David Ballantine is listed as an executive officer on 1 SEC Form D filing by 1 issuer in Jun 2020: Payden TALF 2020 Fund LLC (Woburn, MA — pooled investment fund — 2020; $178.3M reported sold to 12 investors).
What this means One deal on file with the SEC, filed Jun 2020. A Form D is the notice a company files after it starts selling a private investment — it is a notice, not an approval.
Listed alongside Erinn R. King (1 shared filing), Global Trust Company (1 shared filing, management entity), Jeffrey M. Schwartz (1 shared filing), Justin G. Bullion (1 shared filing), Payden & Rygel (1 shared filing, management entity) and 1 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around David. Each name links to their own page.
The issuer belongs to the sponsor group Base Camp (7 issuers, $3.82B reported sold, 2016–2026).
What this means A sponsor group is one team that sets up a new company for each deal. Base Camp has 7 companies on file and $3.82B reported sold in total — the group page shows the whole track record in one place.
Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, LA, ME, MO, MS, MT, NASAA, NC, NH, NM, OR, RI, TX, WA) — none found.
What this means Nothing turned up where we looked (3 sources). That does not prove there is nothing — it means none was found in those sources on that date.
We compared 1 public filing for David Ballantine and found 4 differences: Bankruptcy case: American Express Travel Related Services v. Deery; No amendment in the last 12 months on an offering that may still be open; and more below.
What this means These are differences between the sponsor's own SEC filings — both values, dates and sources are listed in Key records, section 4. Most have ordinary explanations; ask the sponsor.