Form D · Residential
RAYMOND JAMES TAX CREDIT FUND 40 L.L.C.
Saint Petersburg, FL · CIK 0001587240
Offering snapshot reported Sep 23, 2013 · SEC filing
- Reported sold
- $195M Offering amount: $200M
- Investors reported
- 7 Form D · investor count
- Minimum accepted
- $1M Reported outside-investor minimum
- First sale
- Sep 12, 2013 As reported in this filing
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 |
|---|---|---|---|---|---|
| Sep 23, 2013 | Initial | $195,000,000 | No comparison | 7 | SEC filing |
Offering details
- Securities
- Equity, Pooled investment fund
- Exemptions
- 06b, 3C, 3C.1
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $500K (estimated)
- Finders' fees
- $0
- Form D file number
- 021-203378
At the present time, it is anticipated that the Issuer will require approximately $195,000,000 in capital to satisfy its obligations and will not sell more than $195,000,000 in interests unless it receives the Consent of Two-Thirds Majority-in-Interest.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Sean M. Hannan | 5198343 | Moors & Cabot, Inc. · CRD 594 |
| Aline Rose Lavelle | 1234354 | Moors & Cabot, Inc. · CRD 594 |
| Lewis F. Mallory, III | 3197621 | Raymond James & Associates, Inc. · CRD 705 |
| Drew Goldman | None | |
| Andy Voress | None | |
| Barry P. Boothe | 1387451 | Raymond James Financial Services, Inc. · CRD 6694 |
| William E. Hardy | 1459645 | BB&T Securities, LLC · CRD 142785 |
Source: Form D, filed Sep 23, 2013. 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.
| Name | Reported role |
|---|---|
| Gwen H. Benton | Executive |
| Richard L. Cargo | Executive |
| Ronald M. Diner | Director, Executive |
| Steven J. Kropf | Director, Executive |
| Robert C. Landis | Executive |
| Toni S. Matthews | Executive |
| J. Davenport Mosby, Iii | Director |
| Corporation Raymond James Tax Credit Funds, Inc. | Executive, Promoter |
| Limited Liability Company Rjtcf 40 L.L.C. | Executive |
| W. Samuel Shupe | Executive |
Issuer details
Industry: Residential (See others in industry)
Address:
880 Carillon Parkway Dept. 20485
Saint Petersburg, FL, 33716
Saint Petersburg, FL, 33716