Form D · Hedge Fund

AllianzGI Emerging Markets Small Cap LLC

New York, NY · CIK 0001729960

Offering snapshot reported Jan 21, 2021 · SEC filing

Reported sold
$15M
Indefinite offering
Investors reported
1
Form D · investor count
Minimum accepted
$3M
Reported outside-investor minimum
First sale
Jan 31, 2018
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$7.5M$15MFeb 1, 2018: $15,000,000.00Feb 1, 2018Feb 1, 2019: $15,000,000.00Feb 1, 2019Jan 22, 2020: $15,000,000.00Jan 22, 2020Jan 21, 2021: $15,000,000.00Jan 21, 2021

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.

No comparable changes in the displayed metrics.

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jan 21, 2021Amendment$15,000,000$0vs Jan 22, 20201SEC filing
Jan 22, 2020Amendment$15,000,000$0vs Feb 1, 20191SEC filing
Feb 1, 2019Amendment$15,000,000$0vs Feb 1, 20181SEC filing
Feb 1, 2018Initial$15,000,000No comparison1SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-304579

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Allianz Global Investors Distributors LLC25567

Source: Form D, filed Jan 21, 2021. 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

ALLIANZGI EMERGING MARKETS SMALL CAP LLC

Investment adviser: ALLIANZ GLOBAL INVESTORS U.S. LLC

Gross asset value
$10.8M
Beneficial owners
1
ADV minimum commitment
$3M

Reported in Form ADV on Apr 23, 2021. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor PRICEWATERHOUSECOOPERS LLP NEW YORK, New York, United States
Custodian STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, 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

PRICEWATERHOUSECOOPERS LLP
PCAOB 238

Filing source

Form ADV 1531423 · Apr 23, 2021 · Schedule D 7.B.(1), fund 805-7046228421

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
Erin Bengtson Olivieri Executive
Peter Bonanno Executive
Giorgio Carlino Executive
Barbara Ruth Claussen Executive
Douglas Eu Executive
Douglas Gorman Forsyth Executive
Paul Francis Koo Executive
Satyajit Siddharth Kumar Executive
Heiko Mildner Executive
Maxence Mormede Executive
Carl Pappo Executive
Jeffrey Parker Executive
Gem Pushpaharam Executive
Aiden Redmond Executive
Greg Tournant Executive
John Viggiano Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
1633 Broadway
New York, NY, 10019