Form D · Hedge Fund

Empery Tax Efficient II LP

New York, NY · CIK 0001620313

Offering snapshot reported Sep 17, 2020 · SEC filing

Reported sold
$21.5M
Indefinite offering
Investors reported
5
Form D · investor count
Minimum accepted
$500K
Reported outside-investor minimum
First sale
Oct 1, 2014
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$10.8M$21.5MSep 30, 2014Sep 25, 2015: $21,500,000.00Sep 19, 2016: $21,510,000.00Sep 20, 2017: $21,510,000.00Sep 18, 2018: $21,510,000.00Sep 17, 2019: $21,510,000.00Sep 17, 2020: $21,510,000.00Sep 17, 2020

Dates are filing dates, not cash receipt dates. Decreases are reported revisions, not evidence of withdrawals. Separate offering histories are not added together.

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Sep 17, 2020Amendment$21,510,000$0vs Sep 17, 20195SEC filing
Sep 17, 2019Amendment$21,510,000$0vs Sep 18, 20185SEC filing
Sep 18, 2018Amendment$21,510,000$0vs Sep 20, 20175SEC filing
Sep 20, 2017Amendment$21,510,000$0vs Sep 19, 20165SEC filing
Sep 19, 2016Amendment$21,510,000$10,000vs Sep 25, 20155SEC filing
Sep 25, 2015Amendment$21,500,000No comparison4SEC filing
Sep 30, 2014InitialYet to sellNo comparison4SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.1
Duration over one year
No
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-225495

Source: Form D, filed Sep 17, 2020. Minimum accepted may differ from a standard advertised minimum.

Fund connections

The linked fund shows its most recently reported ADV details.

Matched by reported Form D file number

EMPERY TAX EFFICIENT II, LP

Investment adviser: EMPERY ASSET MANAGEMENT, LP

Gross asset value
$9.98K
Beneficial owners
4
ADV minimum commitment
$500K

Reported in Form ADV on Mar 29, 2022. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator OPUS FUND SERVICES (BERMUDA) LTD. HAMILTON, Bermuda Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor RSM US LLP NEW YORK, New York, United States
Custodian NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States Related to adviser: No
Custodian VISION FINANCIAL MARKETS LLC STAMFORD, Connecticut, United States Related to adviser: No
Prime broker NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

RSM US LLP
PCAOB 49

NATIONAL FINANCIAL SERVICES LLC
SEC 8-26740

VISION FINANCIAL MARKETS LLC
SEC 8-67447

NATIONAL FINANCIAL SERVICES LLC
CRD 13041 · SEC 8-26740

Filing source

Form ADV 1612621 · Mar 29, 2022 · Schedule D 7.B.(1), fund 805-8023942676

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

People & organizations

Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.

People and organizations reported in Form D filings
NameReported role
Martin David Hoe Executive
Ryan Matthew Lane Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
1 Rockefeller Plaza, Suite 1205
New York, NY, 10020