Nexpoint Life Sciences II DST

10/30/2024 | Press release | Distributed by Public on 10/30/2024 10:19

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
0001980223
Corporation
Limited Partnership
Limited Liability Company
General Partnership
Business Trust
X Other (Specify)

Delaware Statutory Trust
Name of Issuer
NexPoint Life Sciences II DST
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
NexPoint Life Sciences II DST
Street Address 1 Street Address 2
300 CRESCENT COURT SUITE 700
City State/Province/Country ZIP/PostalCode Phone Number of Issuer
DALLAS TEXAS 75201 833-697-6246

3. Related Persons

Last Name First Name Middle Name
NexPoint Real Estate Advisors IV, L.P. N/A
Street Address 1 Street Address 2
300 Crescent Court Suite 700
City State/Province/Country ZIP/PostalCode
Dallas TEXAS 75201
Relationship: X Executive Officer Director Promoter

Clarification of Response (if Necessary):

Sponsor of the Issuer
Last Name First Name Middle Name
Goetz Matthew
Street Address 1 Street Address 2
300 Crescent Court Suite 700
City State/Province/Country ZIP/PostalCode
Dallas TEXAS 75201
Relationship: X Executive Officer Director Promoter

Clarification of Response (if Necessary):

Authorized Signatory of the Issuer
Last Name First Name Middle Name
NREA Life Sciences II, LLC N/A
Street Address 1 Street Address 2
300 Crescent Court Suite 700
City State/Province/Country ZIP/PostalCode
Dallas TEXAS 75201
Relationship: X Executive Officer Director Promoter

Clarification of Response (if Necessary):

Manager and Signatory Trustee of the Issuer
Last Name First Name Middle Name
NREA LS II Investment Co, LLC N/A
Street Address 1 Street Address 2
300 Crescent Court Suite 700
City State/Province/Country ZIP/PostalCode
Dallas TEXAS 75201
Relationship: X Executive Officer Director Promoter

Clarification of Response (if Necessary):

Contributor of the Issuer
Last Name First Name Middle Name
McGraner Matt
Street Address 1 Street Address 2
300 Crescent Court Suite 700
City State/Province/Country ZIP/PostalCode
Dallad TEXAS 75201
Relationship: X Executive Officer Director Promoter

Clarification of Response (if Necessary):

Authorized Signatory 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)
Rule 506(b)
X 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 2023-06-20 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 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 $100,000 USD

12. Sales Compensation

Recipient
Recipient CRD Number None
Emerson Equity LLC 130032
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
155 Bovet Road Suite 725
City State/Province/Country ZIP/Postal Code
San Mateo CALIFORNIA 94402
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
CALIFORNIA
FLORIDA
NEW YORK
Recipient
Recipient CRD Number None
Centaurus Financial, Inc. 30833
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
2300 E. Katella Avenue Suite 200
City State/Province/Country ZIP/Postal Code
Anaheim CALIFORNIA 92806
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
ARIZONA
CALIFORNIA
COLORADO
MONTANA
UTAH
WASHINGTON
Recipient
Recipient CRD Number None
Arkadios Capital 282710
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
309 East Paces Ferry Road Suite 1000
City State/Province/Country ZIP/Postal Code
Atlanta GEORGIA 30305
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
CALIFORNIA
TEXAS
Recipient
Recipient CRD Number None
Coastal Equities, Inc. 23769
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
120 N. Orange Street Suite 729
City State/Province/Country ZIP/Postal Code
Wilmington DELAWARE 19801
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
CALIFORNIA
UTAH
Recipient
Recipient CRD Number None
DMK Advisor Group, Inc. 41067
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
17961 Hunting Bow Circle Suite 102
City State/Province/Country ZIP/Postal Code
Lutz FLORIDA 33558
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
OREGON
Recipient
Recipient CRD Number None
Concorde Investment Services, LLC 151604
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
19500 Victor Parkway Suite 550
City State/Province/Country ZIP/Postal Code
Livonia MICHIGAN 48152
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
ARIZONA
CALIFORNIA
FLORIDA
KENTUCKY
MASSACHUSETTS
PENNSYLVANIA
UTAH
Recipient
Recipient CRD Number None
Great Point Capital LLC 114203
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
200 West Jackson Blvd. Suite 1000
City State/Province/Country ZIP/Postal Code
Chicago ILLINOIS 60606
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
MISSOURI
Recipient
Recipient CRD Number None
Patrick Capital Markets, LLC 16518
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
11152 South Town Square
City State/Province/Country ZIP/Postal Code
St. Louis MISSOURI 63123
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
GEORGIA
MAINE
Recipient
Recipient CRD Number None
Infinity Financial Services 144302
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
212 9th Street Suite 202
City State/Province/Country ZIP/Postal Code
Oakland CALIFORNIA 94607
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
Lightpath Capital, Inc. 34617
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1560 E. Southlake Blvd. Suite 100
City State/Province/Country ZIP/Postal Code
Southlake TEXAS 76092
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
CALIFORNIA
MONTANA
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
OREGON
TENNESSEE
Recipient
Recipient CRD Number None
Realta Equities, Inc. 23769
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1201 N. Orange Street Suite 729
City State/Province/Country ZIP/Postal Code
Wilmington DELAWARE 19801
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
Innovation Partners LLC 146344
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
5950 Fairview Road Suite 140
City State/Province/Country ZIP/Postal Code
Charlotte NORTH CAROLINA 28210
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
CALIFORNIA
FLORIDA
Recipient
Recipient CRD Number None
Moloney Securities Co., Inc. 38535
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
13537 Barrett Parkway Drive #300
City State/Province/Country ZIP/Postal Code
Manchester MISSOURI 63021
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
COLORADO
Recipient
Recipient CRD Number None
Realized Financial, Inc. 22333
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
400 W. 15th St. Suite 700
City State/Province/Country ZIP/Postal Code
Austin TEXAS 78701
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
CALIFORNIA

13. Offering and Sales Amounts

Total Offering Amount $40,489,695 USD
or Indefinite
Total Amount Sold $27,864,030 USD
Total Remaining to be Sold $12,625,665 USD
or Indefinite

Clarification of Response (if Necessary):

Regarding Item 11, the Issuer may accept smaller investments in the Sponsor'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:
75

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 $3,542,849 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 and Dealer 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.

$792,938 USD
X Estimate

Clarification of Response (if Necessary):

Item 16 is an estimate of offering expenses and acquisition fees 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
NexPoint Life Sciences II DST /s/Brian Mitts Brian Mitts Authorized Signatory of the Issuer 2024-10-30

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.