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 |
|
1. Issuer's Identity
CIK (Filer ID Number) | Previous Names |
| Entity Type | ||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
0000821026 |
|
| |||||||||||||||
Name of Issuer | |||||||||||||||||
Andersons, Inc. | |||||||||||||||||
Jurisdiction of Incorporation/Organization | |||||||||||||||||
OHIO | |||||||||||||||||
Year of Incorporation/Organization | |||||||||||||||||
|
2. Principal Place of Business and Contact Information
Name of Issuer | |||
---|---|---|---|
Andersons, Inc. | |||
Street Address 1 | Street Address 2 | ||
480 W DUSSEL DR | |||
City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
MAUMEE | OHIO | 43537 | 4198935050 |
3. Related Persons
Last Name | First Name | Middle Name |
---|---|---|
Anderson | Michael | J. |
Street Address 1 | Street Address 2 | |
1626 River Road | ||
City | State/Province/Country | ZIP/PostalCode |
Maumee | OHIO | 43537 |
Relationship: | X | Executive Officer | X | Director | Promoter |
---|
Clarification of Response (if Necessary):
Director, President & Chief Executive OfficerLast Name | First Name | Middle Name |
---|---|---|
Anderson | Gerard | M. |
Street Address 1 | Street Address 2 | |
191 Orchard Hills Court | ||
City | State/Province/Country | ZIP/PostalCode |
Ann Arbor | MICHIGAN | 48104 |
Relationship: | Executive Officer | X | Director | Promoter |
---|
Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
---|---|---|
Kilbane | Catherine | M. |
Street Address 1 | Street Address 2 | |
2850 Nottingham Lane | ||
City | State/Province/Country | ZIP/PostalCode |
Hunting Valley | OHIO | 44022 |
Relationship: | Executive Officer | X | Director | Promoter |
---|
Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
---|---|---|
King, Jr. | Robert | J. |
Street Address 1 | Street Address 2 | |
5 Daisy Lane | ||
City | State/Province/Country | ZIP/PostalCode |
Pepper Pike | OHIO | 44124 |
Relationship: | Executive Officer | X | Director | Promoter |
---|
Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
---|---|---|
Manire | Ross | W. |
Street Address 1 | Street Address 2 | |
665 Plum Tree Road | ||
City | State/Province/Country | ZIP/PostalCode |
Glenn Ellyn | ILLINOIS | 60137 |
Relationship: | Executive Officer | X | Director | Promoter |
---|
Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
---|---|---|
Mennel | Donald | L. |
Street Address 1 | Street Address 2 | |
3020 Stuart Road | ||
City | State/Province/Country | ZIP/PostalCode |
Fostoria | OHIO | 44830 |
Relationship: | Executive Officer | X | Director | Promoter |
---|
Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
---|---|---|
Mullin | Patrick | S. |
Street Address 1 | Street Address 2 | |
860 West Hill Drive | ||
City | State/Province/Country | ZIP/PostalCode |
Gates Mills | OHIO | 44040 |
Relationship: | Executive Officer | X | Director | Promoter |
---|
Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
---|---|---|
Stout, Jr. | John | T. |
Street Address 1 | Street Address 2 | |
3100 West 69th Street | ||
City | State/Province/Country | ZIP/PostalCode |
Mission Hills | KANSAS | 66208 |
Relationship: | Executive Officer | X | Director | Promoter |
---|
Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
---|---|---|
Woods | Jacqueline | F. |
Street Address 1 | Street Address 2 | |
37110 Wexford Drive | ||
City | State/Province/Country | ZIP/PostalCode |
Solon | OHIO | 44139 |
Relationship: | Executive Officer | X | Director | Promoter |
---|
Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
---|---|---|
Reed | Harold | M. |
Street Address 1 | Street Address 2 | |
4026 Coneflower | ||
City | State/Province/Country | ZIP/PostalCode |
Maumee | OHIO | 43537 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
Chief Operating OfficerLast Name | First Name | Middle Name |
---|---|---|
Granato | John | J. |
Street Address 1 | Street Address 2 | |
2822 River Road | ||
City | State/Province/Country | ZIP/PostalCode |
Maumee | OHIO | 43537 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
Chief Financial OfficerLast Name | First Name | Middle Name |
---|---|---|
Addis | Dennis | J. |
Street Address 1 | Street Address 2 | |
10429 Bailey Road | ||
City | State/Province/Country | ZIP/PostalCode |
Waterville | OHIO | 43566 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
President, Grain GroupLast Name | First Name | Middle Name |
---|---|---|
McKinstray | Neill | C. |
Street Address 1 | Street Address 2 | |
8303 O'Dowling Drive | ||
City | State/Province/Country | ZIP/PostalCode |
Onsted | MICHIGAN | 49265 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
President, Ethanol GroupLast Name | First Name | Middle Name |
---|---|---|
Wolf | William | J. |
Street Address 1 | Street Address 2 | |
3909 Brookside Road | ||
City | State/Province/Country | ZIP/PostalCode |
Ottawa Hills | OHIO | 43606 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
President, Plant Nutrient GroupLast Name | First Name | Middle Name |
---|---|---|
Shah | Rasesh | H. |
Street Address 1 | Street Address 2 | |
8929 Sand Ridge Drive | ||
City | State/Province/Country | ZIP/PostalCode |
Holland | OHIO | 43528 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
President, Rail GroupLast Name | First Name | Middle Name |
---|---|---|
Anderson | Daniel | T. |
Street Address 1 | Street Address 2 | |
1833 S. Holland Sylvania | ||
City | State/Province/Country | ZIP/PostalCode |
Maumee | OHIO | 43537 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
President, Retail GroupLast Name | First Name | Middle Name |
---|---|---|
Waggoner | Thomas | L. |
Street Address 1 | Street Address 2 | |
25188 Rocky Harbour Drive | ||
City | State/Province/Country | ZIP/PostalCode |
Perrysburg | OHIO | 43551 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
Vice President, Marketing and Operation ServicesLast Name | First Name | Middle Name |
---|---|---|
Rex | Anne | G. |
Street Address 1 | Street Address 2 | |
10375 Roachton Road | ||
City | State/Province/Country | ZIP/PostalCode |
Perrysburg | OHIO | 43551 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
Vice President, Corporate ControllerLast Name | First Name | Middle Name |
---|---|---|
Sparks | Tamara | S. |
Street Address 1 | Street Address 2 | |
3150 Lexington Glen Blvd. | ||
City | State/Province/Country | ZIP/PostalCode |
Monclova | OHIO | 43542 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
Vice President, Corporate Business/Financial AnalysisLast Name | First Name | Middle Name |
---|---|---|
Burmeister | James | C. |
Street Address 1 | Street Address 2 | |
3001 Secretariat Road | ||
City | State/Province/Country | ZIP/PostalCode |
Toledo | OHIO | 43615 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
Vice President, Finance & TreasurerLast Name | First Name | Middle Name |
---|---|---|
Burchinow | Naran | U. |
Street Address 1 | Street Address 2 | |
3532 Ridgewood Road | ||
City | State/Province/Country | ZIP/PostalCode |
Toledo | OHIO | 43606 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
Vice President, General Counsel & SecretaryLast Name | First Name | Middle Name |
---|---|---|
DePompei | Arthur | D. |
Street Address 1 | Street Address 2 | |
4901 Starboard Drive | ||
City | State/Province/Country | ZIP/PostalCode |
Maumee | OHIO | 43537 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
Vice President, Human Resources4. Industry Group
|
|
|
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 | |||
X | Over $100,000,000 | Over $100,000,000 | ||
Decline to Disclose | Decline to Disclose | |||
Not Applicable | Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
| |||
Rule 504 (b)(1)(i) | |||
Rule 504 (b)(1)(ii) | |||
Rule 504 (b)(1)(iii) | |||
Rule 505 | |||
X | Rule 506(b) | ||
Rule 506(c) | |||
Securities Act Section 4(a)(5) |
| ||||
| ||||
| ||||
| ||||
| ||||
| ||||
| ||||
|
7. Type of Filing
X | New Notice | Date of First Sale | 2015-03-13 | First Sale Yet to Occur | |||||
Amendment |
8. Duration of Offering
Does the Issuer intend this offering to last more than one year? |
|
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? |
|
Clarification of Response (if Necessary):
11. Minimum Investment
Minimum investment accepted from any outside investor | $0 | USD |
12. Sales Compensation
Recipient |
| ||||||
|
| ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
City | State/Province/Country | ZIP/Postal Code | |||||
|
|
13. Offering and Sales Amounts
Total Offering Amount | $4,781,632 | USD |
| |||
Total Amount Sold | $4,781,632 | USD | ||||
Total Remaining to be Sold | $0 | 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 | $0 | 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 |
---|---|---|---|---|
Andersons, Inc. | John Granato | John Granato | Chief Financial Officer | 2015-03-27 |
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.