Form D/A

View Original Filing

Notice of Exempt Offering of Securities

Item 1. Issuer's Identity

Name of Issuer:
BENJAMIN EDWARDS INC
Jurisdiction of Incorporation/Organization
MI
Year of Incorporation/Organization
Over Five Years Ago

Previous Name(s)

Entity Type
CORPORATION

Item 2 Issuer Principal Place of Business and Contact Information

ONE NORTH BRENTWOOD BOULEVARD, SUITE 850
CLAYTON, MO 63105
Phone Number: subscription required

Item 3. Related Persons

Name
BENJAMIN (TAD) FRANKLIN EDWARDS IV
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
  • DIRECTOR
Clarification of Response
PRESIDENT, CEO

Item 3. Related Persons

Name
JOHN MICHAEL MEDART
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
PAMELA EDWARDS BUNN
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
WAYNE GRACE
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
EDGAR ALLEN COLE
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
CHIEF LEGAL COUNSEL

Item 3. Related Persons

Name
CYNTHIA LYN BECKER
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
CORPORATE SECRETARY

Item 3. Related Persons

Name
THOMAS HAYDEN MARTIN JR.
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
CHIEF FINANCIAL OFFICER

Item 3. Related Persons

Name
MARK KELLER
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 4. Industry Group

INVESTING

Item 5. Issuer Size

Revenue Range (for issuer not specifying "hedge" or "other investment" fund in Item 4 above)
$25,000,001 - $100,000,000

Item 6. Federal Exemptions and Exclusions Claimed

Item 7. Type of Filing

Amendment
Date of First Sale in this Offering:
07/01/2011

Item 8. Duration of Offering

Does the issuer intend this offering to last more than one year?
Yes

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
50000

Item 12. Sales Compensation

Recipient
DOUGLAS RUBENSTEIN
Recipient CRD Number
1138380
(Associated) Broker or Dealer)
BENJAMIN F. EDWARDS CO., INC.
(Associated) Broker or Dealer CRD Number
146936
Address
ONE NORTH BRENTWOOD
SUITE 850
CLAYTON, MO 63105
States of Solicitation
  • ALL STATES

Item 13. Offering and Sales Amounts

Total Offering Amount
35000000
Total Amount Sold
26595584
Total Remaining to be Sold
8404416
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,
Yes
Number of non-accredited investors who already have invested in the offering:
1
Total number of investors who already have invested in the offering:
345

Item 15. Sales Commissions and Finders' Fees Expenses

Sales Commissions:
234000.0 Is an estimate
Finders' Fees
0.0
Clarification of Response
ONE EMPLOYEE HAS EARNED INCENTIVE COMPENSATION OF APPROXIMATELY $234,000, BASED ON A PERCENTAGE OF THE SECURITIES HE PLACED WITH INVESTORS, AND RECEIVED AN ADDITIONAL AMOUNT OF $50,000 IN RESTRICTED SECURITIES OF THE COMPANY FOR SUCH SERVICES.

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.
1364000.0 Is an estimate
Clarification of Response
ORDINARY SALARY/BONUS FOR 2013 COMPENSATION FOR EXECUTIVE OFFICERS; COMPENSATION TO OUTSIDE DIRECTORS FOR SERVICE ON BENJAMIN EDWARDS INC. BOARD.

Signature and Submission

Issuer Name
BENJAMIN EDWARDS INC
Issuer Signature
BENJAMIN F. EDWARDS IV
Signer Name
BENJAMIN F. EDWARDS IV
Signer Title
CEO, PRESIDENT
Signature Date
03/21/2014
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