Form D · Hedge Fund

Artio Global Credit Opportunities Fund

New York, NY · CIK 0001503159

Offering snapshot reported Feb 11, 2013 · SEC filing

Reported sold: $19.9M
Investors reported: 5
Minimum accepted: $1M
First sale: Sep 20, 2010

Fundraising history

Reported sold

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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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Feb 11, 2013	Amendment	$19,875,000	$0vs Oct 12, 2010	5	SEC filing
Nov 15, 2012	Initial	$19,875,000	No comparison	5	SEC filing
Dec 9, 2011	Initial	$19,875,000	No comparison	5	SEC filing
Oct 12, 2010	Initial	$19,875,000	No comparison	5	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 3C, 3C.7
Duration over one year: Yes
Business combination: No

Sales commissions: $0 (estimated)
Finders' fees: $0
Form D file number: 021-148828

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Artio Global Institutional Services LLC	154652	Artio Global Institutional Services LLC · CRD 154652

Source: Form D, filed Feb 11, 2013. 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

ARTIO GLOBAL CREDIT OPPORTUNITIES FUND, LTD.

Investment adviser: ABRDN INC.

Gross asset value: $2.67M
Beneficial owners: 6
ADV minimum commitment: $1M

Reported in Form ADV on Apr 17, 2014. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG NEW YORK, New York, United States

Custodian THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Related to adviser: No

Prime broker BARCLAYS CAPITAL INC. NEW YORK, New York, United States

Provider details

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

BARCLAYS CAPITAL INC.
CRD 19714 · SEC 8-41342

Filing source

Form ADV 818127 · Apr 17, 2014 · Schedule D 7.B.(1), fund 805-9567926547

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
. Artio Alpha Investment Funds, Llc	Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

330 Madison Avenue
New York, NY, 10017