Form D · Other Investment Fund

Bergen Global Yield Fund, LP

New York, NY · CIK 0001669697

Offering snapshot reported Mar 8, 2017 · SEC filing

Reported sold: $19.4M
Investors reported: 8
Minimum accepted: $500K
First sale: Mar 14, 2016

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.

Reported sold$16,000,000 → $19,400,000
Reported investors2 → 8

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Mar 8, 2017	Amendment	$19,400,000	$3,400,000vs Mar 23, 2016	8	SEC filing
Mar 23, 2016	Initial	$16,000,000	No comparison	2	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06b, 3C, 3C.7
Duration over one year: Yes
Business combination: No

Sales commissions: $141K (estimated)
Finders' fees: $0
Form D file number: 021-259800

Response to Item 15 sets forth estimated sales commissions. All payments are subject to future contingencies and are indeterminate at present.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Gordian Investments, LLC	158611
Perkins Fund Marketing, LLC	45642
KJM Securities, Inc.	20277
ClaritySpring Securities, LLC	281901
Neal Berger	2079049	KJM Securities, Inc. · CRD 20277
Neil Cohen	6263267	Gordian Investments, LLC · CRD 158611

Source: Form D, filed Mar 8, 2017. 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

BERGEN GLOBAL YIELD FUND, LP

Investment adviser: BERGEN ASSET MANAGEMENT, LLC

Gross asset value: $18.6M
Beneficial owners: 7
ADV minimum commitment: $500K

Reported in Form ADV on Mar 22, 2019. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator MAITLAND ADMINISTRATION (US) LLC MANAKIN SABOT, Virginia, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor EISNERAMPER LLP NEW YORK, New York, United States

Custodian BNP PARIBAS NEW YORK BRANCH NEW YORK, New York, United States Related to adviser: No

Custodian BNP PARIBAS SECURITIES SERVICES JERSEY CITY, New Jersey, United States Related to adviser: No

Custodian WELLS FARGO BANK, N.A. SAN FRANCISCO, California, United States Related to adviser: No

Marketer GORDIAN INVESTMENTS, LLC SAN FRANCISCO, California, United States Related to adviser: No

Marketer KJM SECURITIES, INC. BRONXVILLE, New York, United States Related to adviser: No

Marketer PERKINS FUND MARKETING, L.L.C. SOUTHPORT, Connecticut, United States Related to adviser: No

Provider details

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

EISNERAMPER LLP
PCAOB 274

BNP PARIBAS SECURITIES SERVICES
LEI R0MUWSFPU8MPRO8K5P83

WELLS FARGO BANK, N.A.
LEI PBLD0EJDB5FWOLXP3B76

GORDIAN INVESTMENTS, LLC
CRD 158611 · SEC 8-68911

KJM SECURITIES, INC.
CRD 20277 · SEC 8-38066

PERKINS FUND MARKETING, L.L.C.
CRD 45642 · SEC 8-51126

Filing source

Form ADV 1288347 · Mar 22, 2019 · Schedule D 7.B.(1), fund 805-3850810591

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
Eugene Tablis	Director, Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

1450 Broadway 36 Th Floor
New York, NY, 10018