Form D · Private Equity Fund

Aegis Special Situations Fund LLC - Series DNA I

New York, NY · CIK 0001756920

Offering snapshot reported Jan 8, 2019 · SEC filing

Reported sold: $5.31M
Investors reported: 69
Minimum accepted: $0
First sale: Dec 28, 2018

What changed?

Latest filing versus its linked predecessor, where available.

Reported investors0 → 69

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Jan 8, 2019	Amendment	Yet to sell	No comparison	69	SEC filing
Jan 8, 2019	Amendment	$5,312,000	No comparison	69	SEC filing
Oct 25, 2018	Initial	Yet to sell	No comparison	0	SEC filing

Offering details

Securities: Equity, Pooled investment fund
Exemptions: 06b, 3C, 3C.1
Duration over one year: No
Business combination: No

Sales commissions: $1.25M (estimated)
Finders' fees: $0
Form D file number: 021-324324

Sales commissions equal 10% of gross proceeds raised in the Offering.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Aegis Capital Corp.	15007

Source: Form D, filed Jan 8, 2019. 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

AEGIS SPECIAL SITUATIONS FUND, LLC - SERIES DNA 1

Investment adviser: AEGIS CAPITAL CORP.

Gross asset value: $5.36M
Beneficial owners: 70
ADV minimum commitment: $100K

Reported in Form ADV on Jul 7, 2021. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator EAS ACCOUNTING SERVICES, CPA LLC NEW YORK, New York, United States Investor statements: No (provided to no investors) Related to adviser: No

Auditor CITRIN COOPERMAN & COMPANY, LLP NEW YORK, New York, United States

Custodian AXOS CLEARING LLC OMAHA, Nebraska, United States Related to adviser: No

Custodian KINGDOM TRUST COMPANY MURRAY, Kentucky, United States Related to adviser: No

Custodian RBC CAPITAL MARKETS, LLC MINNEAPOLIS, Minnesota, United States Related to adviser: No

Provider details

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

CITRIN COOPERMAN & COMPANY, LLP
PCAOB 2468

AXOS CLEARING LLC
SEC 8-53595

RBC CAPITAL MARKETS, LLC
SEC 8-45411

Filing source

Form ADV 1547496 · Jul 7, 2021 · Schedule D 7.B.(1), fund 805-7439675377

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
Name	Reported role
Aegis Capital Corp.	Promoter
Aegis Capital Holding Corp.	Promoter
Aegis Special Situations Management Llc	Director, Promoter
Mark Goldwasser	Director, Promoter
Cassel Shapiro	Director, Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

810 Seventh Avenue 18 Th Floor
New York, NY, 10019