The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM D Notice of Exempt Offering of Securities |
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1. Issuer's Identity
CIK (Filer ID Number) | Previous Names |
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0001526515 |
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Name of Issuer | |||||||||||||||
Greenspring Opportunities II-A, L.P. | |||||||||||||||
Jurisdiction of Incorporation/Organization | |||||||||||||||
DELAWARE | |||||||||||||||
Year of Incorporation/Organization | |||||||||||||||
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2. Principal Place of Business and Contact Information
Name of Issuer | |||
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Greenspring Opportunities II-A, L.P. | |||
Street Address 1 | Street Address 2 | ||
100 PAINTERS MILL ROAD, SUITE 700 | |||
City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
OWINGS MILLS | MARYLAND | 21117 | 410-363-2825 |
3. Related Persons
Last Name | First Name | Middle Name |
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Greenspring Opportunities General Partner II-A, L.P. | N/A | |
Street Address 1 | Street Address 2 | |
c/o Greenspring Associates, Inc. | 100 Painters Mill Road, Suite 700 | |
City | State/Province/Country | ZIP/PostalCode |
Owings Mills | MARYLAND | 21117 |
Relationship: | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
General Partner of the IssuerLast Name | First Name | Middle Name |
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Greenspring Opportunities GP II, LLC | N/A | |
Street Address 1 | Street Address 2 | |
c/o Greenspring Associates, Inc. | 100 Painters Mill Road, Suite 700 | |
City | State/Province/Country | ZIP/PostalCode |
Owings Mills | MARYLAND | 21117 |
Relationship: | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
General Partner of the Issuer's General Partner ("GP LLC")Last Name | First Name | Middle Name |
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Greenspring Associates, Inc. | N/A | |
Street Address 1 | Street Address 2 | |
100 Painters Mill Road, Suite 700 | ||
City | State/Province/Country | ZIP/PostalCode |
Owings Mills | MARYLAND | 21117 |
Relationship: | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Managing Member of the GP LLCLast Name | First Name | Middle Name |
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Newhall | C. | Ashton |
Street Address 1 | Street Address 2 | |
c/o Greenspring Associates, Inc. | 100 Painters Mill Road, Suite 700 | |
City | State/Province/Country | ZIP/PostalCode |
Owings Mills | MARYLAND | 21117 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Officer of the Managing Member of the GP LLCLast Name | First Name | Middle Name |
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Lim | James | |
Street Address 1 | Street Address 2 | |
c/o Greenspring Associates, Inc. | 100 Painters Mill Road, Suite 700 | |
City | State/Province/Country | ZIP/PostalCode |
Owings Mills | MARYLAND | 21117 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Officer of the Managing Member of the GP LLCLast Name | First Name | Middle Name |
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Thompson | Eric | |
Street Address 1 | Street Address 2 | |
c/o Greenspring Associates, Inc. | 100 Painters Mill Road, Suite 700 | |
City | State/Province/Country | ZIP/PostalCode |
Owings Mills | MARYLAND | 21117 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Officer of the Managing Member of the GP LLC4. Industry Group
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5. Issuer Size
Revenue Range | OR | Aggregate Net Asset Value Range | ||
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No Revenues | No Aggregate Net Asset Value | |||
$1 - $1,000,000 | $1 - $5,000,000 | |||
$1,000,001 - $5,000,000 | $5,000,001 - $25,000,000 | |||
$5,000,001 - $25,000,000 | $25,000,001 - $50,000,000 | |||
$25,000,001 - $100,000,000 | $50,000,001 - $100,000,000 | |||
Over $100,000,000 | Over $100,000,000 | |||
Decline to Disclose | Decline to Disclose | |||
X | Not Applicable | Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
Rule 504(b)(1) (not (i), (ii) or (iii)) | Rule 505 | |||||||||||||||||||||||||||||||||||
Rule 504 (b)(1)(i) | X | Rule 506 | ||||||||||||||||||||||||||||||||||
Rule 504 (b)(1)(ii) | Securities Act Section 4(5) | |||||||||||||||||||||||||||||||||||
Rule 504 (b)(1)(iii) | X | Investment Company Act Section 3(c) | ||||||||||||||||||||||||||||||||||
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7. Type of Filing
New Notice | Date of First Sale | 2011-12-21 | First Sale Yet to Occur | ||||||
X | Amendment |
8. Duration of Offering
Does the Issuer intend this offering to last more than one year? |
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9. Type(s) of Securities Offered (select all that apply)
Equity | X | Pooled Investment Fund Interests | |
Debt | Tenant-in-Common Securities | ||
Option, Warrant or Other Right to Acquire Another Security | Mineral Property Securities | ||
Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security | Other (describe) | ||
10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
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Clarification of Response (if Necessary):
11. Minimum Investment
Minimum investment accepted from any outside investor | $0 | USD |
12. Sales Compensation
Recipient |
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Commerce Square Trading | 26554 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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6075 Poplar Avenue | Crescent Center, Suite 700 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Memphis | TENNESSEE | 38119 | |||||
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Recipient |
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Trinity Group Limited | None | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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22 Upper Grosvenor Street | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
London | UNITED KINGDOM | W1K 7PE | |||||
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Recipient |
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Chaldon Associates, LLC | None | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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325 West 38th Street | Suite 908 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10018 | |||||
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Recipient |
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Duncan Williams, Inc. | 6950 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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6750 Poplar Avenue | Suite 300 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Memphis | TENNESSEE | 38138 | |||||
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Recipient |
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Galileo Global Advisors LLC | None | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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Ten Rockefeller Center | Suite 1001 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10020 | |||||
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Recipient |
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Principle Advisory Services Pty Ltd | None | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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Level 2, Macquarie Street | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Sydney | AUSTRALIA | 2000 | |||||
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Recipient |
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Tangent Capital Partners, LLC | 146999 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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9 West 57th Street | 26th Floor | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10019 | |||||
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Recipient |
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Champlain Advisors, LLC | 129560 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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779 North Street | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Greenwich | CONNECTICUT | 06831 | |||||
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13. Offering and Sales Amounts
Total Offering Amount | $20,000,000 | USD |
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Total Amount Sold | $13,100,000 | USD | ||||
Total Remaining to be Sold | $6,900,000 | USD |
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Clarification of Response (if Necessary):
14. Investors
Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering. | |||
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: |
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15. Sales Commissions & Finder's Fees Expenses
Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
Sales Commissions | $0 | USD |
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Finders' Fees | $0 | USD |
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Clarification of Response (if Necessary):
Amount to be paid determined at closing based on a percentage of capital raised.16. Use of Proceeds
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
$0 | USD |
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Clarification of Response (if Necessary):
A fee for management services is calculated quarterly and based on a percentage of partner subscriptions.Signature and Submission
Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.
Terms of Submission
In submitting this notice, each issuer named above is: |
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Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.
For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.
Issuer | Signature | Name of Signer | Title | Date |
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Greenspring Opportunities II-A, L.P. | /s/ Eric Thompson | Eric Thompson | Treasurer of the Managing Member of the GP LLC | 2013-04-10 |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.
* This undertaking does not affect any limits Section 102(a) of the National Securities Markets Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to require information. As a result, if the securities that are the subject of this Form D are "covered securities" for purposes of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot routinely require offering materials under this undertaking or otherwise and can require offering materials only to the extent NSMIA permits them to do so under NSMIA's preservation of their anti-fraud authority.