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Frontier Permo Fund, LLC – ‘D/A’ on 3/14/17

On:  Tuesday, 3/14/17, at 12:24pm ET   ·   Effective:  3/14/17   ·   Accession #:  1665463-17-1   ·   File #:  21-256389

Previous ‘D’:  ‘D’ on 2/1/16   ·   Latest ‘D’:  This Filing

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

 3/14/17  Frontier Permo Fund, LLC          D/A         3/14/17    1:6K

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      7K 
                          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
 

 
EDGAR System rendering:  Amendment to Notice of an Exempt Offering of Securities — Reg. D
 

FORM D
Notice of Exempt Offering of Securities

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

OMB APPROVAL
OMB Number: 3235-0076
Estimated Average burden hours per response: 4.0
1. Issuer's Identity
CIK (Filer ID Number)Previous Name(s)box checkedNoneEntity Type
0001665463
radio uncheckedCorporation
radio unchecked Limited Partnership
radio checked Limited Liability Company
radio unchecked General Partnership
radio unchecked Business Trust
radio uncheckedOther 
Name of Issuer
 Frontier Permo Fund, LLC
Jurisdiction of Incorporation/Organization
MISSOURI 
Year of Incorporation/Organization
radio uncheckedOver Five Years Ago
radio checkedWithin Last Five Years (Specify Year)
2015
radio uncheckedYet to Be Formed
 
  
  
 
2. Principal Place of Business and Contact Information
Name of Issuer
 Frontier Permo Fund, LLC
Street Address 1Street Address 2
 4435 MAIN STREET, SUITE 1100
 
CityState/Province/CountryZIP/Postal CodePhone No. of Issuer
 KANSAS CITY
 MISSOURI
 
 64111
 816-753-5100 




3. Related Persons

Last NameFirst NameMiddle Name
Frontier Wealth Management, LLC
N/A
Street Address 1Street Address 2
 4435 Main Street, Suite 1100 
 
CityState/Province/CountryZIP/Postal Code
 Kansas City
 MISSOURI
 64111
 
Relationship:box checkedExecutive Officerbox uncheckedDirectorbox uncheckedPromoter
Clarification of Response (if Necessary)
Manager



Last NameFirst NameMiddle Name
Blasi
Nicholas
Street Address 1Street Address 2
 4435 Main Street, Suite 1100 
 
CityState/Province/CountryZIP/Postal Code
 Kansas City
 MISSOURI
 64111
 
Relationship:box checkedExecutive Officerbox uncheckedDirectorbox uncheckedPromoter
Clarification of Response (if Necessary)
 



Last NameFirst NameMiddle Name
Kerr
Troy
Street Address 1Street Address 2
 4435 Main Street, Suite 1100 
 
CityState/Province/CountryZIP/Postal Code
 Kansas City
 MISSOURI
 64111
 
Relationship:box checkedExecutive Officerbox uncheckedDirectorbox uncheckedPromoter
Clarification of Response (if Necessary)
 





4. Industry Group
 radio uncheckedAgriculture
Banking & Financial Services
 radio unchecked Commercial Banking
 radio unchecked Insurance
 radio uncheckedInvesting
 radio unchecked Investment Banking
 radio checked Pooled Investment Fund

*Is the issuer registered as an investment company under the Investment Company Act of 1940?
radio unchecked Yes  radio checkedNo
 radio uncheckedOther Banking & Financial Services
radio unchecked Business Services
Energy
 radio unchecked Coal Mining
 radio unchecked Electric Utilities
 radio unchecked Energy Conservation
 radio unchecked Environmental Services
 radio unchecked Oil & Gas
 radio unchecked Other Energy
Health Care
 radio unchecked Biotechnology
 radio unchecked Health Insurance
 radio unchecked Hospitals & Physicians
 radio unchecked Pharmaceuticals
 radio unchecked Other Health Care
   
   
   
  
radio unchecked Manufacturing
Real Estate
 radio uncheckedCommercial
 radio uncheckedConstruction
 radio uncheckedREITS & Finance
 radio uncheckedResidential
radio uncheckedOther Real Estate
radio unchecked Retailing
radio uncheckedRestaurants
Technology
radio unchecked Computers
radio unchecked Telecommunications
radio unchecked Other Technology
Travel
radio unchecked Airlines & Airports
radio unchecked Lodging & Conventions
radio unchecked Tourism & Travel Services
radio unchecked Other Travel
radio uncheckedOther

  
   
5. Issuer Size
Revenue RangeAggregate Net Asset Value Range
radio uncheckedNo Revenuesradio unchecked No Aggregate Net Asset Value
radio unchecked $1 - $1,000,000radio unchecked$1 - $5,000,000
radio unchecked $1,000,001 - $5,000,000radio unchecked $5,000,001 - $25,000,000
radio unchecked$5,000,001 - $25,000,000radio unchecked $25,000,001 - $50,000,000
radio unchecked$25,000,001 - $100,000,000radio unchecked $50,000,001 - $100,000,000
radio unchecked Over $100,000,000radio unchecked Over $100,000,000
radio unchecked Decline to Disclose radio checkedDecline to Disclose
radio unchecked Not Applicableradio unchecked Not Applicable

 
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
box uncheckedRule 504(b)(1) (not (i), (ii)
or (iii))
box uncheckedRule 505      
box uncheckedRule 504 (b)(1)(i) box checkedRule 506(b)
box uncheckedRule 504 (b)(1)(ii) box uncheckedRule 506(c)
box uncheckedRule 504 (b)(1)(iii)box uncheckedSecurities Act Section 4(a)(5)
box uncheckedInvestment Company Act Section 3(c)
 
 

7. Type of Filing
box unchecked New Notice Date of First Sale 
2016-01-25
box unchecked First Sale Yet to Occur
box checked Amendment


 
 
8. Duration of Offering
Does the Issuer intend this offering to last more than one year? radio checked Yes radio unchecked No
 
 
9. Type(s) of Securities Offered (select all that apply)
box uncheckedPooled Investment Fund Interestsbox checkedEquity
box uncheckedTenant-in-Common Securities box uncheckedDebt
box uncheckedMineral Property Securitiesbox uncheckedOption, Warrant or Other Right to Acquire Another Security
box uncheckedSecurity to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Securitybox uncheckedOther (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? radio unchecked Yes radio checked No
Clarification of Response (if Necessary)
 
 
 
11. Minimum Investment
Minimum investment accepted from any outside investor$
 100000
USD

12. Sales Compensation
Recipient Recipient CRD Numberbox uncheckedNone
 
 
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number  box uncheckedNone
 
 
Street Address 1Street Address 2
 
 
City State/Province/CountryZIP/Postal Code
 
 
 
State(s) of Solicitation box uncheckedAll States
 



13. Offering and Sales Amounts
 
Total Offering Amount $
 
USDbox checkedIndefinite
Total Amount Sold $
27909700
USD
Total Remaining to be Sold $
 
USDbox checkedIndefinite
Clarification of Response (if Necessary)
  
 
14. Investors

box uncheckedSelect if securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
Number of such non-accredited investors who already have invested in the offering
   
  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:
148
 
15. Sales Commissions & Finders’ 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$
0
USDbox uncheckedEstimate
Finders' Fees$
0
USDbox uncheckedEstimate
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.
 $ 
0
USDbox uncheckedEstimate
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, 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 it 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
Frontier Permo Fund, LLC/s/ Nicholas BlasiNicholas BlasiChief Executive Officer of Manager2017-03-13





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