Gregory Ellis is listed as an executive officer and director on 14 SEC Form D filings by 5 issuers between Aug 2014 and Aug 2017: Semper MIDAS Fund, L.P. (New York, NY — pooled investment fund — 2014–2017; $172.3M reported sold to 76 investors), Semper Midas Fund, Ltd. (George Town, Grand Cayman, Cayman Islands (as filed: E9) — pooled investment fund — 2014–2017; $69.8M reported sold to 21 investors), Semper Active MBS Fund, L.P. (New York, NY — pooled investment fund — 2014–2015; $30.5M reported sold to 5 investors), Semper Active MBS Fund, Ltd. (George Town, Cayman Islands (as filed: E9) — pooled investment fund — 2014–2015; $23.4M reported sold to 3 investors) and Semper Alternative Asset Opportunity Fund (Delaware), L.P. (New York, NY — pooled investment fund — 2016–2017; $22.3M reported sold to 4 investors).
What this means A repeat sponsor — 5 separate companies raised money with this person listed as executive officer and director, over about 3 years. Across those companies the filings report $318.4M sold in total.
Listed alongside Semper Capital Management, L.P. (14 shared filings, management entity), Gregory A. Parsons (8 shared filings), David Bree (6 shared filings), Semper Midas GP, LLC (4 shared filings, management entity), Semper Subadvised GP, LLC (2 shared filings, management entity) and 3 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Gregory. Each name links to their own page.
All 5 issuers belong to the sponsor group Semper (10 issuers, $318.9M reported sold, 2009–2020).
What this means A sponsor group is one team that sets up a new company for each deal. Semper has 10 companies on file and $318.9M 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) — 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 14 public filings for Gregory Ellis and found 12 differences, 4 worth asking the sponsor about: 10 offerings reported less sold on a later filing than an earlier one; 8 offerings reported fewer investors on a later filing; 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.