Form D · Other Investment Fund

Baring Investment Series, LLC - Baring ACWI Ex US (SRI) Equity Fund

Boston, MA · CIK 0001539316

Offering snapshot reported Feb 13, 2015 · SEC filing

Reported sold
$106M
Indefinite offering
Investors reported
16
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Jun 29, 2011
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$53.2M$106MJan 25, 2012: $52,940,435.00Jan 25, 2012Mar 14, 2012: $52,940,435.00Feb 26, 2013: $106,480,435.00Feb 26, 2013Feb 19, 2014: $106,480,435.00Feb 19, 2014Feb 13, 2015: $106,480,435.00Feb 13, 2015

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

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Feb 13, 2015Amendment$106,480,435$0vs Feb 19, 201416SEC filing
Feb 19, 2014Amendment$106,480,435$0vs Feb 26, 201316SEC filing
Feb 26, 2013Amendment$106,480,435$53,540,000vs Mar 14, 201216SEC filing
Mar 14, 2012Amendment$52,940,435$0vs Jan 25, 20127SEC filing
Jan 25, 2012Initial$52,940,435No comparison7SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.1
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-172420

Source: Form D, filed Feb 13, 2015. 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

BARING INVESTMENT SERIES, LLC: BARING ALL COUNTRY WORLD EX US (SRI) EQUITY FUND

Investment adviser: BARING INTERNATIONAL INVESTMENT LTD

Gross asset value
$144M
Beneficial owners
17
ADV minimum commitment
$2M

Reported in Form ADV on Mar 28, 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 LLP BOSTON, Massachusetts, United States
Custodian THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Related to adviser: No
Marketer BABSON CAPITAL SECURITIES LLC 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

BABSON CAPITAL SECURITIES LLC
CRD 36929 · SEC 8-47589

Filing source

Form ADV 786134 · Mar 28, 2014 · Schedule D 7.B.(1), fund 805-9672088875

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
Managing Member Baring Asset Management Llc Promoter
Investment Manager Baring International Investment Limited Promoter
Managing Member Baring North America Llc Promoter
David Brennen Director
Michael T. Brown Director, Executive
Robert Cecere Director, Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
C/O Baring North America Llc 470 Atlantic Avenue
Boston, MA, 02210