Form D · Other Investment Fund

AAA Energy Opportunities Fund LLC

New York, NY · CIK 0001529004

Offering snapshot reported Nov 18, 2014 · SEC filing

Reported sold
$325M
Indefinite offering
Investors reported
3,539
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Aug 10, 2011
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$163M$325MSep 19, 2011: $1,000.00Sep 19, 2011Sep 19, 2012: $270,822,257.00Sep 19, 2012Nov 21, 2012: $280,539,333.00Nov 18, 2013: $322,481,493.00Nov 18, 2013Nov 18, 2014: $325,110,960.00Nov 18, 2014

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$322,481,493 → $325,110,960
  • Reported investors3,502 → 3,539

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Nov 18, 2014Amendment$325,110,960$2,629,467vs Nov 18, 20133,539SEC filing
Nov 18, 2013Amendment$322,481,493$41,942,160vs Nov 21, 20123,502SEC filing
Nov 21, 2012Amendment$280,539,333$9,717,076vs Sep 19, 20123,070SEC filing
Sep 19, 2012Amendment$270,822,257$270,821,257vs Sep 19, 20112,960SEC filing
Sep 19, 2011Initial$1,000No comparison1SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06b
Duration over one year
Yes
Business combination
No
Sales commissions
$0 (estimated)
Finders' fees
$0
Form D file number
021-166045
UBS Securities LLC may pay a portion of its commodity brokerage fees to the qualified registered representatives of UBSFS or those of other qualified firms who provide ongoing services to investors.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
UBS FINANCIAL SERVICES INC. ("UBSFS")8174

Source: Form D, filed Nov 18, 2014. Minimum accepted may differ from a standard advertised minimum.

Fund connections

No confirmed ADV fund connection is available for this issuer.

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
John J. Brown Director
Daryl Dewbrey Director, Executive
William Frey Director
Jennifer Magro Director, Executive
Jerry Pascucci Director, Executive
Michael Perry Director, Executive
Robert Showers Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
1285 Avenue Of The Americas, 11 Th Floor
New York, NY, 10019