Form D · Other Investment Fund

Capital Guardian International (Non-U.S.) Small Capitalization Fund for Tax-Exempt Trusts

Los Angeles, CA · CIK 0001457813

Offering snapshot reported Feb 11, 2014 · SEC filing

Reported sold
$45.3M
Indefinite offering
Investors reported
9
Form D · investor count
Minimum accepted
$10M
Reported outside-investor minimum
First sale
Apr 4, 1994
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$22.7M$45.3MMar 11, 2010: $45,336,098.00Mar 11, 2010Feb 15, 2011: $45,336,098.00Feb 15, 2011Feb 8, 2012: $45,336,098.00Feb 8, 2012Feb 5, 2013: $45,336,099.00Feb 5, 2013Feb 11, 2014: $45,336,100.00Feb 11, 2014

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$45,336,099 → $45,336,100

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Feb 11, 2014Amendment$45,336,100$1vs Feb 5, 20139SEC filing
Feb 5, 2013Amendment$45,336,099$1vs Feb 8, 20129SEC filing
Feb 8, 2012Amendment$45,336,098$0vs Feb 15, 20119SEC filing
Feb 15, 2011Amendment$45,336,098$0vs Mar 11, 20109SEC filing
Mar 11, 2010Initial$45,336,098No comparison9SEC filing
Mar 16, 2009Initial$45,290,908No comparisonNot reportedSEC filing

Offering details

Securities
Pooled investment fund
Exemptions
3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-127966

Source: Form D, filed Feb 11, 2014. 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

CAPITAL GUARDIAN INTERNATIONAL (NON-U.S.) SMALL CAPITALIZATION FUND FOR TAX-EXEMPT TRUSTS

Investment adviser: CAPITAL GUARDIAN TRUST COMPANY

Gross asset value
$45M
Beneficial owners
5
ADV minimum commitment
$0

Reported in Form ADV on Sep 28, 2012. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator JPMORGAN INVESTOR SERVICES CO. BOSTON, Massachusetts, United States Investor statements: Some (provided to some but not all investors) Related to adviser: No
Auditor DELOITTE & TOUCHE LLP COSTA MESA, California, United States
Custodian JPMORGAN WORLDWIDE SECURITIES SERVICES BOSTON, Massachusetts, United States Related to adviser: No
Marketer THE CAPITAL GROUP COMPANIES, INC. THROUGH ITS CAPITAL GROUP INSTITUTIONAL INVESTMENT SERVICES DIVISION LOS ANGELES, California, 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
Filing source

Form ADV 661969 · Sep 28, 2012 · Schedule D 7.B.(1), fund 805-6656304666

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
See Clarification See Clarification Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
333 South Hope Street 55 Th Floor
Los Angeles, CA, 90071