Form D · Other Investment Fund

9YARDS OPPORTUNIES LLC - SERIES 4

San Francisco, CA · CIK 0001825602

Offering snapshot reported Oct 2, 2020 · SEC filing

Reported sold
$30.6M
Offering amount: $30.6M
Investors reported
35
Form D · investor count
Minimum accepted
$1K
Reported outside-investor minimum
First sale
Sep 17, 2020
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$15.3M$30.6MSep 25, 2020: $30,576,862.00Sep 25, 2020Sep 30, 2020: $30,576,862.00Sep 30, 2020Oct 2, 2020: $30,569,850.00Oct 2, 2020

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$30,576,862 → $30,569,850

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Oct 2, 2020Amendment$30,569,850-$7,012vs Sep 30, 202035SEC filing
Sep 30, 2020Amendment$30,576,862$0vs Sep 25, 202035SEC filing
Sep 25, 2020Initial$30,576,862No comparison35SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.1, 3C.7
Duration over one year
No
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-376394

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Capella Securities LLC174167
Rainmaker Securities LLC132995
Stonehaven LLC118913

Source: Form D, filed Oct 2, 2020. 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

9YARDS OPPORTUNITIES LP - SERIES 4

Investment adviser: 9YARDS CAPITAL MANAGEMENT LP

Gross asset value
$500K
Beneficial owners
38
ADV minimum commitment
$0

Reported in Form ADV on Nov 10, 2022. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator HC GLOBAL FUND SERVICES, LLC SAN FRANCISCO, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Custodian JPMORGAN CHASE BANK, N.A. NEWARK, Delaware, United States Related to adviser: No
Marketer CAPELLA SECURITIES LLC NEW YORK, New York, United States Related to adviser: No
Marketer RAINMAKER SECURITIES, LLC MIAMI, Florida, United States Related to adviser: No
Marketer STONEHAVEN, LLC NEW YORK, New York, United States Related to adviser: No
Provider details
Annual audit
No
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

JPMORGAN CHASE BANK, N.A.
LEI 7H6GLXDRUGQFU57RNE97

CAPELLA SECURITIES LLC
CRD 174167 · SEC 8-69567

RAINMAKER SECURITIES, LLC
CRD 132995 · SEC 8-66667

STONEHAVEN, LLC
CRD 118913 · SEC 8-53699

Filing source

Form ADV 1687580 · Nov 10, 2022 · Schedule D 7.B.(1), fund 805-9825815101

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
NameReported role
N/A 9 Yards Capital Ii Llc Executive
David Fisher Executive
Theo Osborne Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
595 Pacific Avenue Floor 4
San Francisco, CA, 94133