Dennis Lim is listed as an executive officer, director, and promoter on 4 SEC Form D filings by 2 issuers between May 2010 and May 2011: Templeton Strategic Emerging Markets Fund III, L.P. (Singapore, Singapore (as filed: U0) — pooled investment fund — 2010–2011; $147.4M reported sold to 18 investors) and Templeton Strategic Emerging Markets Fund III, (Cayman) L.P. (Singapore, Singapore (as filed: U0) — pooled investment fund — 2010–2011; $2M reported sold to 1 investors).
What this means 2 separate companies raised money with this person listed as executive officer, director, and promoter. Across those companies the filings report $149.4M sold in total.
All 2 issuers belong to the sponsor group Templeton (4 issuers, $252.3M reported sold, 2010–2014).
What this means A sponsor group is one team that sets up a new company for each deal. Templeton has 4 companies on file and $252.3M 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 (AK, AL, AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, OK, OR, PA, RI, SC, SD, TN, TX, VT, WA, WI, WV, WY) — 3 bankruptcy cases matching the name listed in Key records below.
What this means 3 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 4 public filings for Dennis Lim and found 10 differences, 3 worth asking the sponsor about: Form D filed 593 days after the first sale; Dennis Lim is no longer listed on the Apr 27, 2012 amendment; 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.