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GS&A Premium Income Trust – ‘D/A’ on 4/24/15

On:  Friday, 4/24/15, at 5:25pm ET   ·   Effective:  4/24/15   ·   Accession #:  1570444-15-1   ·   File #:  21-216367

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  As Of                Filer                Filing    For·On·As Docs:Size

 4/24/15  GS&A Premium Income Trust         D/A         4/24/15    1:15K

Amendment to Notice of an Offering of Securities Made Without Registration   —   Form D
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: D/A         Amendment to Notice of an Offering of Securities    HTML     16K 
                          Made Without Registration --                           
                          primary_doc.xml/7.7                                    




        

This ‘D/A’ Document is an XML Data File that may be rendered in various formats:

  Form D    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 

 
SEC Info rendering:  Amendment to Notice of an Exempt Offering of Securities
 

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM D

Notice of Exempt Offering of Securities

OMB APPROVAL
OMB Number:3235-0076
Estimated average burden
hours per response:4.00

1. Issuer's Identity

CIK (Filer ID Number)Previous Names
XNone
Entity Type
1570444
  Corporation
  Limited Partnership
  Limited Liability Company
  General Partnership
XBusiness Trust
  Other (Specify)

Name of Issuer
GS&A Premium Income Trust
Jurisdiction of Incorporation/Organization
ONTARIO, CANADA
Year of Incorporation/Organization
  Over Five Years Ago
XWithin Last Five Years (Specify Year)2010
  Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
GS&A Premium Income Trust
Street Address 1Street Address 2
BAY ADELAIDE CENTRE, 333 BAY STREETSUITE 5100
CityState/Province/CountryZIP/PostalCodePhone Number of Issuer
TORONTOONTARIO, CANADAM5H 2R2(416) 681-6000

3. Related Persons

Last NameFirst NameMiddle Name
BantisJim
Street Address 1Street Address 2
4 Harley Avenue
CityState/Province/CountryZIP/PostalCode
TorontoONTARIO, CANADAM5M 2R4
Relationship:XExecutive Officer  Director  Promoter

Clarification of Response (if Necessary):

Executive Officer of Trustee & Manager of the fund
Last NameFirst NameMiddle Name
FreedmanJeremy
Street Address 1Street Address 2
413 Lytton Boulevard
CityState/Province/CountryZIP/PostalCode
TorontoONTARIO, CANADAM5N 1S3
Relationship:XExecutive OfficerXDirector  Promoter

Clarification of Response (if Necessary):

Executive Officer and Director of Trustee & Manager of the fund
Last NameFirst NameMiddle Name
MoodyJeffrey
Street Address 1Street Address 2
148 Glencairn Avenue
CityState/Province/CountryZIP/PostalCode
TorontoONTARIO, CANADAM4R 1M9
Relationship:XExecutive Officer  Director  Promoter

Clarification of Response (if Necessary):

Executive Officer of Trustee & Manager of the fund
Last NameFirst NameMiddle Name
MorrisDavid
Street Address 1Street Address 2
14 Northumberland Terrace
CityState/Province/CountryZIP/PostalCode
ThornhillONTARIO, CANADAL3T 7E5
Relationship:XExecutive Officer  Director  Promoter

Clarification of Response (if Necessary):

Executive Officer of Trustee & Manager of the fund
Last NameFirst NameMiddle Name
WebbWilliam
Street Address 1Street Address 2
52 Aldershot Crescent
CityState/Province/CountryZIP/PostalCode
TorontoONTARIO, CANADAM2P 1L9
Relationship:XExecutive Officer  Director  Promoter

Clarification of Response (if Necessary):

Executive Officer of Trustee & Manager of the fund
Last NameFirst NameMiddle Name
BeestonPaul
Street Address 1Street Address 2
202 Strathgowan Avenue
CityState/Province/CountryZIP/PostalCode
TorontoONTARIO, CANADAM4M 1C5
Relationship:  Executive OfficerXDirector  Promoter

Clarification of Response (if Necessary):

Director of Trustee & Manager of the fund
Last NameFirst NameMiddle Name
GobertWilfred
Street Address 1Street Address 2
135 Stonepine Drive
CityState/Province/CountryZIP/PostalCode
CalgaryALBERTA, CANADAT3Z 3B4
Relationship:  Executive OfficerXDirector  Promoter

Clarification of Response (if Necessary):

Director of Trustee & Manager of the fund
Last NameFirst NameMiddle Name
SolwayHerbert
Street Address 1Street Address 2
2 Roxborough Street East, Unit 602
CityState/Province/CountryZIP/PostalCode
TorontoONTARIO, CANADAM4W 3V7
Relationship:  Executive OfficerXDirector  Promoter

Clarification of Response (if Necessary):

Director of Trustee & Manager of the fund
Last NameFirst NameMiddle Name
ThemensPierre-Andre
Street Address 1Street Address 2
330 Kensington Avenue
CityState/Province/CountryZIP/PostalCode
WestmountQUEBEC, CANADAH3Z 2H3
Relationship:  Executive OfficerXDirector  Promoter

Clarification of Response (if Necessary):

Director of Trustee & Manager of the fund
Last NameFirst NameMiddle Name
HalperinStephen
Street Address 1Street Address 2
33 Webster Avenue
CityState/Province/CountryZIP/PostalCode
TorontoONTARIO, CANADAM5R 1N6
Relationship:  Executive OfficerXDirector  Promoter

Clarification of Response (if Necessary):

Director of Trustee & Manager of the fund
Last NameFirst NameMiddle Name
LockhartNancy
Street Address 1Street Address 2
25 Oxbow Road
CityState/Province/CountryZIP/PostalCode
TorontoONTARIO, CANADAM3B 1Z9
Relationship:  Executive OfficerXDirector  Promoter

Clarification of Response (if Necessary):

Director of Trustee & Manager of the fund
Last NameFirst NameMiddle Name
DavisVirginiaAnn
Street Address 1Street Address 2
579 Windermere Avenue
CityState/Province/CountryZIP/PostalCode
TorontoONTARIO, CANADAM6S 3L9
Relationship:  Executive OfficerXDirector  Promoter

Clarification of Response (if Necessary):

Director of Trustee & Manager of the fund
Last NameFirst NameMiddle Name
MacMillanThomas
Street Address 1Street Address 2
1 Bedford Road, Suite 2204
CityState/Province/CountryZIP/PostalCode
TorontoONTARIO, CANADAM5R 2B5
Relationship:  Executive OfficerXDirector  Promoter

Clarification of Response (if Necessary):

Director of Trustee & Manager of the fund
Last NameFirst NameMiddle Name
ZaltzPeter
Street Address 1Street Address 2
188 Strathallan Boulevard
CityState/Province/CountryZIP/PostalCode
TorontoONTARIO, CANADAM5N 1T1
Relationship:XExecutive Officer  Director  Promoter

Clarification of Response (if Necessary):

Executive Officer of Trustee & Manager of the fund
Last NameFirst NameMiddle Name
RosenbergDavidA
Street Address 1Street Address 2
498 Brookdale Avenue
CityState/Province/CountryZIP/PostalCode
TorontoONTARIO, CANADAM5M 1R7
Relationship:XExecutive Officer  Director  Promoter

Clarification of Response (if Necessary):

Executive Officer of Trustee & Manager of the fund
Last NameFirst NameMiddle Name
MannPeterM
Street Address 1Street Address 2
23 Nanton Avenue
CityState/Province/CountryZIP/PostalCode
TorontoONTARIO, CANADAM4W 2Y8
Relationship:XExecutive Officer  Director  Promoter

Clarification of Response (if Necessary):

Executive Officer of Trustee & Manager of the fund
Last NameFirst NameMiddle Name
AubinAmyJ
Street Address 1Street Address 2
2256 Yates Court
CityState/Province/CountryZIP/PostalCode
OakvilleONTARIO, CANADAL6L 5K6
Relationship:XExecutive Officer  Director  Promoter

Clarification of Response (if Necessary):

Executive Officer of Trustee & Manager of the fund

4. Industry Group

  Agriculture
Banking & Financial Services
  Commercial Banking
  Insurance
  Investing
  Investment Banking
XPooled Investment Fund
XHedge Fund
  Private Equity Fund
  Venture Capital Fund
  Other Investment Fund
Is the issuer registered as
an investment company under
the Investment Company
Act of 1940?
  YesXNo
  Other Banking & Financial Services
  Business Services
Energy
  Coal Mining
  Electric Utilities
  Energy Conservation
  Environmental Services
  Oil & Gas
  Other Energy
Health Care
  Biotechnology
  Health Insurance
  Hospitals & Physicians
  Pharmaceuticals
  Other Health Care
  Manufacturing
Real Estate
  Commercial
  Construction
  REITS & Finance
  Residential
  Other Real Estate
  
Retailing
  
Restaurants
Technology
  Computers
  Telecommunications
  Other Technology
Travel
  Airlines & Airports
  Lodging & Conventions
  Tourism & Travel Services
  Other Travel
  
Other

5. Issuer Size

Revenue RangeORAggregate Net Asset Value Range
  No Revenues  No Aggregate Net Asset Value
  $1 - $1,000,000  $1 - $5,000,000
  $1,000,001 - $5,000,000  $5,000,001 - $25,000,000
  $5,000,001 - $25,000,000  $25,000,001 - $50,000,000
  $25,000,001 - $100,000,000  $50,000,001 - $100,000,000
  Over $100,000,000XOver $100,000,000
  Decline to Disclose  Decline to Disclose
  Not Applicable  Not Applicable

6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)

  Rule 504(b)(1) (not (i), (ii) or (iii))
  Rule 504 (b)(1)(i)
  Rule 504 (b)(1)(ii)
  Rule 504 (b)(1)(iii)
  Rule 505
  Rule 506(b)
  Rule 506(c)
  Securities Act Section 4(a)(5)
XInvestment Company Act Section 3(c)
  Section 3(c)(1)  Section 3(c)(9)  
  Section 3(c)(2)  Section 3(c)(10)
  Section 3(c)(3)  Section 3(c)(11)
  Section 3(c)(4)  Section 3(c)(12)
  Section 3(c)(5)  Section 3(c)(13)
  Section 3(c)(6)  Section 3(c)(14)
XSection 3(c)(7)

7. Type of Filing

  New Notice Date of First Sale 8/31/10   First Sale Yet to Occur
XAmendment

8. Duration of Offering

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

9. Type(s) of Securities Offered (select all that apply)

  EquityXPooled Investment Fund Interests
  Debt  Tenant-in-Common Securities
  Option, Warrant or Other Right to Acquire Another Security  Mineral Property Securities
  Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security  Other (describe)

10. Business Combination Transaction

Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer?
  YesXNo

Clarification of Response (if Necessary):

11. Minimum Investment

Minimum investment accepted from any outside investor$19,750USD

12. Sales Compensation

Recipient
Recipient CRD NumberXNone
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
Street Address 1Street Address 2
CityState/Province/CountryZIP/Postal Code
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US

13. Offering and Sales Amounts

Total Offering Amount USD
orXIndefinite
Total Amount Sold$62,609,000USD
Total Remaining to be Sold USD
orXIndefinite

Clarification of Response (if Necessary):

14. Investors

X
Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering.
1
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering:
122

15. Sales Commissions & Finder's Fees Expenses

Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.

Sales Commissions$0USD
  Estimate
Finders' Fees$0USD
  Estimate

Clarification of Response (if Necessary):

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. If the amount is unknown, provide an estimate and check the box next to the amount.

$0USD
  Estimate

Clarification of Response (if Necessary):

Signature and Submission

Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.

Terms of Submission

In submitting this notice, each issuer named above is:
  • Notifying the SEC and/or each State in which this notice is filed of the offering of securities described and undertaking to furnish them, upon written request, in the accordance with applicable law, the information furnished to offerees.*
  • Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator or other legally designated officer of the State in which the issuer maintains its principal place of business and any State in which this notice is filed, as its agents for service of process, and agreeing that these persons may accept service on its behalf, of any notice, process or pleading, and further agreeing that such service may be made by registered or certified mail, in any Federal or state action, administrative proceeding, or arbitration brought against the issuer in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in connection with the offering of securities that is the subject of this notice, and (b) is founded, directly or indirectly, upon the provisions of:  (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii) the laws of the State in which the issuer maintains its principal place of business or any State in which this notice is filed.
  • Certifying that, if the issuer is claiming a Regulation D exemption for the offering, the issuer is not disqualified from relying on Regulation D for one of the reasons stated in Rule 505(b)(2)(iii) or Rule 506(d).

Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.

For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.

IssuerSignatureName of SignerTitleDate
GS&A Premium Income Trust/s/Amy AubinAmy AubinCCO 4/24/15

Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.

* This undertaking does not affect any limits Section 102(a) of the National Securities Markets Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to require information. As a result, if the securities that are the subject of this Form D are "covered securities" for purposes of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot routinely require offering materials under this undertaking or otherwise and can require offering materials only to the extent NSMIA permits them to do so under NSMIA's preservation of their anti-fraud authority.


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