William Harris is listed as a director on 83 SEC Form D filings by 12 issuers between Mar 2010 and Jun 2022. Largest by amount reported sold: Whitebox Multi-Strategy Fund, LP (Minneapolis, MN — pooled investment fund — 2015; $2.92B reported sold to 1,074 investors), Whitebox Multi-Strategy Fund, Ltd. (Camana Bay, Grand Cayman, Cayman Islands (as filed: E9) — pooled investment fund — 2010–2022; $2.3B reported sold to 817 investors), Whitebox Relative Value Fund, Ltd. (Camana Bay, Grand Cayman, Cayman Islands (as filed: E9) — pooled investment fund — 2010–2022; $1.97B reported sold to 191 investors), Whitebox Asymmetric Opportunities Fund, Ltd (Grand Cayman, Cayman Islands (as filed: E9) — pooled investment fund — 2010–2019; $1.01B reported sold to 68 investors), Whitebox Relative Value Fund, LP (Minneapolis, MN — pooled investment fund — 2015; $895.3M reported sold to 150 investors) and 7 more (all listed below).
What this means That is a lot of deals — 12 separate companies raised money with this person listed as director, over about 12 years. Across those companies the filings report $10.44B sold in total.
The issuers belong to 2 sponsor groups: Whitebox (33 issuers, $13.56B reported sold, 2009–2026) and Collins (4 issuers, $64.7M reported sold, 2012–2018).
What this means This person is listed across more than one sponsor team; each group page shows that team's full track record.
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 the newest 50 of 83 public filings for William Harris and found 16 differences, 7 worth asking the sponsor about: Amount sold went down between filings; 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.