Form D · Hedge Fund

Semper Active MBS Fund, L.P.

New York, NY · CIK 0001528455

Offering snapshot reported Aug 26, 2015 · SEC filing

Reported sold: $14.8M
Investors reported: 5
Minimum accepted: $150K
First sale: Nov 1, 2010

Fundraising history

Reported sold

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.

Reported sold$25,101,123 → $14,789,344

Filing history

Scroll to see all columns →

Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Aug 26, 2015	Amendment	$14,789,344	-$10,311,779vs Aug 26, 2014	5	SEC filing
Aug 26, 2014	Amendment	$25,101,123	-$5,424,817vs Aug 23, 2013	5	SEC filing
Aug 23, 2013	Amendment	$30,525,940	$7,100,000vs Aug 23, 2012	3	SEC filing
Aug 23, 2012	Amendment	$23,425,940	$0vs Aug 24, 2011	3	SEC filing
Aug 24, 2011	Initial	$23,425,940	No comparison	3	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06b, 3C, 3C.7
Duration over one year: Yes
Business combination: No

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-164851

Clarification of Item 11 - $150,000 is the minimum additional investment. $1,000,000 is the minimum initial investment. The General Partner, in its sole discretion, may accept lesser sums as initial and subsequent subscriptions.

Pursuant to a Placement Agent Agreement, CAVU Securities, LLC is entitled to fees based on a percentage of the management fee, advisory fee and other amounts earned by the Fund that are currently indeterminable and not readily estimated.

Sales compensation recipients

Scroll to see all columns →

Recipient	CRD	Associated broker-dealer
Stuart Patterson	4309118	CAVU Securities, LLC · CRD 6906
Mitch Baruchowitz	4959894	CAVU Securities, LLC · CRD 6906
Jon Slogoff	2524730	CAVU Securities, LLC · CRD 6906
None	None	CAVU Securities, LLC · CRD 6906

Source: Form D, filed Aug 26, 2015. 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

SEMPER ACTIVE MBS FUND, L.P.

Investment adviser: SEMPER CAPITAL MANAGEMENT, L.P.

Gross asset value: $0
Beneficial owners: 0
ADV minimum commitment: $1M

Reported in Form ADV on Feb 2, 2017. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator U.S. BANCORP FUND SERVICES, LTD. HACKENSACK, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor MARCUM LLP NEW YORK, New York, United States

Custodian U.S. BANK, N.A. MILWAKUEE, Wisconsin, United States Related to adviser: No

Marketer CAVU SECURITIES LLC NEW YORK, New York, United States Related to adviser: Yes

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

CAVU SECURITIES LLC
CRD 6906 · SEC 8-18428

Filing source

Form ADV 1069446 · Feb 2, 2017 · Schedule D 7.B.(1), fund 805-5905481413

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
Name	Reported role
Gregory Ellis	Executive
Gregory A. Parsons	Executive
N/A Semper Capital Management, L.P.	Promoter
N/A Semper Subadvised Gp, Llc	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

52 Vanderbilt Avenue Suite 401
New York, NY, 10017