Form D/A
View Original Filing
Notice of Exempt Offering of Securities
Item 1. Issuer's Identity
Name of Issuer:
GS GAMMA INVESTMENTS LLC
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
Over Five Years Ago
Entity Type
LIMITED LIABILITY COMPANY
Item 2 Issuer Principal Place of Business and Contact Information
GS GAMMA MANAGEMENT, LLC
330 MADISON AVENUE, 11TH FLOOR
NEW YORK, NY 10017
Phone Number:
subscription required
Item 3. Related Persons
Name
N/A GS GAMMA MANAGEMENT, LLC
Address
subscription required
Relationship(s)
Clarification of Response
MANAGER
Item 3. Related Persons
Name
N/A GS GAMMA ADVISORS, LLC
Address
subscription required
Relationship(s)
Clarification of Response
INVESTMENT ADVISOR
Item 3. Related Persons
Name
GEORGE SYKES
Address
subscription required
Relationship(s)
Clarification of Response
MEMBER OF THE MANAGER
Item 4. Industry Group
POOLED INVESTMENT FUND
- HEDGE FUND
Item 5. Issuer Size
Aggregate Net Asset Value Range (for issuer specifying "hedge" or "other investment" fund in item 4 above)
DECLINE TO DISCLOSE
Item 6. Federal Exemptions and Exclusions Claimed
Item 7. Type of Filing
Amendment
Date of First Sale in this Offering:
04/01/2004
Item 8. Duration of Offering
Does the issuer intend this offering to last more than one year?
Yes
Item 9. Type(s) of Securities Offered
- Pooled Investment Fund Interests
Item 10. Business Combination Transaction
Is this offering being made in connection with a business combination
transaction, such as a merger, acquisition or exchange offer?
No
Clarification of Response
Item 11. Minimum Investment
Minimum Investment accepted from any outside investor
100000
Item 12. Sales Compensation
Recipient
GUGGENHEIM SECURITIES, LLC
Recipient CRD Number
40638
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
330 MADISON AVENUE
8TH FLOOR
NEW YORK, NY 10017
States of Solicitation
Item 12. Sales Compensation
Recipient
GUGGENHEIM INVESTOR SERVICES, LLC
Recipient CRD Number
30096
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
330 MADISON AVENUE
11TH FLOOR
NEW YORK, NY 10017
States of Solicitation
- AL
- AK
- AZ
- CA
- CO
- CT
- DE
- FL
- GA
- ID
- IL
- IA
- KS
- KY
- MD
- MA
- MI
- MO
- MT
- NE
- NV
- NH
- NJ
- NY
- NC
- OH
- OK
- OR
- PA
- RI
- SC
- SD
- TN
- TX
- UT
- VA
- WA
- WI
- WY
Item 12. Sales Compensation
Recipient
FOCUSPOINT PRIVATE CAPITAL GROUP, LLC
Recipient CRD Number
122341
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
280 PARK AVENUE
35TH FLOOR
NEW YORK, NY 10017
States of Solicitation
- AL
- AK
- AZ
- AR
- CA
- CO
- CT
- DE
- DC
- FL
- GA
- HI
- ID
- IL
- IN
- IA
- KS
- KY
- LA
- ME
- MD
- MA
- MI
- MN
- MS
- MO
- MT
- NE
- NV
- NH
- NJ
- NM
- NY
- NC
- ND
- OH
- OK
- OR
- PA
- RI
- SC
- SD
- TN
- TX
- UT
- VT
- VA
- WA
- WV
- WI
- WY
Item 12. Sales Compensation
Recipient
ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
Recipient CRD Number
135131
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
260 WEST 36TH STREET
SUITE 502
NEW YORK, NY 10018
States of Solicitation
- AL
- AZ
- CA
- CO
- CT
- DE
- DC
- FL
- GA
- IL
- KY
- MD
- MA
- MI
- MN
- NV
- NJ
- NM
- NY
- NC
- OH
- OR
- PA
- RI
- TX
- VA
- WA
- WY
Item 12. Sales Compensation
Recipient
BLUE SAND SECURITIES LLC
Recipient CRD Number
142976
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
15210 N. SCOTTSDALE ROAD
SUITE 305
SCOTTSDALE, AZ 85254
States of Solicitation
- AL
- AK
- AZ
- AR
- CA
- CO
- CT
- DE
- DC
- FL
- GA
- HI
- ID
- IL
- IN
- IA
- KS
- KY
- LA
- ME
- MD
- MA
- MI
- MN
- MS
- MO
- MT
- NE
- NV
- NH
- NJ
- NM
- NY
- NC
- ND
- OH
- OK
- OR
- PA
- RI
- SC
- SD
- TN
- TX
- UT
- VT
- VA
- WA
- WV
- WI
- WY
Item 13. Offering and Sales Amounts
Total Offering Amount
INDEFINITE
Total Amount Sold
477877942
Total Remaining to be Sold
INDEFINITE
Clarification of Response
Item 14. Investors
Securities in the offering have been or may be sold to persons
who do not qualify as accredited investors,
Number of non-accredited investors who already have invested in the offering:
Total number of investors who already have invested in the offering:
64
Item 15. Sales Commissions and Finders' Fees Expenses
Sales Commissions:
2952810.0 Is an estimate
Finders' Fees
0.0
Clarification of Response
MANAGER PAYS A PERCENT OF AGGREGATE PRINCIPAL AMT OF INTERESTS SOLD TO SELLING AGENTS-ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 LISTS INFO FROM SUCH DATE. AS OF 6/30/15 GUGGENHEIM SECURITIES, LLC NO LONGER ACTS AS SELLING AGENT FOR ISSUER.
Item 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.
0.0
Clarification of Response
Signature and Submission
Issuer Name
GS GAMMA INVESTMENTS LLC
Issuer Signature
GEORGE SYKES
Signer Name
GEORGE SYKES
Signer Title
MEMBER OF THE MANAGER
Signature Date
08/18/2016