David J Harris is listed as an executive officer, director, and promoter on 19 SEC Form D filings by 5 issuers between Mar 2009 and May 2015: ACUITY FUND LTD (Tortola, Virgin Islands, British (as filed: D8) — pooled investment fund — 2009–2011; $247.1M reported sold to 61 investors), ACUITY PARTNERS LP (Greenwich, CT — pooled investment fund — 2009–2011; $49.7M reported sold to 54 investors), Acuity Corporate Opportunity Fund Ltd (Road Town, Tortola, Virgin Islands, British (as filed: D8) — pooled investment fund — 2010–2015; $25.4M reported sold to 19 investors), Acuity Corporate Opportunity Partners LP (Greenwich, CT — pooled investment fund — 2010–2015; $19.1M reported sold to 34 investors) and CSP SYSTEMS INC (Bellingham, WA — manufacturing — 2011; $1.3M reported sold to 23 investors).
What this means A repeat sponsor — 5 separate companies raised money with this person listed as executive officer, director, and promoter, over about 6 years. Across those companies the filings report $342.5M sold in total.
4 of the issuers belong to the sponsor group Acuity (7 issuers, $367M reported sold, 2009–2015).
What this means A sponsor group is one team that sets up a new company for each deal. Acuity has 7 companies on file and $367M 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 (AZ, CA, DE, TX, WA) — 6 bankruptcy cases matching the name listed in Key records below.
What this means 6 records came back. Each one is listed below with a link to the original document and a line saying why it matched. A name match is not proof it is the same person or company — read the why line and the document. Being sued or named in a release is an accusation, not a finding.
We compared 19 public filings for David J Harris and found 13 differences, 1 worth asking the sponsor about: Amount sold went down between filings; 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.