Root Capital Inc.

07/05/2024 | Press release | Distributed by Public on 07/05/2024 07:24

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
None
Entity Type
0001584978
Root Capital, Inc.
EcoLogic Finance
EcoLogic Enterprise Ventures
Corporation
Limited Partnership
Limited Liability Company
General Partnership
Business Trust
X Other (Specify)

Nonprofit Corporation
Name of Issuer
Root Capital Inc.
Jurisdiction of Incorporation/Organization
MASSACHUSETTS
Year of Incorporation/Organization
X Over Five Years Ago
Within Last Five Years (Specify Year)
Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
Root Capital Inc.
Street Address 1 Street Address 2
245 MAIN ST 2ND FLOOR
City State/Province/Country ZIP/PostalCode Phone Number of Issuer
CAMBRIDGE MASSACHUSETTS 02142 6176615792

3. Related Persons

Last Name First Name Middle Name
Foote William Fulbright
Street Address 1 Street Address 2
245 Main Street 2nd Floor
City State/Province/Country ZIP/PostalCode
Cambridge MASSACHUSETTS 02142
Relationship: X Executive Officer Director Promoter

Clarification of Response (if Necessary):

Chief Executive Officer
Last Name First Name Middle Name
McDonald Scott
Street Address 1 Street Address 2
245 Main Street 2nd Floor
City State/Province/Country ZIP/PostalCode
Cambridge MASSACHUSETTS 02142
Relationship: X Executive Officer Director Promoter

Clarification of Response (if Necessary):

Chief External Affairs Officer
Last Name First Name Middle Name
Reid Frances
Street Address 1 Street Address 2
245 Main street 2nd Floor
City State/Province/Country ZIP/PostalCode
Cambridge MASSACHUSETTS 02142
Relationship: X Executive Officer Director Promoter

Clarification of Response (if Necessary):

President & Chief Operating Officer
Last Name First Name Middle Name
Boos Fleur
Street Address 1 Street Address 2
Burgemeester Schooklaan 24
City State/Province/Country ZIP/PostalCode
Hilversum NETHERLANDS 1217 LZ
Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Jehiel Oliver
Street Address 1 Street Address 2
Lantana Terrace Owashika Road
City State/Province/Country ZIP/PostalCode
Nairobi KENYA 00000
Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Muzoora Hans
Street Address 1 Street Address 2
8 Baron Park Lane Apartment 8
City State/Province/Country ZIP/PostalCode
Burlington MASSACHUSETTS 01803
Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Burke Alice Decker
Street Address 1 Street Address 2
245 Main Street 2nd Floor
City State/Province/Country ZIP/PostalCode
Cambridge MASSACHUSETTS 02142
Relationship: X Executive Officer Director Promoter

Clarification of Response (if Necessary):

General Counsel
Last Name First Name Middle Name
Zacapa Ana
Street Address 1 Street Address 2
Paseo de la Bonanova, 112
City State/Province/Country ZIP/PostalCode
Barcelona SPAIN 08017
Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Villarruel Larre Soledad
Street Address 1 Street Address 2
245 Main Street 2nd Floor
City State/Province/Country ZIP/PostalCode
Cambridge MASSACHUSETTS 02142
Relationship: X Executive Officer Director Promoter

Clarification of Response (if Necessary):

Chief Human Resources Officer
Last Name First Name Middle Name
Amero Scott
Street Address 1 Street Address 2
15 W Cedar Street
City State/Province/Country ZIP/PostalCode
Boston MASSACHUSETTS 02108
Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Bolger Lindsey
Street Address 1 Street Address 2
1402 Maggie's Way
City State/Province/Country ZIP/PostalCode
Waterbury Center VERMONT 05677
Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Wesely Marissa
Street Address 1 Street Address 2
333 Central Park West Apartment 116
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10025
Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Fernandez Mario
Street Address 1 Street Address 2
16441 Hiram Avenue
City State/Province/Country ZIP/PostalCode
Oregon City OREGON 97045
Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Goss Salah
Street Address 1 Street Address 2
6332 31st Street NW
City State/Province/Country ZIP/PostalCode
Washington DISTRICT OF COLUMBIA 20015
Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Romana Sophie
Street Address 1 Street Address 2
6 Chestnut Hill
City State/Province/Country ZIP/PostalCode
Camden MAINE 04843
Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Toungara Macani
Street Address 1 Street Address 2
800 4th Street SW
City State/Province/Country ZIP/PostalCode
Washington DISTRICT OF COLUMBIA 20024
Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Woliner Bryan
Street Address 1 Street Address 2
245 Main Street 2nd Floor
City State/Province/Country ZIP/PostalCode
Cambridge MASSACHUSETTS 02142
Relationship: X Executive Officer Director Promoter

Clarification of Response (if Necessary):

Chief Financial Officer
Last Name First Name Middle Name
Salinger Darcy
Street Address 1 Street Address 2
245 Main Street 2nd Floor
City State/Province/Country ZIP/PostalCode
Cambridge MASSACHUSETTS 02142
Relationship: X Executive Officer Director Promoter

Clarification of Response (if Necessary):

Chief Credit Officer
Last Name First Name Middle Name
Brown Philip
Street Address 1 Street Address 2
77 The Drive
City State/Province/Country ZIP/PostalCode
Rickmanworth, Hertforshire UNITED KINGDOM WD34DY
Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Richardson James
Street Address 1 Street Address 2
52 Balls Hill Rd.
City State/Province/Country ZIP/PostalCode
Concord MASSACHUSETTS 01742
Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Villanueva Maria Theresa
Street Address 1 Street Address 2
3919 Highwood Court NW
City State/Province/Country ZIP/PostalCode
Washington DISTRICT OF COLUMBIA 20007
Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

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
Other Real Estate
Retailing
Restaurants
Technology
Computers
Telecommunications
Other Technology
Travel
Airlines & Airports
Lodging & Conventions
Tourism & Travel Services
Other Travel
X
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
X $25,000,001 - $100,000,000 $50,000,001 - $100,000,000
Over $100,000,000 Over $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)
X Rule 506(b)
Rule 506(c)
Securities Act Section 4(a)(5)
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)
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 2013-09-19 First Sale Yet to Occur
X Amendment

8. Duration of Offering

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

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

Equity Pooled Investment Fund Interests
X 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 $25,000 USD

12. Sales Compensation

Recipient
Recipient CRD Number X None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
Street Address 1 Street Address 2
City State/Province/Country ZIP/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
or X Indefinite
Total Amount Sold $238,320,049 USD
Total Remaining to be Sold USD
or X Indefinite

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.
4
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:
373

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 $0 USD
Estimate
Finders' Fees $0 USD
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.

$0 USD
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 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
Root Capital Inc. Alice Burke Alice Burke General Counsel 2024-07-05

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.