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
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)
Clarification of Response
Item 3. Related Persons
Name
PAMELA EDWARDS BUNN
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
WAYNE GRACE
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
EDGAR ALLEN COLE
Address
subscription required
Relationship(s)
Clarification of Response
CHIEF LEGAL COUNSEL
Item 3. Related Persons
Name
CYNTHIA LYN BECKER
Address
subscription required
Relationship(s)
Clarification of Response
CORPORATE SECRETARY
Item 3. Related Persons
Name
THOMAS HAYDEN MARTIN JR.
Address
subscription required
Relationship(s)
Clarification of Response
CHIEF FINANCIAL OFFICER
Item 3. Related Persons
Name
MARK KELLER
Address
subscription required
Relationship(s)
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
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
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