Small Company Offering and Sale of Securities Without Registration (d)
12 Agosto 2020 - 2:15PM
Edgar (US Regulatory)
x
NoneEntity Type | 0001046203 | |
x
Corporation
o
Limited Partnership
o
Limited Liability Company
o
General Partnership
o
Business Trust
o
Other |
| Name of Issuer |
GUARANTY FEDERAL BANCSHARES INC |
| Jurisdiction of Incorporation/Organization |
| DELAWARE |
| |
| Year of Incorporation/Organization |
| |
x
| Over Five Years Ago |
| |
o
| Within Last Five Years (Specify Year) | |
| |
o
| Yet to Be Formed | |
| 2. Principal Place of Business and Contact Information |
| Name of Issuer | |
| GUARANTY FEDERAL BANCSHARES INC | |
| Street Address 1 | Street Address 2 |
| 2144 E. Republic Rd. | Suite F200 |
| City | State/Province/Country | ZIP/Postal Code | Phone No. of Issuer |
| SPRINGFIELD | MISSOURI | 65804 | 1-833-875-2492 |
| Last Name | First Name | Middle Name |
| Burke | Shaun | A |
| Street Address 1 | Street Address 2 |
| 2144 E. Republic Rd. | Suite F200 |
| City | State/Province/Country | ZIP/Postal Code |
| SPRINGFIELD | MISSOURI | 65804 |
| Relationship: |
x
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Peters | Carter | M |
| Street Address 1 | Street Address 2 |
| 2144 E. Republic Rd. | Suite F200 |
| City | State/Province/Country | ZIP/Postal Code |
| SPRINGFIELD | MISSOURI | 65804 |
| Relationship: |
x
| Executive Officer |
o
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Batten | James | R |
| Street Address 1 | Street Address 2 |
| 2144 E. Republic Rd. | Suite F200 |
| City | State/Province/Country | ZIP/Postal Code |
| SPRINGFIELD | MISSOURI | 65804 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Griesemer | John | F |
| Street Address 1 | Street Address 2 |
| 2144 E. Republic Rd. | Suite F200 |
| City | State/Province/Country | ZIP/Postal Code |
| SPRINGFIELD | MISSOURI | 65804 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Hellweg | Kurt | D |
| Street Address 1 | Street Address 2 |
| 2144 E. Republic Rd. | Suite F200 |
| City | State/Province/Country | ZIP/Postal Code |
| SPRINGFIELD | MISSOURI | 65804 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Horton | Greg | A |
| Street Address 1 | Street Address 2 |
| 2144 E. Republic Rd. | Suite F200 |
| City | State/Province/Country | ZIP/Postal Code |
| SPRINGFIELD | MISSOURI | 65804 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Moore | David | T |
| Street Address 1 | Street Address 2 |
| 2144 E. Republic Rd. | Suite F200 |
| City | State/Province/Country | ZIP/Postal Code |
| SPRINGFIELD | MISSOURI | 65804 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Rosenbury | Tim | |
| Street Address 1 | Street Address 2 |
| 2144 E. Republic Rd. | Suite F200 |
| City | State/Province/Country | ZIP/Postal Code |
| SPRINGFIELD | MISSOURI | 65804 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Scavuzzo | Tony | |
| Street Address 1 | Street Address 2 |
| 2144 E. Republic Rd. | Suite F200 |
| City | State/Province/Country | ZIP/Postal Code |
| SPRINGFIELD | MISSOURI | 65804 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Sivils | James | L |
| Street Address 1 | Street Address 2 |
| 2144 E. Republic Rd. | Suite F200 |
| City | State/Province/Country | ZIP/Postal Code |
| SPRINGFIELD | MISSOURI | 65804 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Biser | Sheri | |
| Street Address 1 | Street Address 2 |
| 2144 E. Republic Rd. | Suite F200 |
| City | State/Province/Country | ZIP/Postal Code |
| SPRINGFIELD | MISSOURI | 65804 |
| Relationship: |
x
| Executive Officer |
o
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Robeson | Robin | E |
| Street Address 1 | Street Address 2 |
| 2144 E. Republic Rd. | Suite F200 |
| City | State/Province/Country | ZIP/Postal Code |
| SPRINGFIELD | MISSOURI | 65804 |
| Relationship: |
x
| Executive Officer |
o
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
|
o
| Agriculture | | Health Care |
o
| Retailing |
| | Banking & Financial Services | |
o
| Biotechnology |
o
| Restaurants |
| |
x
| Commercial Banking | |
o
| Health Insurance | | Technology |
| |
o
| Insurance | |
o
| Hospitals & Physicians | |
o
| Computers |
| |
o
| Investing | |
o
| Pharmaceuticals | |
o
| Telecommunications |
| |
o
| Investment Banking | |
o
| Other Health Care | |
o
| Other Technology |
| |
o
| Pooled Investment Fund
| | | | | Travel |
| |
o
| Other Banking & Financial Services |
o
| Manufacturing | |
o
| Airlines & Airports |
| | Real Estate | |
o
| Lodging & Conventions |
| |
o
| Commercial | |
o
| Tourism & Travel Services |
| |
o
| Construction | |
o
| Other Travel |
| |
o
| REITS & Finance |
o
| Other |
| |
o
| Residential | |
| |
o
| Other Real Estate | |
|
o
| Business Services | |
| | Energy | |
| |
o
| Coal Mining | |
| |
o
| Electric Utilities | |
| |
o
| Energy Conservation | |
| |
o
| Environmental Services | |
| |
o
| Oil & Gas | |
| |
o
| Other Energy | |
| Revenue Range | Aggregate Net Asset Value Range |
|
o
| No Revenues |
o
| No Aggregate Net Asset Value |
|
o
| $1 - $1,000,000 |
o
| $1 - $5,000,000 |
|
o
| $1,000,001 - $5,000,000 |
o
| $5,000,001 - $25,000,000 |
|
o
| $5,000,001 - $25,000,000 |
o
| $25,000,001 - $50,000,000 |
|
o
| $25,000,001 - $100,000,000 |
o
| $50,000,001 - $100,000,000 |
|
o
| Over $100,000,000 |
o
| Over $100,000,000 |
|
x
| Decline to Disclose |
o
| Decline to Disclose |
|
o
| Not Applicable |
o
| Not Applicable |
| 6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply) |
|
o
| Rule 504(b)(1) (not (i), (ii) or (iii)) |
o
| Rule 505 |
|
o
| Rule 504 (b)(1)(i) |
x
| Rule 506(b) |
|
o
| Rule 504 (b)(1)(ii) |
o
| Rule 506(c) |
|
o
| Rule 504 (b)(1)(iii) |
o
| Securities Act Section 4(a)(5) |
| |
o
| Investment Company Act Section 3(c) |
|
x
| New Notice | Date of First Sale | 2020-07-29 |
o
| First Sale Yet to Occur |
| Does the Issuer intend this offering to last more than one year? |
o
| Yes |
x
| No |
| 9. Type(s) of Securities Offered (select all that apply) |
|
o
| Pooled Investment Fund Interests |
o
| Equity |
|
o
| Tenant-in-Common Securities |
x
| Debt |
|
o
| Mineral Property Securities |
o
| Option, Warrant or Other Right to Acquire Another Security |
|
o
| Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security |
o
| 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? |
o
| Yes |
x
| No |
| |
| Clarification of Response (if Necessary) | |
| |
| Minimum investment accepted from any outside investor | $ 250000 USD |
| Recipient | Recipient CRD Number |
x
| None |
| n/a | |
| (Associated) Broker or Dealer |
o
| None | (Associated) Broker or Dealer CRD Number |
o
| None |
| Performance Trust Capital Partners, LLC | 36155 |
| Street Address 1 | Street Address 2 |
| 500 W. Madison Street | Suite 450 |
| City | State/Province/Country | ZIP/Postal Code |
| Chicago | ILLINOIS | 60606 |
| State(s) of Solicitation |
o
| All States |
o
| Foreign/Non-US |
COLORADO
GEORGIA
IDAHO
ILLINOIS
IOWA
MICHIGAN
MINNESOTA
MISSOURI
NEW YORK
OKLAHOMA
PENNSYLVANIA
TEXAS
VIRGINIA
WISCONSIN
WYOMING
|
| 13. Offering and Sales Amounts |
| Total Offering Amount | $ 20000000 USD |
o
Indefinite |
| Total Amount Sold | $ 20000000 USD | |
| Total Remaining to be Sold | $ 0 USD |
o
Indefinite |
| |
| Clarification of Response (if Necessary) |
| 0 |
|
o
| Select 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: | 30 |
| 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 | $ 400000 USD |
o
| Estimate |
| Finders' Fees | $ 0 USD |
o
| Estimate |
| |
| Clarification of Response (if Necessary) |
| |
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 USD |
o
Guaranty Federal Bancsha... (NASDAQ:GFED) Gráfico Histórico do Ativo De Mai 2024 até Jun 2024
Guaranty Federal Bancsha... (NASDAQ:GFED) Gráfico Histórico do Ativo De Jun 2023 até Jun 2024
Notícias em tempo-real sobre Guaranty Federal Bancshares Inc da NASDAQ bolsa de valores: 0 artigos recentes
Mais Notícias de Guaranty Federal Bancshares Inc
Parece que você não está logado. Clique no botão abaixo para se logar e ver seu histórico recente.
|