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Form D/A NexPoint Buffalo DST

July 6, 2022 9:54 AM EDT

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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
XNone
Entity Type
0001922296
Corporation
Limited Partnership
Limited Liability Company
General Partnership
Business Trust
XOther (Specify)

Name of Issuer
NexPoint Buffalo DST
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
Over Five Years Ago
XWithin Last Five Years (Specify Year)2022
Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
NexPoint Buffalo DST
Street Address 1Street Address 2
300 CRESCENT COURTSUITE 700
CityState/Province/CountryZIP/PostalCodePhone Number of Issuer
DALLASTEXAS75201(833) 697-6246

3. Related Persons

Last NameFirst NameMiddle Name
NexPoint Real Estate Advisors IV, L.P.N/A
Street Address 1Street Address 2
300 Crescent CourtSuite 700
CityState/Province/CountryZIP/PostalCode
DallasTEXAS75201
Relationship:XExecutive OfficerDirectorPromoter

Clarification of Response (if Necessary):

Sponsor of the Issuer
Last NameFirst NameMiddle Name
GoetzMatthew
Street Address 1Street Address 2
300 Crescent CourtSuite 700
CityState/Province/CountryZIP/PostalCode
DallasTEXAS75201
Relationship:XExecutive OfficerDirectorPromoter

Clarification of Response (if Necessary):

Authorized Signatory of the Issuer
Last NameFirst NameMiddle Name
McGranerMatt
Street Address 1Street Address 2
300 Crescent CourtSuite 700
CityState/Province/CountryZIP/PostalCode
DallasTEXAS75201
Relationship:XExecutive OfficerDirectorPromoter

Clarification of Response (if Necessary):

Authorized Signatory of the Issuer
Last NameFirst NameMiddle Name
NexPoint Buffalo Manager, LLCN/A
Street Address 1Street Address 2
300 Crescent CourtSuite 700
CityState/Province/CountryZIP/PostalCode
DallasTEXAS75201
Relationship:XExecutive OfficerDirectorPromoter

Clarification of Response (if Necessary):

Manager and Signatory Trustee of the Issuer
Last NameFirst NameMiddle Name
NexPoint Buffalo Investment Co, LLCN/A
Street Address 1Street Address 2
300 Crescent CourtSuite 700
CityState/Province/CountryZIP/PostalCode
DallasTEXAS75201
Relationship:XExecutive OfficerDirectorPromoter

Clarification of Response (if Necessary):

Contributor of the Issuer

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?
 Yes No
 Other Banking & Financial Services
 Business Services
Energy
 Coal Mining
 Electric Utilities
 Energy Conservation
 Environmental Services
 Oil & Gas
 Other Energy
Health Care
 Biotechnology
 Health Insurance
 Hospitals & Physicians
 Pharmaceuticals
 Other Health Care
 Manufacturing
Real Estate
 Commercial
 Construction
 REITS & Finance
 Residential
XOther Real Estate
 
Retailing
 
Restaurants
Technology
 Computers
 Telecommunications
 Other Technology
Travel
 Airlines & Airports
 Lodging & Conventions
 Tourism & Travel Services
 Other Travel
 
Other

5. Issuer Size

Revenue RangeORAggregate 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
XDecline 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)
   Section 3(c)(7)
   Rule 504 (b)(1)(i)
   Rule 504 (b)(1)(ii)
   Rule 504 (b)(1)(iii)
   Rule 505
XRule 506(b)
   Rule 506(c)
   Securities Act Section 4(a)(5)
  

7. Type of Filing

   New NoticeDate of First Sale2022-03-25   First Sale Yet to Occur
XAmendment

8. Duration of Offering

Does the Issuer intend this offering to last more than one year?
   YesXNo

9. Type(s) of Securities Offered (select all that apply)

XEquity   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?
   YesXNo

Clarification of Response (if Necessary):

 

11. Minimum Investment

Minimum investment accepted from any outside investor$100,000USD

12. Sales Compensation

Recipient
Recipient CRD Number   None
Emerson Equity LLC130032
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
155 Bovet RoadSuite 725
CityState/Province/CountryZIP/Postal Code
San MateoCALIFORNIA94402
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
   All States
   Foreign/non-US

Recipient
Recipient CRD Number   None
Herbert J. Sims & Co., Inc.3420
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
2150 Post RoadSuite 301
CityState/Province/CountryZIP/Postal Code
FairfieldCONNECTICUT06824
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
   All States
   Foreign/non-US

Recipient
Recipient CRD Number   None
Stax Capital300607
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
7960 Entrada Lazanja 
CityState/Province/CountryZIP/Postal Code
San DiegoCALIFORNIA92127
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
   All States
   Foreign/non-US

Recipient
Recipient CRD Number   None
Centaurus Financial, Inc.30833
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
2300 E. Katella AvenueSuite #200
CityState/Province/CountryZIP/Postal Code
AnaheimCALIFORNIA92806
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
   All States
   Foreign/non-US

Recipient
Recipient CRD Number   None
Concorde Investment Services, LLC151604
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
19500 Victor ParkwaySuite 550
CityState/Province/CountryZIP/Postal Code
LivoniaMICHIGAN48152
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
   All States
   Foreign/non-US

Recipient
Recipient CRD Number   None
Arete Wealth Management, LLC44856
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
1115 W. Fulton Market3rd Floor
CityState/Province/CountryZIP/Postal Code
ChicagoILLINOIS60607
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
   All States
   Foreign/non-US

Recipient
Recipient CRD Number   None
Thornhill Securities, Inc.22333
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
400 W. 15th StreetSuite 700
CityState/Province/CountryZIP/Postal Code
AustinTEXAS78701
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
   All States
   Foreign/non-US

Recipient
Recipient CRD Number   None
DFPG Investments, LLC155576
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
9017 S. Riverside DriveSuite 210
CityState/Province/CountryZIP/Postal Code
SandyUTAH84070
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
   All States
   Foreign/non-US

Recipient
Recipient CRD Number   None
Cape Securities Inc.7072
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
1600 Pennsylvania Avenue 
CityState/Province/CountryZIP/Postal Code
McDonoughGEORGIA30253
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
   All States
   Foreign/non-US

Recipient
Recipient CRD Number   None
Lightpath Capital, Inc.34617
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
1560 E. Southlake BoulevardSuite 100
CityState/Province/CountryZIP/Postal Code
SouthlakeTEXAS76092
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
   All States
   Foreign/non-US

Recipient
Recipient CRD Number   None
Aurora Securities46147
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
2565 West Maple 
CityState/Province/CountryZIP/Postal Code
TroyMICHIGAN48084
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
   All States
   Foreign/non-US

Recipient
Recipient CRD Number   None
Capulent LLC155155
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
4144 N. 44th StreetSuite 3
CityState/Province/CountryZIP/Postal Code
PhoenixARIZONA85018
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
   All States
   Foreign/non-US

Recipient
Recipient CRD Number   None
FNEX Capital, LLC166316
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
One Indiana SquareSuite 2252
CityState/Province/CountryZIP/Postal Code
IndianapolisINDIANA46204
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
   All States
   Foreign/non-US

Recipient
Recipient CRD Number   None
Center Street Securities, Inc.26898
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
2 International PlazaSuite 301
CityState/Province/CountryZIP/Postal Code
NashvilleTENNESSEE37217
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
   All States
   Foreign/non-US

Recipient
Recipient CRD Number   None
Patrick Capital Markets, LLC16518
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
11152 South Towne Square 
CityState/Province/CountryZIP/Postal Code
St. LouisMISSOURI63123
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
   All States
   Foreign/non-US

Recipient
Recipient CRD Number   None
Whitehall-Parker Securities, Inc.10608
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
117 Paul DriveSuite B
CityState/Province/CountryZIP/Postal Code
San RafaelCALIFORNIA94903
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
   All States
   Foreign/non-US

Recipient
Recipient CRD Number   None
McDermott Investment Services, LLC154926
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
44 East Broad Street2nd Floor
CityState/Province/CountryZIP/Postal Code
BethlehemPENNSYLVANIA18018
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
   All States
   Foreign/non-US

Recipient
Recipient CRD Number   None
Client One Securities LLC152974
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
6330 Sprint ParkwaySuite 400
CityState/Province/CountryZIP/Postal Code
Overland ParkKANSAS66211
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
   All States
   Foreign/non-US

Recipient
Recipient CRD Number   None
Western International Securities, Inc.39262
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
70 S. Lake AvenueSuite 700
CityState/Province/CountryZIP/Postal Code
PasadenaCALIFORNIA91101
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
   All States
   Foreign/non-US

13. Offering and Sales Amounts

Total Offering Amount$54,531,314USD
or   Indefinite
Total Amount Sold$34,949,681USD
Total Remaining to be Sold$19,581,633USD
or  Indefinite

Clarification of Response (if Necessary):

Regarding Item 11, the Issuer may accept smaller investments in the Sponsor's sole discretion.

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:
124

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$4,771,490USD
XEstimate
Finders' Fees$0USD
XEstimate

Clarification of Response (if Necessary):

Sales Commissions include estimates of the maximum amount of Selling Commissions and Dealer Fees that may be paid.

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.

$1137228USD
XEstimate

Clarification of Response (if Necessary):

Item 16 is an estimate of offering expenses and acquisition fees that may accrue to one or more Related Persons.

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.

IssuerSignatureName of SignerTitleDate
NexPoint Buffalo DST/s/ Matt GoetzMatt GoetzAuthorized Signatory of the Issuer2022-07-06

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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