Small Company Offering and Sale of Securities Without Registration (D)
Date : 06/25/2009 @ 11:34AM
Source : Edgar (US Regulatory)
Stock : (ROYL)
Quote : 2.05 -0.05 (-2.38%) @ 7:58PM
- Small Company Offering and Sale of Securities Without Registration (D)
UNITED STATES SECURITIES
AND EXCHANGE COMMISSION
Washington, D.C.
FORM D
OMB APPROVAL
OMB Number: 3235-0076 Expires: September 30, 2008 Estimated Average burden hours per response: 4.0
Notice of Exempt Offering of Securities
1. Issuer's Identity
CIK (Filer ID Number)
Previous Name(s)
o
None
Entity Type
0000864839 ROYALE ENERGY FUNDS INC x
Corporation
o
Limited Partnership
o
Limited Liability Company
o
General Partnership
o
Business Trust
o
Other
Name of Issuer
ROYALE ENERGY INC
Jurisdiction of Incorporation/Organization
CALIFORNIA
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
ROYALE ENERGY INC
Street Address 1
Street Address 2
7676 HAZARD CENTER DR
SUITE 1500
City
State/Province/Country
ZIP/Postal Code
Phone No. of Issuer
SAN DIEGO
CA
92108
6198812800
3. Related Persons
Last Name
First Name
Middle Name
Hosmer Harry E.
Street Address 1
Street Address 2
7676 Hazard Center Drive Suite 1500
City
State/Province/Country
ZIP/Postal Code
San Diego CA 92108
Relationship:
o
Executive Officer
x
Director
o
Promoter
Clarification of Response (if Necessary)
--------------------------------------------------------------------------------
Last Name
First Name
Middle Name
Hosmer Donald H.
Street Address 1
Street Address 2
7676 Hazard Center Drive Suite 1500
City
State/Province/Country
ZIP/Postal Code
San Diego CA 92108
Relationship:
x
Executive Officer
x
Director
o
Promoter
Clarification of Response (if Necessary)
--------------------------------------------------------------------------------
Last Name
First Name
Middle Name
Hosmer Stephen M.
Street Address 1
Street Address 2
7676 Hazard Center Drive Suite 1500
City
State/Province/Country
ZIP/Postal Code
San Diego CA 92108
Relationship:
x
Executive Officer
x
Director
o
Promoter
Clarification of Response (if Necessary)
--------------------------------------------------------------------------------
Last Name
First Name
Middle Name
Hildebrandt Oscar A.
Street Address 1
Street Address 2
7676 Hazard Center Drive Suite 1500
City
State/Province/Country
ZIP/Postal Code
San Diego CA 92108
Relationship:
o
Executive Officer
x
Director
o
Promoter
Clarification of Response (if Necessary)
--------------------------------------------------------------------------------
Last Name
First Name
Middle Name
Hall Tony
Street Address 1
Street Address 2
7676 Hazard Center Drive Suite 1500
City
State/Province/Country
ZIP/Postal Code
San Diego CA 92108
Relationship:
o
Executive Officer
x
Director
o
Promoter
Clarification of Response (if Necessary)
--------------------------------------------------------------------------------
Last Name
First Name
Middle Name
Watters George M.
Street Address 1
Street Address 2
7676 Hazard Center Drive Suite 1500
City
State/Province/Country
ZIP/Postal Code
San Diego CA 92108
Relationship:
o
Executive Officer
x
Director
o
Promoter
Clarification of Response (if Necessary)
--------------------------------------------------------------------------------
Last Name
First Name
Middle Name
Kemp Len
Street Address 1
Street Address 2
7676 Hazard Center Drive Suite 1500
City
State/Province/Country
ZIP/Postal Code
San Diego CA 92108
Relationship:
o
Executive Officer
x
Director
o
Promoter
Clarification of Response (if Necessary)
--------------------------------------------------------------------------------
4. Industry Group
o
Agriculture
Health Care
o
Retailing
Banking & Financial Services
o
Biotechnology
o
Restaurants
o
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
x
Oil & Gas
o
Other Energy
5. Issuer Size
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
x
$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
o
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
o
Rule 504 (b)(1)(ii)
o
Securities Act Section 4(6)
o
Rule 504 (b)(1)(iii)
o
Investment Company Act Section 3(c)
7. Type of Filing
x
New Notice
Date of First Sale
2009-04-30 o
First Sale Yet to Occur
o
Amendment
8. Duration of Offering
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
o
Debt
x
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)
11. Minimum Investment
Minimum investment accepted from any outside investor
$
25000
USD
12. Sales Compensation
Recipient
Recipient CRD Number
o
None
Investors Capital Corporation
30613
(Associated) Broker or Dealer
o
None
(Associated) Broker or Dealer CRD Number
o
None
Investors Capital Corporation
30613
Street Address 1
Street Address 2
230 Broadway East
City
State/Province/Country
ZIP/Postal Code
Lynnfield
MA
01940
State(s) of Solicitation
x
All States
--------------------------------------------------------------------------------
Recipient
Recipient CRD Number
o
None
Triad Advisors
25803
(Associated) Broker or Dealer
o
None
(Associated) Broker or Dealer CRD Number
o
None
Triad Advisors
25803
Street Address 1
Street Address 2
3500 Parkway Lane
Suite 220
City
State/Province/Country
ZIP/Postal Code
Norcross
GA
30092
State(s) of Solicitation
x
All States
--------------------------------------------------------------------------------
Recipient
Recipient CRD Number
o
None
MHA Financial Corporation
7462
(Associated) Broker or Dealer
o
None
(Associated) Broker or Dealer CRD Number
o
None
MHA Financial Corporation
7462
Street Address 1
Street Address 2
4 Pleasant Hill Street
City
State/Province/Country
ZIP/Postal Code
Westwood
MA
02090
State(s) of Solicitation
o
All States
AZ
CA
CT
DC
FL
IL
IN
ME
MD
MA
MI
MN
NV
NJ
NM
NY
NC
OH
PA
PR
SC
TX
VA
--------------------------------------------------------------------------------
Recipient
Recipient CRD Number
o
None
Newbridge Securities
104065
(Associated) Broker or Dealer
o
None
(Associated) Broker or Dealer CRD Number
o
None
Newbridge Securities
104065
Street Address 1
Street Address 2
1451 West Cypress Creek Road
City
State/Province/Country
ZIP/Postal Code
Fort Lauderdale
FL
33009-1953
State(s) of Solicitation
o
All States
AL
AK
AZ
AR
CA
CO
CT
DE
DC
FL
GA
HI
ID
IL
IN
IA
KS
KY
LA
MD
MA
MI
MN
MS
MO
MT
NE
NV
NH
NJ
NM
NY
NC
ND
OH
OK
OR
PA
RI
SC
SD
TN
TX
UT
VT
VA
WA
WV
WI
WY
--------------------------------------------------------------------------------
Recipient
Recipient CRD Number
o
None
Capital Financial Services, Inc.
8408
(Associated) Broker or Dealer
o
None
(Associated) Broker or Dealer CRD Number
o
None
Capital Financial Services, Inc.
8408
Street Address 1
Street Address 2
1 North Main Street
City
State/Province/Country
ZIP/Postal Code
Minot
MD
58703
State(s) of Solicitation
o
All States
AZ
AR
CA
CO
CT
FL
IL
IN
IA
KS
KY
MI
MN
MO
MT
NE
NV
NJ
NM
NY
NC
ND
OH
OK
OR
PA
RI
SC
SD
TX
UT
VT
VA
WA
WI
--------------------------------------------------------------------------------
Recipient
Recipient CRD Number
o
None
Cullum & Burks Securities
46600
(Associated) Broker or Dealer
o
None
(Associated) Broker or Dealer CRD Number
o
None
Cullum & Burks Securities
46600
Street Address 1
Street Address 2
13355 Noel Road
Suite 1300
City
State/Province/Country
ZIP/Postal Code
Dallas
TX
75240
State(s) of Solicitation
o
All States
AL
AK
AZ
AR
CA
CO
CT
FL
GA
ID
IL
IN
IA
KS
KY
LA
ME
MD
MA
MI
MN
MS
MO
NE
NV
NJ
NM
NY
NC
ND
OH
OK
OR
PA
SC
TN
TX
UT
VA
WA
WI
--------------------------------------------------------------------------------
Recipient
Recipient CRD Number
o
None
Gunn Allen Corporation
17609
(Associated) Broker or Dealer
o
None
(Associated) Broker or Dealer CRD Number
o
None
Gunn Allen Corporation
17609
Street Address 1
Street Address 2
5002 W. Waters Avenue
City
State/Province/Country
ZIP/Postal Code
Tampa
FL
33634
State(s) of Solicitation
x
All States
--------------------------------------------------------------------------------
Recipient
Recipient CRD Number
o
None
Empire Financial Group, Inc.
28759
(Associated) Broker or Dealer
o
None
(Associated) Broker or Dealer CRD Number
o
None
Empire Financial Group, Inc.
28759
Street Address 1
Street Address 2
2170 West State Road
Suite 100
City
State/Province/Country
ZIP/Postal Code
Longwood
FL
32779
State(s) of Solicitation
x
All States
--------------------------------------------------------------------------------
13. Offering and Sales Amounts
Total Offering Amount
$
6600000
USD
o
Indefinite
Total Amount Sold
$
348000
USD
Total Remaining to be Sold
$
6252000
USD
o
Indefinite
Clarification of Response (if Necessary)
14. Investors
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:
5
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
$
528000
USD
x
Estimate
Finders' Fees
$
0
USD
o
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
o
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, 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 the Issuer is not disqualified from relying on any Regulation D exemption it has identified in Item 6 above for one of the reasons stated in Rule 505(b)(2)(iii).
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
ROYALE ENERGY INC
Donald H. Hosmer
Donald H. Hosmer
President and Chief Executive Officer
2009-06-25
