Form D

View Original Filing

Notice of Exempt Offering of Securities

Item 1. Issuer's Identity

Name of Issuer:
SUNSTONE ASSURANCE, LLC
Jurisdiction of Incorporation/Organization
DE
Year of Incorporation/Organization
2010

Previous Name(s)

Entity Type
LIMITED LIABILITY COMPANY

Item 2 Issuer Principal Place of Business and Contact Information

SUITE 1414, NEMOURS BUILDING
1007 ORANGE STREET
WILMINGTON, DE 19801
Phone Number: subscription required

Item 3. Related Persons

Name
DOUGLAS F. DEITCH
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
  • DIRECTOR
Clarification of Response
PRESIDENT AND DIRECTOR OF SUNSTONE HOLDINGS, INC., MANAGING MEMBER

Item 3. Related Persons

Name
ANDREW A. LEWIS
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
  • DIRECTOR
Clarification of Response
CHAIRMAN AND DIRECTOR OF SUNSTONE HOLDINGS, INC., MANAGING MEMBER

Item 3. Related Persons

Name
JOEL B. PINA
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
  • DIRECTOR
Clarification of Response
CHIEF FINANCIAL OFFICER AND DIRECTOR OF SUNSTONE HOLDINGS, INC., MANAGING MEMBER

Item 3. Related Persons

Name
JOHN T. NAUGHTON
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
  • DIRECTOR
Clarification of Response
VICE PRESIDENT AND DIRECTOR OF SUNSTONE HOLDINGS, INC., MANAGING MEMBER

Item 3. Related Persons

Name
JAY S. PEICHEL
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
  • DIRECTOR
Clarification of Response
VICE PRESIDENT AND DIRECTOR OF SUNSTONE HOLDINGS, INC., MANAGING MEMBER

Item 4. Industry Group

INSURANCE

Item 5. Issuer Size

Revenue Range (for issuer not specifying "hedge" or "other investment" fund in Item 4 above)
$5,000,001 - $25,000,000

Item 6. Federal Exemptions and Exclusions Claimed

Item 7. Type of Filing

New Notice
Date of First Sale in this Offering:
12/18/2012

Item 8. Duration of Offering

Does the issuer intend this offering to last more than one year?
No

Item 9. Type(s) of Securities Offered

  • Equity

Item 10. Business Combination Transaction

Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer?
No
Clarification of Response

Item 11. Minimum Investment

Minimum Investment accepted from any outside investor
375000

Item 13. Offering and Sales Amounts

Total Offering Amount
375000
Total Amount Sold
375000
Total Remaining to be Sold
0
Clarification of Response

Item 14. Investors

Securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
Number of non-accredited investors who already have invested in the offering:
Total number of investors who already have invested in the offering:
1

Item 15. Sales Commissions and Finders' Fees Expenses

Sales Commissions:
0.0
Finders' Fees
0.0
Clarification of Response

Item 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.
0.0
Clarification of Response

Signature and Submission

Issuer Name
SUNSTONE ASSURANCE, LLC
Issuer Signature
/S/ JOEL B. PINA
Signer Name
JOEL B. PINA
Signer Title
CFO OF SUNSTONE HOLDINGS, INC., ITS MANAGING MEMBER
Signature Date
01/23/2013
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