Form D · Other Investment Fund

Battery Uncorrelated Fund, LLC

Boston, MA · CIK 0001553801

Offering snapshot reported May 23, 2018 · SEC filing

Reported sold
$105M
Offering amount: $105M
Investors reported
42
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Jul 1, 2012
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$52.4M$105MJul 10, 2012: $22,025,100.00Jul 10, 2012Jun 27, 2013: $45,967,674.00Jun 24, 2014: $64,679,162.00Jun 24, 2014Jun 9, 2015: $97,647,715.00Jun 7, 2016: $104,597,715.00Jun 7, 2016May 23, 2018: $104,797,715.00May 23, 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.

  • Reported sold$104,597,715 → $104,797,715

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
May 23, 2018Amendment$104,797,715$200,000vs Jun 7, 201642SEC filing
Jun 7, 2016Amendment$104,597,715$6,950,000vs Jun 9, 201542SEC filing
Jun 9, 2015Amendment$97,647,715$32,968,553vs Jun 24, 201438SEC filing
Jun 24, 2014Amendment$64,679,162$18,711,488vs Jun 27, 201327SEC filing
Jun 27, 2013Amendment$45,967,674$23,942,574vs Jul 10, 201223SEC filing
Jul 10, 2012Initial$22,025,100No comparison10SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
No
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-180967
"Total Amount Sold" is based on initial amounts contributed through the date of this filing and does not reflect redemptions, appreciation or depreciation.

Source: Form D, filed May 23, 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

BATTERY UNCORRELATED FUND, LLC

Investment adviser: BATTERY GLOBAL ADVISORS, LLC

Gross asset value
$73.1M
Beneficial owners
29
ADV minimum commitment
$0

Reported in Form ADV on Jul 7, 2017. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator NAV CONSULTING, INC. OAKBROOK TERRACE, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG BOSTON, Massachusetts, United States
Custodian FIRST REPUBLIC BANK NEW YORK, New York, United States Related to adviser: No
Custodian NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States Related to adviser: No
Prime broker CFT SECURITIES, LLC PRINCETON, New Jersey, United States
Prime broker FIDELITY BROKERAGE SERVICES LLC BOSTON, Massachusetts, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

NATIONAL FINANCIAL SERVICES LLC
SEC 8-26740

CFT SECURITIES, LLC
CRD 46226 · SEC 8-51345

FIDELITY BROKERAGE SERVICES LLC
CRD 7784 · SEC 8-23292

Filing source

Form ADV 1126255 · Jul 7, 2017 · Schedule D 7.B.(1), fund 805-3475209224

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
N/A Battery Global Advisors, Llc Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
1 Marina Park Dr Suite 1150
Boston, MA, 02210