Form D · Other Investment Fund

Bergen Special Opportunity Fund, LP

New York, NY · CIK 0001696224

Offering snapshot reported Aug 1, 2018 · SEC filing

Reported sold: Yet to sell
Investors reported: 0
Minimum accepted: $0
First sale: Yet to occur

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
Aug 1, 2018	Initial	Yet to sell	No comparison	0	SEC filing
Mar 1, 2017	Initial	$9,765,001	No comparison	17	SEC filing

Offering details

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

Sales commissions: $35K (estimated)
Finders' fees: $0
Form D file number: 021-318218

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
KJM Securities, Inc.	20277
Neal Berger	2079049	KJM Securities, Inc. · CRD 20277
Neil Cohen	6263267	Gordian Investments, LLC · CRD 158611

Source: Form D, filed Aug 1, 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

BERGEN SPECIAL OPPORTUNITY FUND, LP

Investment adviser: BERGEN ASSET MANAGEMENT, LLC

Gross asset value: $2.62M
Beneficial owners: 22
ADV minimum commitment: $100K

Reported in Form ADV on Mar 28, 2022. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator MUFG FUND SERVICES (CAYMAN) 2 LTD. GEORGE TOWN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor EISNERAMPER LLP NEW YORK, New York, United States

Custodian CITY NATIONAL BANK LOS ANGELES, California, United States Related to adviser: No

Custodian PERSHING LLC JERSEY CITY, New Jersey, United States Related to adviser: No

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

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

Marketer OLD CITY SECURITIES LLC NEW YORK, New York, 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

CITY NATIONAL BANK
LEI 593C3GZG957YOJPS2Z63

PERSHING LLC
SEC 8-17574

WELLS FARGO BANK, N.A.
LEI PBLD0EJDB5FWOLXP3B76

GORDIAN INVESTMENTS, LLC
CRD 158611 · SEC 8-68911

OLD CITY SECURITIES LLC
CRD 171910 · SEC 8-69488

Filing source

Form ADV 1615370 · Mar 28, 2022 · Schedule D 7.B.(1), fund 805-4206605638

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:

C/O Bergen Partners (Bsof), Llc 1450 Broadway, 36 Th Floor
New York, NY, 10018