Form D · REITS and Finance

Semper US RMBS Opportunity REIT, Inc.

New York, NY · CIK 0001540420

Offering snapshot reported Feb 5, 2016 · SEC filing

Reported sold: $27M
Investors reported: 247
Minimum accepted: $50K
First sale: Feb 1, 2014

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$2,320,000 → $27,037,436
Reported investors1 → 247

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Feb 5, 2016	Amendment	$27,037,436	$24,717,436vs Feb 11, 2014	247	SEC filing
Feb 11, 2014	Initial	$2,320,000	No comparison	1	SEC filing
Jun 12, 2013	Amendment	$9,162,816	$3,655,433vs Feb 6, 2013	78	SEC filing
Feb 6, 2013	Amendment	$5,507,383	$4,507,367vs Feb 1, 2012	44	SEC filing
Feb 1, 2012	Initial	$1,000,016	No comparison	2	SEC filing

Offering details

Securities: Equity
Exemptions: 06b, 3C, 3C.5, 3C.6
Duration over one year: No
Business combination: No

Sales commissions: $5.7M (estimated)
Finders' fees: $0
Form D file number: 021-211682

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
CAVU Securities LLC	6906
American Capital Partners, LLC	119249
Buckman, Buckman & Reid, Inc.	23407
Financial West Group	16668
Wilson-Davis & Co., Inc.	3777
First Liberties Financial	14432
Newbridge Securities Corporation	104065
VFG Securities, Inc.	15121
IBN Financial Services, Inc.	42360
Landolt Securities, Inc.	28352
Arque Capital, Inc.	121192
Sunbelt Securites, Inc.	42180
Coastal Equities, Inc.	23769
K. C. Ward Financial	145135
Capital Investment Group, Inc.	14752
Kalos Capital, Inc.	44337
TD Ameritrade, Inc.	7870	Dan Pikula · CRD 2563165
Capital Financial Services, Inc.	8408
Legend Securities, Inc.	44952

Source: Form D, filed Feb 5, 2016. 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 US RMBS OPPORTUNITY REIT, INC.

Investment adviser: SEMPER CAPITAL MANAGEMENT, L.P.

Gross asset value: $12.5M
Beneficial owners: 108
ADV minimum commitment: $50K

Reported in Form ADV on Sep 13, 2013. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator U.S. BANCORP FUND SERVICES, LLC PORTLAND, Maine, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor MARCUM LLP NEW YORK, New York, United States

Custodian UNION BANK, N.A. SAN FRANCISCO, California, United States Related to adviser: No

Marketer ACGM, INC. NEW YORK, New York, 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

ACGM, INC.
CRD 29705 · SEC 8-44376

CAVU SECURITIES LLC
CRD 6906 · SEC 8-18428

Filing source

Form ADV 756608 · Sep 13, 2013 · Schedule D 7.B.(1), fund 805-8299742201

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
Ucm Partners Lp	Promoter
Semper Capital Management Lp	Promoter
Thomas Mandel	Director, Executive, Promoter
Gregory A. Parsons	Director, Executive, Promoter
Gregory Smith	Director

Issuer details

Industry: REITS and Finance (See others in industry)

Address:

52 Vanderbilt Avenue, Suite 401
New York, NY, 10017