Form D · Other Investment Fund

Baring Investment Series, LLC - Baring World Equity Fund

Boston, MA · CIK 0001564276

Offering snapshot reported Feb 9, 2018 · SEC filing

Reported sold
$20M
Indefinite offering
Investors reported
1
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Dec 3, 2012
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$10M$20MDec 12, 2012: $20,000,000.00Dec 12, 2012Feb 26, 2013: $20,000,000.00Feb 19, 2014: $20,000,000.00Feb 13, 2015: $20,000,000.00Feb 10, 2016: $20,000,000.00Feb 10, 2017: $20,000,000.00Feb 9, 2018: $20,000,000.00Feb 9, 2018

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 9, 2018Amendment$20,000,000$0vs Feb 10, 20171SEC filing
Feb 10, 2017Amendment$20,000,000$0vs Feb 10, 20161SEC filing
Feb 10, 2016Amendment$20,000,000$0vs Feb 13, 20151SEC filing
Feb 13, 2015Amendment$20,000,000$0vs Feb 19, 20141SEC filing
Feb 19, 2014Amendment$20,000,000$0vs Feb 26, 20131SEC filing
Feb 26, 2013Amendment$20,000,000$0vs Dec 12, 20121SEC filing
Dec 12, 2012Initial$20,000,000No 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
021-188255

Source: Form D, filed Feb 9, 2018. 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

BARINGS GLOBAL EQUITY FUND

Investment adviser: BARING INTERNATIONAL INVESTMENT LTD

Gross asset value
$0
Beneficial owners
2
ADV minimum commitment
$2M

Reported in Form ADV on Sep 5, 2019. 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 BARINGS 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

KPMG LLP
PCAOB 185

THE NORTHERN TRUST COMPANY
LEI 6PTKHDJ8HDUF78PFWH30

BARINGS SECURITIES LLC
CRD 36929 · SEC 8-47589

Filing source

Form ADV 1344073 · Sep 5, 2019 · Schedule D 7.B.(1), fund 805-1700156887

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
N/A Baring International Investment Limited Executive
Managing Member Baring North America Llc Promoter
N/A Baring North America Llc Executive
David Brennen Director
Michael T. Brown Director, Executive
Robert Cecere Director, Executive
Susan Moore Director
Traci A. Thelen Director, Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
470 Atlantic Avenue
Boston, MA, 02210