Douglas Lee is listed as an executive officer, director, and promoter on 15 SEC Form D filings by 3 issuers between Mar 2009 and Mar 2013: 7X7 OFFSHORE LTD (Grand Cayman, Cayman Islands (as filed: E9) — pooled investment fund — 2009–2013; $552.8M reported sold to 68 investors), 7x7 Institutional Partners, L.P. (San Francisco, CA — pooled investment fund — 2009–2013; $484.5M reported sold to 43 investors) and 7x7 Partners, L.P. (San Francisco, CA — pooled investment fund — 2009–2013; $65.4M reported sold to 54 investors).
What this means A repeat sponsor — 3 separate companies raised money with this person listed as executive officer, director, and promoter, over about 4 years. Across those companies the filings report $1.1B sold in total.
Listed alongside 7x7 Asset Management LLC (13 shared filings, management entity), Tammy Seymour (5 shared filings), Roger Hanson (3 shared filings) and Roger H. Hanson (2 shared filings).
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Douglas. Each name links to their own page.
All 3 issuers belong to the sponsor group 7x7 Institutional (3 issuers, $1.1B reported sold, 2009–2013).
What this means A sponsor group is one team that sets up a new company for each deal. 7x7 Institutional has 3 companies on file and $1.1B 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) — 11 bankruptcy cases matching the name listed in Key records below.
What this means 11 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 15 public filings for Douglas Lee and found 11 differences, 1 worth asking the sponsor about: Investor count 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.