Form D · Other Investment Fund

TBC Ellipsis Opportunities, LLC - Carta, Inc.

San Francisco, CA · CIK 0001788505

Offering snapshot reported Sep 24, 2019 · SEC filing

Reported sold: $550K
Investors reported: 2
Minimum accepted: $50K
First sale: Mar 22, 2019

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Sep 24, 2019	Initial	$550,000	No comparison	2	SEC filing

Offering details

Securities: Equity, 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: 021-349509

Source: Form D, filed Sep 24, 2019. 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

TBC ELLIPSIS OPPORTUNITIES, LLC - CARTA, INC.

Investment adviser: TOMALES BAY CAPITAL, L.P.

Gross asset value: $8.04M
Beneficial owners: 2
ADV minimum commitment: $50K

Reported in Form ADV on Feb 20, 2024. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator CARTA INVESTOR SERVICES, INC. SAN FRANCISCO, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor FRANK, RIMERMAN & CO. LLP SAN FRANCISCO, California, United States

Custodian FIRST-CITIZENS BANK & TRUST COMPANY SANTA CLARA, California, United States Related to adviser: No

Custodian MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED NEW YORK, New York, United States Related to adviser: No

Provider details

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

FRANK, RIMERMAN & CO. LLP
PCAOB 1596

FIRST-CITIZENS BANK & TRUST COMPANY
LEI L9VVX1KT5TFTKS0MLF66

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
SEC 8-7221 · LEI 8NAV47T0Y26Q87Y0QP81

Filing source

Form ADV 1829767 · Feb 20, 2024 · Schedule D 7.B.(1), fund 805-1091699692

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
Iqbaljit Kahlon	Executive
N/A Tbc Ellipsis Opportunities Gp, Llc	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

5 3rd Street Suite 900
San Francisco, CA, 94103