Form D · Other

WOODLANDS FINANCIAL SERVICES INC

The Woodlands, TX · CIK 0000915832

Offering snapshot reported Oct 8, 2013 · SEC filing

Reported sold
$9.57M
Offering amount: $9.57M
Investors reported
49
Form D · investor count
Minimum accepted
$25K
Reported outside-investor minimum
First sale
May 2, 2013
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$4.78M$9.57MMay 13, 2013: $4,980,000.00May 13, 2013Sep 6, 2013: $9,567,000.00Sep 6, 2013Oct 8, 2013: $9,567,000.00Oct 8, 2013

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 investors36 → 49

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Oct 8, 2013Amendment$9,567,000$0vs Sep 6, 201349SEC filing
Sep 6, 2013Amendment$9,567,000$4,587,000vs May 13, 201336SEC filing
May 13, 2013Initial$4,980,000No comparison10SEC filing
Mar 24, 2010Amendment$9,092,332$3,082,432vs Nov 2, 200980SEC filing
Nov 2, 2009Amendment$6,009,900$5,609,900vs Sep 25, 200948SEC filing
Sep 25, 2009Initial$400,000No comparison5SEC filing
Mar 20, 2007PaperNot reportedNo comparisonNot reportedSEC filing
Apr 20, 2005PaperNot reportedNo comparisonNot reportedSEC filing

Offering details

Securities
Debt
Exemptions
06b
Duration over one year
No
Business combination
No
Sales commissions
$137K (estimated)
Finders' fees
$0
Form D file number
021-196372
Total offering amount may be extended over $6,000,000 by the Issuer
Estimated annual commission amount over term of notes

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
CHRIS MOSS4190932WOODLANDS SECURITIES CORPORATION · CRD 22373
ROBERT TELFORD1659209WOODLANDS SECURITIES CORPORATION · CRD 22373
MORRIS MONROE1227631WOODLANDS SECURITIES CORPORATION · CRD 22373
LAURA HENDRICKS1455026WOODLANDS SECURITIES CORPORATION · CRD 22373
JIM HARRIS237972WOODLANDS SECURITIES CORPORATION · CRD 22373
DAVID VAUGHAN1832513WOODLANDS SECURITIES CORPORATION · CRD 22373

Source: Form D, filed Oct 8, 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.

People and organizations reported in Form D filings
NameReported role
Morris L Monroe Director, Executive
Somir K Paul Director, Executive

Issuer details

Industry: Other (See others in industry)

Address:
25211 Grogans Mill Rd Ste 320
The Woodlands, TX, 77380