The Securities and Exchange Commission has not necessarily reviewed
the information in this filing and has not determined if it is
accurate and complete.
The reader should not assume that the information is accurate
and complete.
|
| UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM D
Notice of Exempt Offering of Securities
| | OMB APPROVAL | | OMB Number: | 3235-0076 | | Expires: | August 31, 2015 | | Estimated average burden | | hours per response: | 4.00 |
|
|
1. Issuer's Identity
| CIK (Filer ID Number) | Previous Names | | Entity Type |
|---|
| 0001912186 | | | Corporation | | Limited Partnership | | Limited Liability Company | | General Partnership | | Business Trust | | X | Other (Specify) |
|
| Name of Issuer |
|---|
| Moody CY Waterbury DST |
| Jurisdiction of Incorporation/Organization |
|---|
| DELAWARE |
| Year of Incorporation/Organization |
|---|
| Over Five Years Ago | | X | Within Last Five Years (Specify Year) | 2022 | | Yet to Be Formed |
|
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 |
|---|
Clarification of Response (if Necessary):
President of Issuer's Manager
| Last 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 |
|---|
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 |
|---|
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 |
|---|
Clarification of Response (if Necessary):
4. Industry Group
| | Agriculture | | Banking & Financial Services | | | | Commercial Banking | | | Insurance | | | Investing | | | Investment Banking | | | Pooled Investment Fund | | | | Hedge Fund | | | Private Equity Fund | | | Venture Capital Fund | | | Other Investment Fund |
| |
Is the issuer registered as
an investment company under
the Investment Company
Act of 1940?
| | | | | Other Banking & Financial Services |
| | | Business Services | | Energy | | | | | | | | | | | | |
| | Health Care | | | | | | | | | | | | | Manufacturing | | Real Estate | | | | | | | | | | |
| | Retailing | | Restaurants | | Technology | | | | | | | | Travel | | | | | | | | Tourism & Travel Services |
| | | | Other |
|
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)
| | Rule 504(b)(1) (not (i), (ii) or (iii)) | |
| Investment Company Act Section 3(c) | |
| Section 3(c)(1) |
| Section 3(c)(9) |
| |
| Section 3(c)(2) |
| Section 3(c)(10) |
| |
| Section 3(c)(3) |
| Section 3(c)(11) |
| |
| Section 3(c)(4) |
| Section 3(c)(12) |
| |
| Section 3(c)(5) |
| Section 3(c)(13) |
| |
| Section 3(c)(6) |
| Section 3(c)(14) |
| |
|
|
|
| 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
|
| 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? | | |
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 | $25,000 | USD |
12. Sales Compensation
| Recipient | | Recipient CRD Number |
| None |
|
| Moody Securities, LLC | 148771 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 9655 Katy Freeway, Suite 600 | |
| City | State/Province/Country | ZIP/Postal Code |
| Houston | TEXAS | 77024 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
| X | All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| David Levinson | 705929 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| American Trust Investments Services, Inc | 3001 |
| Street Address 1 | Street Address 2 |
|---|
| 4722 Main Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Lisle | ILLINOIS | 60532 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Ivan West | 4921015 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| American Trust Investments Services, Inc | 3001 |
| Street Address 1 | Street Address 2 |
|---|
| 4722 Main Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Lisle | ILLINOIS | 60532 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| James Parry | 1877092 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Arkadios Capital | 282710 |
| Street Address 1 | Street Address 2 |
|---|
| 2591 Dallas Parkway #300 | |
| City | State/Province/Country | ZIP/Postal Code |
| Frisco | TEXAS | 75034 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Jonathan Keller | 4344114 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Arkadios Capital | 282710 |
| Street Address 1 | Street Address 2 |
|---|
| 309 East Paces Ferry Road, Suite 1000 | |
| City | State/Province/Country | ZIP/Postal Code |
| Atlanta | GEORGIA | 30305 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Ronald York | 4308987 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| 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 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| W. Louis Herford | 2066018 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Arkadios Capital | 282710 |
| Street Address 1 | Street Address 2 |
|---|
| 10316 Feldfarm Lane, Suite 300 | |
| City | State/Province/Country | ZIP/Postal Code |
| Charlotte | NORTH CAROLINA | 28210 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Roger Bowlin | 1905652 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Aurora Securities | 46147 |
| Street Address 1 | Street Address 2 |
|---|
| 2731 77th Avenue SE, Suite 100 | |
| City | State/Province/Country | ZIP/Postal Code |
| Mercer Island | WASHINGTON | 98040 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| James V. Peters | 2667777 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Centaurus Financial Inc. | 30833 |
| Street Address 1 | Street Address 2 |
|---|
| 19782 MacArthur Blvd., Suite #320 | |
| City | State/Province/Country | ZIP/Postal Code |
| Irvine | CALIFORNIA | 92612 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Philip A. Board | 2290520 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Centaurus Financial Inc. | 30833 |
| Street Address 1 | Street Address 2 |
|---|
| 818 North Mountain Ave., Suite #200 | |
| City | State/Province/Country | ZIP/Postal Code |
| Upland | CALIFORNIA | 91786 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Terry Gertge | 2956582 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Centaurus Financial Inc. | 30833 |
| Street Address 1 | Street Address 2 |
|---|
| 217 1st Street, Suite #B | |
| City | State/Province/Country | ZIP/Postal Code |
| Ault | COLORADO | 80610 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Concorde Investment Services, LLC | 151604 |
| (Associated) Broker or Dealer | X | None |
| | (Associated) Broker or Dealer CRD Number | X | None |
|
| None | None |
| Street Address 1 | Street Address 2 |
|---|
| 19500 Victor Parkway, Suite 550 | |
| City | State/Province/Country | ZIP/Postal Code |
| LIVONIA | MICHIGAN | 48152 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Harmony M. Russo | 5294771 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Crown Capital Securities, LP | 6312 |
| Street Address 1 | Street Address 2 |
|---|
| 2660 Townsgate Road, Suite 310 | |
| City | State/Province/Country | ZIP/Postal Code |
| Westlake Village | CALIFORNIA | 91361 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Jonathan R Creighton | 1495897 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| DAI Securities, LLC | 36673 |
| Street Address 1 | Street Address 2 |
|---|
| 350 Lincoln Street, Suite 2400 | |
| City | State/Province/Country | ZIP/Postal Code |
| Hingham | MASSACHUSETTS | 02043 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Michael Edward O'Toole | 6336251 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| DAI Securities, LLC | 36673 |
| Street Address 1 | Street Address 2 |
|---|
| 150 St. Andrews Ct., Suite 210 | |
| City | State/Province/Country | ZIP/Postal Code |
| Mankato | MINNESOTA | 56001 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Nathaniel Michael Kuhn | 4624143 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| DAI Securities, LLC | 36673 |
| Street Address 1 | Street Address 2 |
|---|
| 120 W Eastman Street?#300 | |
| City | State/Province/Country | ZIP/Postal Code |
| Arlington Heights | ILLINOIS | 60004 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Adam Shipley | 6482848 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Emerson Equity LLC | 130032 |
| Street Address 1 | Street Address 2 |
|---|
| 9940 Research Drive Suite 200 | |
| City | State/Province/Country | ZIP/Postal Code |
| Irvine | CALIFORNIA | 92618 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Benjamin Carmona | 5120428 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Emerson Equity LLC | 130032 |
| Street Address 1 | Street Address 2 |
|---|
| 9940 Research Drive Suite 200 | |
| City | State/Province/Country | ZIP/Postal Code |
| Irvine | CALIFORNIA | 92618 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Benjamin Carmona | 5120428 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Emerson Equity LLC | 130032 |
| Street Address 1 | Street Address 2 |
|---|
| 9940 Research Drive Suite 200 | |
| City | State/Province/Country | ZIP/Postal Code |
| Irvine | CALIFORNIA | 92618 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| John Paul Ledesma | 2379751 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Emerson Equity LLC | 130032 |
| Street Address 1 | Street Address 2 |
|---|
| 9940 Research Drive Suite 200 | |
| City | State/Province/Country | ZIP/Postal Code |
| Irvine | CALIFORNIA | 92618 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Peter Chernin | 6787497 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Great Point Capital LLC | 114203 |
| Street Address 1 | Street Address 2 |
|---|
| 200 West Jackson Blvd., Suite 1000 | |
| City | State/Province/Country | ZIP/Postal Code |
| Chicago | ILLINOIS | 60606 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Robert L. Boggess | 5007422 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Great Point Capital LLC | 114203 |
| Street Address 1 | Street Address 2 |
|---|
| 200 West Jackson Blvd., Suite 1000 | |
| City | State/Province/Country | ZIP/Postal Code |
| Chicago | ILLINOIS | 60606 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Mark Herding | 2239357 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Harbour Investments | 19258 |
| Street Address 1 | Street Address 2 |
|---|
| 4648 N 32nd St | |
| City | State/Province/Country | ZIP/Postal Code |
| Phoenix | ARIZONA | 85018 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Karen Templeton | 6461480 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Innovation Partners LLC | 146344 |
| Street Address 1 | Street Address 2 |
|---|
| 847 Monterey St. Suite 201 | |
| City | State/Province/Country | ZIP/Postal Code |
| San Luis Obispo | CALIFORNIA | 93401 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Amr Tenney | 5506866 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| 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 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Robert Johnson | 4318220 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| 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 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
|
| All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| David Kangas | 6591398 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| Wealthforge Securities, LLC | 152550 |
| Street Address 1 | Street Address 2 |
|---|
| 738 E. Chapman Avenue | |
| City | State/Province/Country | ZIP/Postal Code |
| Orange | CALIFORNIA | 92866 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
| X | All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| Trawnegan Gall | 6266415 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| 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 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
| X | All States |
| |
|
| Recipient | | Recipient CRD Number |
| None |
|
| John Harvey | 4227692 |
| (Associated) Broker or Dealer |
| None |
| | (Associated) Broker or Dealer CRD Number |
| None |
|
| 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 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
| X | All States |
| |
|
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 | |
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 | $2,309,271 | 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.
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: |
- Notifying the SEC and/or each State in which this notice is
filed of the offering of
securities described and undertaking to furnish them, upon written request,
in the accordance with applicable
law, the information furnished to offerees.*
- Irrevocably appointing each of the Secretary of the SEC and,
the Securities Administrator
or other legally designated officer of the State in which the
issuer maintains its principal
place of business and any State in which this notice is filed, as its
agents for service of
process, and agreeing that these persons may accept service on its
behalf, of any notice,
process or pleading, and further agreeing that such service may be made
by registered or
certified mail, in any Federal or state action, administrative proceeding,
or arbitration
brought against it in any place subject to the jurisdiction of the
United States, if the
action, proceeding or arbitration (a) arises out of any activity in
connection with the
offering of securities that is the subject of this notice, and (b) is
founded, directly or
indirectly, upon the provisions of: (i) the Securities Act of 1933, the
Securities Exchange
Act of 1934, the Trust Indenture Act of 1939, the Investment Company
Act of 1940, or the
Investment Advisers Act of 1940, or any rule or regulation under any of
these statutes, or (ii)
the laws of the State in which the issuer maintains its principal
place of business or any State
in which this notice is filed.
- Certifying that, if the issuer is claiming a Rule 505
exemption, the issuer is not disqualified
from relying on Rule 505 for one of the reasons stated in Rule
505(b)(2)(iii) or Rule 506(d).
|
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.
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