Form D · Hedge Fund

Candlewood Constellation SPC Ltd.

George Town, E9 · CIK 0001620717

Offering snapshot reported Sep 30, 2019 · SEC filing

Reported sold: $221M
Investors reported: 235
Minimum accepted: $250K
First sale: Sep 15, 2014

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.

No comparable changes in the displayed metrics.

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Sep 30, 2019	Amendment	$220,930,000	$0vs Sep 28, 2018	235	SEC filing
Sep 28, 2018	Amendment	$220,930,000	$3,725,000vs Sep 29, 2017	235	SEC filing
Sep 29, 2017	Amendment	$217,205,000	$5,050,000vs Sep 29, 2016	235	SEC filing
Sep 29, 2016	Amendment	$212,155,000	$4,150,000vs Sep 29, 2015	233	SEC filing
Sep 29, 2015	Amendment	$208,005,000	$182,605,000vs Sep 29, 2014	231	SEC filing
Sep 29, 2014	Initial	$25,400,000	No comparison	46	SEC filing

Offering details

Securities: Equity, 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: 021-225418

No commission paid by Issuer; however, Item 12 entities are paid by IM (or an affiliate) commissions or similar sales compensation equal to a percentage of fees paid by Issuer to IM (or an affiliate) from assets under management.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
First Republic Securities Company, LLC	105108
UBS Financial Services Inc.	8174
Wells Fargo Clearing Services, LLC	19616
Wells Fargo Advisors Financial Network, LLC	11025

Source: Form D, filed Sep 30, 2019. 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

CONSTELLATION PUERTO RICO, SP OF CONSTELLATION SPC LTD.

Investment adviser: ELLINGTON MANAGEMENT GROUP, L.L.C.

Gross asset value: $56.2M
Beneficial owners: 49
ADV minimum commitment: $0

Reported in Form ADV on Feb 25, 2022. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator CITCO FUND SERVICES (CAYMAN ISLANDS) LIMITED GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG, CAYMAN ISLANDS GRAND CAYMAN, Cayman Islands

Custodian J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No

Prime broker J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States

Provider details

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

KPMG, CAYMAN ISLANDS
PCAOB 1323

J.P. MORGAN SECURITIES LLC
SEC 8-35008

J.P. MORGAN SECURITIES LLC
CRD 79 · SEC 8-35008

Filing source

Form ADV 1603068 · Feb 25, 2022 · Schedule D 7.B.(1), fund 805-5718369278

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
N/A Candlewood Investment Group, Lp	Executive
Mark Cook	Director
Scott P. Lennon	Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

C/O Intertrust Corp Srvcs (Cayman) Ltd 190 Elgin Avenue
George Town, E9, KY1-9005