Form D · Venture Capital Fund

5AM Ventures IV, L.P.

Menlo Park, CA · CIK 0001589315

Offering snapshot reported Oct 16, 2013 · SEC filing

Reported sold: Yet to sell
Investors reported: 0
Minimum accepted: $0
First sale: Yet to occur

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
Oct 16, 2013	Initial	Yet to sell	No comparison	0	SEC filing

Offering details

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

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-204687

Source: Form D, filed Oct 16, 2013. 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

5AM VENTURES IV, L.P.

Investment adviser: 5AM VENTURE MANAGEMENT, LLC

Gross asset value: $8.71M
Beneficial owners: 50
ADV minimum commitment: $0

Reported in Form ADV on Mar 30, 2026. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator DYNAMO SOFTWARE, INC. WATERTOWN, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor BDO USA, P.C. SAN FRANCISCO, California, United States

Custodian COWEN AND COMPANY, LLC NEW YORK, New York, United States Related to adviser: No

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

Custodian GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States Related to adviser: No

Custodian GOLDMAN SACHS EXECUTION & CLEARING, L.P. NEW YORK, New York, United States Related to adviser: No

Custodian JP MORGAN CHASE BANK, N.A. NEW YORK, New York, United States Related to adviser: No

Custodian J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No

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

Prime broker GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States

Provider details

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

BDO USA, P.C.
PCAOB 243

COWEN AND COMPANY, LLC
SEC 8-22522

FIRST-CITIZENS BANK & TRUST COMPANY
LEI L9VVX1KT5TFTKS0MLF66

GOLDMAN SACHS & CO. LLC
SEC 8-129

GOLDMAN SACHS EXECUTION & CLEARING, L.P.
SEC 8-526

J.P. MORGAN SECURITIES LLC
SEC 8-35008

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

GOLDMAN SACHS & CO. LLC
CRD 361 · SEC 8-129

Filing source

Form ADV 2066842 · Mar 30, 2026 · Schedule D 7.B.(1), fund 805-5268790397

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Related funds

Funds whose names form a numbered series with this one and that share its city or the name of a related person. Form D does not state how these funds are related.

Fund	Latest Form D	Reported sold	Investors
5AM VENTURES III, L.P.	Dec 11, 2009	$197,825,000	43
5AM Ventures IV, L.P. (this fund)	Oct 16, 2013	Yet to sell	0
5AM Ventures V, L.P.	May 27, 2016	$285,000,000	80

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
John Diekman	Executive
Scott Rocklage	Executive
Andrew Schwab	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

2200 Sand Hill Road, Suite 110
Menlo Park, CA, 94025