Form D · REITS and Finance

BlackRock Mortgage Investors REIT Inc.

New York, NY · CIK 0001536652

Offering snapshot reported Dec 21, 2011 · SEC filing

Reported sold: $124K
Investors reported: 124
Minimum accepted: $1K
First sale: Dec 12, 2011

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Dec 21, 2011	Initial	$124,000	No comparison	124	SEC filing

Offering details

Securities: Equity
Exemptions: 06, 3C, 3C.7
Duration over one year: No
Business combination: No

Sales commissions: $6.25K (estimated)
Finders' fees: $0
Form D file number: 021-170501

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Charles Harrison	3071551	H & L Equities, LLC · CRD 113794
Phyllis J. Beck	1020488	H & L Equities, LLC · CRD 113794
Patrick J. Whelchel	5389090	H & L Equities, LLC · CRD 113794
Scott Harrison	4981070	H & L Equities, LLC · CRD 113794
Lori Mayfield	4899271	H & L Equities, LLC · CRD 113794

Source: Form D, filed Dec 21, 2011. Minimum accepted may differ from a standard advertised minimum.

Fund connections

The linked fund shows its most recently reported ADV details.

Matched by reported Form D file number

BLACKROCK MORTGAGE INVESTORS REIT, INC.

Investment adviser: BLACKROCK FINANCIAL MANAGEMENT, INC

Gross asset value: $169M
Beneficial owners: 0
ADV minimum commitment: $0

Reported in Form ADV on Feb 25, 2015. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Investor statements: No (provided to no investors) Related to adviser: No

Custodian THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Related to adviser: No

Marketer BLACKROCK INVESTMENTS, LLC NEW YORK, New York, United States Related to adviser: Yes

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

BLACKROCK INVESTMENTS, LLC
CRD 38642 · SEC 8-48436

Filing source

Form ADV 858089 · Feb 25, 2015 · Schedule D 7.B.(1), fund 805-8285848546

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

People & organizations

Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.

People and organizations reported in Form D filings
Name	Reported role
J. Richard Blewitt	Director, Executive
Stewart Eichner	Executive
Ron Fisher	Executive
Peter Leffler	Executive
Linda Novak	Executive
Randy Robertson	Director, Executive
Scott Schuman	Executive

Issuer details

Industry: REITS and Finance (See others in industry)

Address:

Blackrock Financial Management Inc. 55 East 52 Nd Street
New York, NY, 10055