Form D · Other Banking and Financial Services

Cypress Equipment Fund 16, LLC

San Francisco, CA · CIK 0001451787

Offering snapshot reported Jan 29, 2010 · SEC filing

Reported sold
$32.2M
Offering amount: $35M
Investors reported
477
Form D · investor count
Minimum accepted
$35K
Reported outside-investor minimum
First sale
Jan 7, 2009
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$16.1M$32.2MJan 14, 2009: $160,000.00Jan 14, 2009Aug 4, 2009: $17,123,859.00Aug 4, 2009Jan 29, 2010: $32,200,624.00Jan 29, 2010

Dates are filing dates, not cash receipt dates. Decreases are reported revisions, not evidence of withdrawals. Separate offering histories are not added together.

What changed?

Latest filing versus its linked predecessor, where available.

  • Reported sold$160,000 → $32,200,624

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jan 29, 2010Amendment$32,200,624$32,040,624vs Jan 14, 2009477SEC filing
Aug 4, 2009Amendment$17,123,859$16,963,859vs Jan 14, 2009260SEC filing
Apr 3, 2009Amendment$6,566,872No comparisonNot reportedSEC filing
Jan 14, 2009Initial$160,000No comparisonNot reportedSEC filing

Offering details

Securities
Not reported
Exemptions
06
Duration over one year
Yes
Business combination
No
Sales commissions
$2.98M (estimated)
Finders' fees
$0
Form D file number
021-125996

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Cypress Capital Corporation42681Cypress Capital Corporation · CRD 42681
Berthel, Fisher and Company Financial Services, Inc.13609Berthel, Fisher and Company Financial Services, Inc. · CRD 13609
Zachary L. Carey3110546Calton and Associates, Inc. · CRD 20999
Oliver B. Williamson4642029Calton and Associates, Inc. · CRD 20999
Phillip D. King1839137Calton and Associates, Inc. · CRD 20999
Maryellen Trotter862519Centaurus Financial, Inc. · CRD 30833
Bryan D. Myers2527480Chapin, Davis · CRD 28116
Commonwealth Financial Network8032Commonwealth Financial Network · CRD 8032
Crown Capital Securities, L.P.6312Crown Capital Securities, L.P. · CRD 6312
David A. Harris500413David Harris and Co., Inc. · CRD 45670
Donald G. Dewaay Jr.1297174Dewaay Financial Network, LLC · CRD 30767
Joshua E. Cross4522751Dewaay Financial Network, LLC · CRD 30767
NFP Securities, Inc.42046NFP Securities, Inc. · CRD 42046
H. Beck, Inc.1763H. Beck, Inc. · CRD 1763
Independent Financial Group, LLC7717Independent Financial Group, LLC · CRD 7717
Lora J. Hoff3175071Investment Planners, Inc. · CRD 18557
LPL Financial Corporation6413LPL Financial Corporation · CRD 6413
Thomas J. Birch805540Mid Atlantic Capital Corporation · CRD 10674
Howard W. Minor, Jr.1008244Next Financial Group, Inc. · CRD 46214
Dennis L. Freeman213683Okoboji Financial Services, Inc. · CRD 33727
Pacific West Securities, Inc.6390Pacific West Securities, Inc. · CRD 6390
QA3 Financial Corp.14754QA3 Financial Corp. · CRD 14754
Norman G. Price2406981RP Capital LLC · CRD 134768
Sagepoint Financial, Inc.133763Sagepoint Financial, Inc. · CRD 133763
Ameritas Investment Corp.14869Ameritas Investment Corp. · CRD 14869
William E. Riley, Jr.1493287Silver Oak Securities, Incorporated · CRD 46947
John T. Dunn2448503The Strategic Financial Alliance, Inc. · CRD 126514
VSR Financial Services, Inc.14503VSR Financial Services, Inc. · CRD 14503
Jack Thomas2773136AFA Financial Group, LLC · CRD 127648
Jeffrey Rachlin823547Alternative Wealth Strategies, Inc. · CRD 130933
Richard L. Belline2432737AXA Advisors, LLC · CRD 6627
Burley A. Daye63064Centaurus Financial, Inc. · CRD 30833
Ty K. Bauer2150885Carlton & Associates, Inc. · CRD 20999
Joseph M. Gatt218745Girard Securities, Inc. · CRD 18697
Arthur J. Moss1409033National Planning Corporation · CRD 29604
John P. Hannan1372033Private Asset Group, Inc. · CRD 142541
Edward T. Coda1776811National Planning Corporation · CRD 29604
Proequities, Inc.15708Proequities, Inc. · CRD 15708
FSC Securities Corporation7461FSC Securities Corporation · CRD 7461
John P. Ochsner1502183Royal Alliance Associates, Inc. · CRD 23131
David L. Goodman1429972Transam Securities, Inc. · CRD 18923
Charles C. Shafe1277113Transam Securities, Inc. · CRD 18923
Woodbury Financial Services, Inc.421Woodbury Financial Services, Inc. · CRD 421
Questar Capital Corporation43100Questar Capital Corporation · CRD 43100
Robert A. Horning2311640Centaurus Financial, Inc. · CRD 30833
Mark C. Pedersen1283866Harrison Douglas, Inc. · CRD 16515
Richard E. Woollen1342719Harrison Douglas, Inc. · CRD 16515
Paul L. White II4669396Heritage Financial Services, Inc. · CRD 133019
Nathan L. Rewerts2913269Investment Planners, Inc. · CRD 18557
Christopher M. Ingram3156210Next Financial Group, Inc. · CRD 46214
Edmardo J. Tomei III4338243Next Financial Group, Inc. · CRD 46214
Paul D. Christ844080Royal Alliance Associates, Inc. · CRD 23131
Edward J. Spanski Jr.2356329Royal Alliance Associates, Inc. · CRD 23131
Daniel G. McPherson4964802Sammons Securities Company, LLC · CRD 115368
Noah P. Bergeron Jr.1056146Sigma Financial Corporation · CRD 14303
Peter J. Glaab Jr.222558Sigma Financial Corporation · CRD 14303
Carl D. Cornaglia3067666SII Investments, Inc. · CRD 2225
William N. Keen266061The Strategic Financial Alliance, Inc. · CRD 126514

Source: Form D, filed Jan 29, 2010. Minimum accepted may differ from a standard advertised minimum.

Fund connections

No confirmed ADV fund connection is available for this issuer.

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
NameReported role
Na Cypress Equipment Management Corp Iv Executive, Promoter
Stephen Rogers Harwood Director, Executive, Promoter
Kenneth Park Executive
Daniel Rael Executive

Issuer details

Industry: Other Banking and Financial Services (See others in industry)

Address:
188 The Embarcadero, Suite 420
San Francisco, CA, 94105