Form D · Hedge Fund

Carolina Institutional Short Duration Fund

Durham, NC · CIK 0001494601

Offering snapshot reported Feb 12, 2019 · SEC filing

Reported sold
$165M
Indefinite offering
Investors reported
11
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
May 24, 2010
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$82.5M$165MJun 18, 2010: $40,000,000.00Jun 18, 2010Jun 16, 2011: $40,000,000.00Jul 3, 2012: $120,000,000.00Jul 2, 2013: $44,000,000.00Jan 27, 2014: $49,000,000.00Dec 4, 2014: $154,605,665.00Dec 7, 2015: $159,605,665.00May 24, 2016: $159,605,665.00May 19, 2017: $165,005,665.00Feb 15, 2018: $165,005,665.00Feb 12, 2019: $165,005,665.00Feb 12, 2019

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
Feb 12, 2019Amendment$165,005,665$0vs Feb 15, 201811SEC filing
Feb 15, 2018Amendment$165,005,665$0vs May 19, 201711SEC filing
May 19, 2017Amendment$165,005,665$5,400,000vs May 24, 201611SEC filing
May 24, 2016Amendment$159,605,665$0vs Dec 7, 201510SEC filing
Dec 7, 2015Amendment$159,605,665$5,000,000vs Dec 4, 201410SEC filing
Dec 4, 2014Amendment$154,605,665$105,605,665vs Jan 27, 201410SEC filing
Jan 27, 2014Amendment$49,000,000$5,000,000vs Jul 2, 20136SEC filing
Jul 2, 2013Amendment$44,000,000-$76,000,000vs Jul 3, 20125SEC filing
Jul 3, 2012Amendment$120,000,000$80,000,000vs Jun 16, 20115SEC filing
Jun 16, 2011Amendment$40,000,000$0vs Jun 18, 20101SEC filing
Jun 18, 2010Initial$40,000,000No comparison1SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$0 (estimated)
Finders' fees
$0 (estimated)
Form D file number
021-143750
The entities listed in Item 12 are paid directly or indirectly commissions or similar sales compensation equal to a percentage of the fee paid to the Investment Manager (or its affiliate) from the assets under management and/or the incentive allocation.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
AMUNDI PIONEER DISTRIBUTOR, INC.24497
AMUNDI DISTRIBUTORS USA, LLC152399

Source: Form D, filed Feb 12, 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

CAROLINA INSTITUTIONAL SHORT DURATION FUND

Investment adviser: AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

Gross asset value
$57.1M
Beneficial owners
7
ADV minimum commitment
$2M

Reported in Form ADV on Dec 18, 2019. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator U.S BANCORP FUND SERVICES, LLC MILWAUKEE, Wisconsin, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ERNST & YOUNG LTD HAMILTON, Bermuda
Custodian U.S. BANK NATIONAL ASSOCIATION BOSTON, Massachusetts, United States Related to adviser: No
Marketer AMUNDI PIONEER DISTRIBUTOR, INC. BOSTON, Massachusetts, United States Related to adviser: Yes
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

ERNST & YOUNG LTD
PCAOB 42

AMUNDI PIONEER DISTRIBUTOR, INC.
CRD 24497 · SEC 8-41256

Filing source

Form ADV 1362944 · Dec 18, 2019 · Schedule D 7.B.(1), fund 805-3898150626

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
Daniel R. Adler Executive
Amundi Pioneer Institutional Asset Management, Inc. Executive
N/A Amundi Smith Breeden Llc Promoter
Amundi Smith Breeden Llc Executive
Timothy J. Cunneen Executive
Daniel Dektar Executive
Stephen A. Eason Executive
Eugene Flood Executive
Michael J. Giarla Executive
Stanley J. Kon Executive
N/A Smith Breeden Associates, Inc. Promoter
U.S. Bank Trust National Association Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
280 South Mangum Street, Suite 301
Durham, NC, 27701