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Recipient |
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W. Louis Herford | 2066018 | ||||||||||
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Arkadios Capital | 282710 | ||||||||||
Street Address 1 | Street Address 2 | ||||||||||
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10316 Feldfarm Lane, Suite 300 | |||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||
Charlotte | NORTH CAROLINA | 28210 | |||||||||
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Recipient |
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Roger Bowlin | 1905652 | ||||||||||
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Aurora Securities | 46147 | ||||||||||
Street Address 1 | Street Address 2 | ||||||||||
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2731 77th Avenue SE, Suite 100 | |||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||
Mercer Island | WASHINGTON | 98040 | |||||||||
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Recipient |
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James V. Peters | 2667777 | |||||||||||
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Centaurus Financial Inc. | 30833 | |||||||||||
Street Address 1 | Street Address 2 | |||||||||||
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19782 MacArthur Blvd., Suite #320 | ||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||
Irvine | CALIFORNIA | 92612 | ||||||||||
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Recipient |
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Philip A. Board | 2290520 | |||||||||||||||
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Centaurus Financial Inc. | 30833 | |||||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||||
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818 North Mountain Ave., Suite #200 | ||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||||
Upland | CALIFORNIA | 91786 | ||||||||||||||
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Recipient |
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Terry Gertge | 2956582 | |||||||
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Centaurus Financial Inc. | 30833 | |||||||
Street Address 1 | Street Address 2 | |||||||
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217 1st Street, Suite #B | ||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||
Ault | COLORADO | 80610 | ||||||
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Recipient |
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Concorde Investment Services, LLC | 151604 | ||||||||||||||||||||||||||||||||||||||||||||||||||
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None | None | ||||||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
19500 Victor Parkway, Suite 550 | |||||||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||||||||||||||
LIVONIA | MICHIGAN | 48152 | |||||||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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Harmony M. Russo | 5294771 | ||||||||||
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Crown Capital Securities, LP | 6312 | ||||||||||
Street Address 1 | Street Address 2 | ||||||||||
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2660 Townsgate Road, Suite 310 | |||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||
Westlake Village | CALIFORNIA | 91361 | |||||||||
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Recipient |
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Jonathan R Creighton | 1495897 | |||||||||||
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DAI Securities, LLC | 36673 | |||||||||||
Street Address 1 | Street Address 2 | |||||||||||
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350 Lincoln Street, Suite 2400 | ||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||
Hingham | MASSACHUSETTS | 02043 | ||||||||||
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Recipient |
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Michael Edward O'Toole | 6336251 | ||||||||||||||||||||||||||||||
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DAI Securities, LLC | 36673 | ||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||
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150 St. Andrews Ct., Suite 210 | |||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||
Mankato | MINNESOTA | 56001 | |||||||||||||||||||||||||||||
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Recipient |
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Nathaniel Michael Kuhn | 4624143 | ||||||||||||
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DAI Securities, LLC | 36673 | ||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||
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120 W Eastman Street?#300 | |||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||
Arlington Heights | ILLINOIS | 60004 | |||||||||||
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Recipient |
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Adam Shipley | 6482848 | ||||||||||
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Emerson Equity LLC | 130032 | ||||||||||
Street Address 1 | Street Address 2 | ||||||||||
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9940 Research Drive Suite 200 | |||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||
Irvine | CALIFORNIA | 92618 | |||||||||
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Recipient |
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Benjamin Carmona | 5120428 | ||||||||||
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Emerson Equity LLC | 130032 | ||||||||||
Street Address 1 | Street Address 2 | ||||||||||
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9940 Research Drive Suite 200 | |||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||
Irvine | CALIFORNIA | 92618 | |||||||||
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Recipient |
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Benjamin Carmona | 5120428 | |||||||||||||||||
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Emerson Equity LLC | 130032 | |||||||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||||||
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9940 Research Drive Suite 200 | ||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||||||
Irvine | CALIFORNIA | 92618 | ||||||||||||||||
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Recipient |
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John Paul Ledesma | 2379751 | ||||||||||||||||||||||
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Emerson Equity LLC | 130032 | ||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||
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9940 Research Drive Suite 200 | |||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||
Irvine | CALIFORNIA | 92618 | |||||||||||||||||||||
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Recipient |
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Peter Chernin | 6787497 | ||||||||||||
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Great Point Capital LLC | 114203 | ||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||
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200 West Jackson Blvd., Suite 1000 | |||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||
Chicago | ILLINOIS | 60606 | |||||||||||
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Recipient |
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Robert L. Boggess | 5007422 | |||||||||||||||||||||||||||||||||||||||||||||||||
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Great Point Capital LLC | 114203 | |||||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||||||||||||||||||||||||||||||||||||||
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200 West Jackson Blvd., Suite 1000 | ||||||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||||||||||||||||||||||||||||||||||||||
Chicago | ILLINOIS | 60606 | ||||||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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Mark Herding | 2239357 | |||||||||||||||
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Harbour Investments | 19258 | |||||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||||
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4648 N 32nd St | ||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||||
Phoenix | ARIZONA | 85018 | ||||||||||||||
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Recipient |
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Karen Templeton | 6461480 | ||||||||||||||
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Innovation Partners LLC | 146344 | ||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||
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847 Monterey St. Suite 201 | |||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||
San Luis Obispo | CALIFORNIA | 93401 | |||||||||||||
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Recipient |
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Amr Tenney | 5506866 | ||||||||||||||||||||||||||||||||||||||||||||||||||
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Thornhill Securities Inc. | 22333 | ||||||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
400 W. 15th St., Suite 700 | |||||||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||||||||||||||
Austin | TEXAS | 78701 | |||||||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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Robert Johnson | 4318220 | ||||||||||||||||||||||||||||||||||||||||||||||||||
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Thornhill Securities Inc. | 22333 | ||||||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
400 W. 15th St., Suite 700 | |||||||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||||||||||||||
Austin | TEXAS | 78701 | |||||||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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David Kangas | 6591398 | ||||||
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Wealthforge Securities, LLC | 152550 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
738 E. Chapman Avenue | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Orange | CALIFORNIA | 92866 | |||||
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Recipient |
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Trawnegan Gall | 6266415 | ||||||
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Wealthforge Securities, LLC | 152550 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
130 N Preston Road?Suite 238 | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Prosper | TEXAS | 75078 | |||||
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Recipient |
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John Harvey | 4227692 | ||||||
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Wealthforge Securities, LLC | 152550 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
7051 Heathcote Village Way, Suite 200 | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Gainesville | VIRGINIA | 20155 | |||||
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13. Offering and Sales Amounts
Total Offering Amount | $29,160,000 | USD |
| |||
Total Amount Sold | $29,160,000 | USD | ||||
Total Remaining to be Sold | $0 | 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 | $2,309,271 | USD |
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Finders' Fees | $0 | USD |
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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.
$3,942,623 | USD |
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Clarification of Response (if Necessary):
Moody Waterbury Depositor, LLC will be responsible for paying certain fees and costs of approximately $3,842,623 (approximately $758,333 of which will be paid to an affiliate of the Manager as carrying costs)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 |
---|---|---|---|---|
Moody CY Waterbury DST | Brett C Moody | Brett C Moody | President of Issuer's Manager | 2022-07-20 |
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.