Griffin Capital Qualified Opportunity Zone Fund IV LP

11/15/2024 | Press release | Distributed by Public on 11/15/2024 10:21

Amendment to Notice of Sales of Unregistered Securities - Form D/A

SEC FORM D/A

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
X None
Entity Type
0002007564
Corporation
X Limited Partnership
Limited Liability Company
General Partnership
Business Trust
Other (Specify)

Name of Issuer
Griffin Capital Qualified Opportunity Zone Fund IV, L.P.
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
Over Five Years Ago
X Within Last Five Years (Specify Year) 2023
Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
Griffin Capital Qualified Opportunity Zone Fund IV, L.P.
Street Address 1 Street Address 2
GRIFFIN CAPITAL PLAZA 266 KANSAS STREET
City State/Province/Country ZIP/PostalCode Phone Number of Issuer
EL SEGUNDO CALIFORNIA 90245 (310) 469-6100

3. Related Persons

Last Name First Name Middle Name
Shields Kevin A.
Street Address 1 Street Address 2
Griffin Capital Plaza 266 Kansas Street
City State/Province/Country ZIP/PostalCode
El Segundo CALIFORNIA 90245
Relationship: X Executive Officer Director Promoter

Clarification of Response (if Necessary):

Co-Chief Executive Officer of the General Partner of the Issuer
Last Name First Name Middle Name
Griffin Capital Company, LLC N/A
Street Address 1 Street Address 2
Griffin Capital Plaza 266 Kansas Street
City State/Province/Country ZIP/PostalCode
El Segundo CALIFORNIA 90245
Relationship: X Executive Officer Director Promoter

Clarification of Response (if Necessary):

Sponsor of the Issuer
Last Name First Name Middle Name
Griffin Capital QOZ IV, LLC N/A
Street Address 1 Street Address 2
Griffin Capital Plaza 266 Kansas Street
City State/Province/Country ZIP/PostalCode
El Segundo CALIFORNIA 90245
Relationship: X Executive Officer Director Promoter

Clarification of Response (if Necessary):

General Partner of the Issuer

4. Industry Group

Agriculture
Banking & Financial Services
Commercial Banking
Insurance
Investing
Investment Banking
Pooled Investment Fund
Is the issuer registered as
an investment company under
the Investment Company
Act of 1940?
Yes No
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
X 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 Range OR Aggregate 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 $100,000,000 Over $100,000,000
X 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)
X Rule 506(b)
Rule 506(c)
Securities Act Section 4(a)(5)
X Investment 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)
X Section 3(c)(5) Section 3(c)(13)
Section 3(c)(6) Section 3(c)(14)
Section 3(c)(7)

7. Type of Filing

New Notice Date of First Sale 2024-02-16 First Sale Yet to Occur
X Amendment

8. Duration of Offering

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

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

X Equity X Pooled 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?
Yes X No

Clarification of Response (if Necessary):

11. Minimum Investment

Minimum investment accepted from any outside investor $150,000 USD

12. Sales Compensation

Recipient
Recipient CRD Number None
DFPG Investments, LLC 155576
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
9017 S. Riverside Drive Suite 210
City State/Province/Country ZIP/Postal Code
Sandy UTAH 84070
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
CALIFORNIA
NEW JERSEY
PENNSYLVANIA
UTAH
Recipient
Recipient CRD Number None
Scott Aitken 5956581
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
Cetera Advisors LLC 10299
Street Address 1 Street Address 2
950 West Elliot Road Suite 126
City State/Province/Country ZIP/Postal Code
Tempe ARIZONA 85264
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
ARIZONA
Recipient
Recipient CRD Number None
Lawrence Bell 2227247
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
Purshe Kaplan Sterling Investments 35747
Street Address 1 Street Address 2
4 Campus Drive
City State/Province/Country ZIP/Postal Code
Parsippany NEW JERSEY 07054
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
NEW JERSEY
Recipient
Recipient CRD Number None
Robert Armstrong, Jr. 2256775
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
Purshe Kaplan Sterling Investments 35747
Street Address 1 Street Address 2
4 Campus Drive
City State/Province/Country ZIP/Postal Code
Parsippany NEW JERSEY 07054
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
NEW JERSEY
Recipient
Recipient CRD Number None
Craig Bartlett 2653083
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
Osaic FA, Inc. 3978
Street Address 1 Street Address 2
61 South Paramus Road Suite 425
City State/Province/Country ZIP/Postal Code
Paramus NEW JERSEY 07652
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
NEW JERSEY
Recipient
Recipient CRD Number None
Shafiq Jadavij 6274665
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
Cetera Advisor Networks LLC 13572
Street Address 1 Street Address 2
6425 Powers Ferry Road Suite 290
City State/Province/Country ZIP/Postal Code
Atlanta GEORGIA 30339
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
TEXAS
Recipient
Recipient CRD Number None
Gregory Meyer 3088783
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
Independent Financial Group, LLC 7717
Street Address 1 Street Address 2
5435 Balboa Boulevard Suite #106
City State/Province/Country ZIP/Postal Code
Encino CALIFORNIA 91316
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number None
Cambridge Investment Research, Inc. 39543
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1776 Pleasant Plain Road
City State/Province/Country ZIP/Postal Code
Fairfield IOWA 52556
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
ARIZONA
CALIFORNIA
COLORADO
ILLINOIS
VIRGINIA
Recipient
Recipient CRD Number None
MML Investors Services, LLC 10409
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1295 State Street
City State/Province/Country ZIP/Postal Code
Springfield MASSACHUSETTS 01111
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
CALIFORNIA
COLORADO
CONNECTICUT
FLORIDA
ILLINOIS
LOUISIANA
MAINE
NEW YORK
NORTH CAROLINA
OREGON
TENNESSEE
TEXAS
VIRGINIA
Recipient
Recipient CRD Number None
Trevor Wilde 4238789
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
Cetera Advisors LLC 10299
Street Address 1 Street Address 2
7025 North Scottsdale Road Suite 115 & 110
City State/Province/Country ZIP/Postal Code
Scottsdale ARIZONA 85253
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
ARIZONA
Recipient
Recipient CRD Number None
Ataul Azad 6693659
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
Saxony Securities, Inc. 115547
Street Address 1 Street Address 2
4512 Legacy Drive Suite 100
City State/Province/Country ZIP/Postal Code
Plano TEXAS 75024
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number None
Gregg Hartmann 2261157
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
Cetera Investment Services LLC 15340
Street Address 1 Street Address 2
5299 DTC Boulevard Suite 800
City State/Province/Country ZIP/Postal Code
Greenwood Village COLORADO 80111
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
TEXAS
Recipient
Recipient CRD Number None
Andrew Baker Woolworth, Jr. 4407177
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
Stifel, Nicolaus & Company, Incorporated 793
Street Address 1 Street Address 2
1095 Avenue of the Americas 3rd & 4th Floors
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10036
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
FLORIDA
NEW JERSEY
NEW YORK
Recipient
Recipient CRD Number None
Jason Weaver 2809696
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
Purshe Kaplan Sterling Investments 35747
Street Address 1 Street Address 2
101 Main Street Suite 220
City State/Province/Country ZIP/Postal Code
Huntington Beach CALIFORNIA 92648
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number None
Walter Pardo 2154112
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
Avantax Investment Services, Inc. 13686
Street Address 1 Street Address 2
22 Church Street #60
City State/Province/Country ZIP/Postal Code
Liberty Corner NEW JERSEY 07938
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
NEW JERSEY
Recipient
Recipient CRD Number None
Joseph Polanski, Jr. 1099754
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
Cetera Advisor Networks LLC 13572
Street Address 1 Street Address 2
2301 Rosecrans Avenue #5100
City State/Province/Country ZIP/Postal Code
El Segundo CALIFORNIA 90245
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
GEORGIA
Recipient
Recipient CRD Number None
Blake Furgerson 6055795
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
Stifel, Nicolaus & Company, Incorporated 793
Street Address 1 Street Address 2
300 Throckmorton Street Suite 1400
City State/Province/Country ZIP/Postal Code
Fort Worth TEXAS 76102
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
TEXAS
Recipient
Recipient CRD Number None
Mark Sherin 1291532
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
Osaic FA, Inc. 3978
Street Address 1 Street Address 2
31111 Agoura Road Suite 200
City State/Province/Country ZIP/Postal Code
Westlake Village CALIFORNIA 91361
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number None
Naimesh Shah 7269317
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
Avantax Investment Services, Inc. 13686
Street Address 1 Street Address 2
939 North Plum Gove Road Suite F
City State/Province/Country ZIP/Postal Code
Schaumburg ILLINOIS 60173
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
ILLINOIS
Recipient
Recipient CRD Number None
Matthew Chancey 5645874
(Associated) Broker or Dealer None
(Associated) Broker or Dealer CRD Number None
Realta Equities, Inc. 23769
Street Address 1 Street Address 2
12636 High Bluff Drive Suite 300
City State/Province/Country ZIP/Postal Code
San Diego CALIFORNIA 92130
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
FLORIDA

13. Offering and Sales Amounts

Total Offering Amount $500,000,000 USD
or Indefinite
Total Amount Sold $94,362,776 USD
Total Remaining to be Sold $405,637,224 USD
or Indefinite

Clarification of Response (if Necessary):

Regarding Item 11, the Issuer may accept smaller investments in the Issuer's sole discretion.

14. Investors

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.
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:
183

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 $32,500,000 USD
X Estimate
Finders' Fees $0 USD
X Estimate

Clarification of Response (if Necessary):

Sales Commissions include estimates of the maximum amount of Selling Commissions, Dealer Fees and Placement Agent Fees that may be paid.

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.

$3,750,000 USD
X Estimate

Clarification of Response (if Necessary):

Item 16 is an estimate of acquisition fees, reimbursements for certain acquisition and financing costs, and offering and organizational expenses that may accrue to one or more Related Persons.

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 Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) 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.

Issuer Signature Name of Signer Title Date
Griffin Capital Qualified Opportunity Zone Fund IV, L.P. /s/ Daniel Snell Daniel Snell Chief Financial Officer/Treasurer of the GP of the Issuer 2024-11-15

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.