Form D · Other Investment Fund

CAPRICORN AIP - CREDIT STRATEGIES LP

Palo Alto, CA · CIK 0001427083

Offering snapshot reported Jul 26, 2017 · SEC filing

Reported sold
$24.9M
Indefinite offering
Investors reported
7
Form D · investor count
Minimum accepted
$25K
Reported outside-investor minimum
First sale
Jan 29, 2008
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$12.4M$24.9MFeb 12, 2008Jul 28, 2009: $20,392,898.00Jul 26, 2010: $23,190,522.00Aug 4, 2010: $23,190,522.00Aug 3, 2011: $23,992,898.00Aug 3, 2012: $24,092,898.00Aug 1, 2013: $24,392,898.00Jul 30, 2014: $24,454,409.00Jul 27, 2015: $24,533,305.00Jul 26, 2016: $24,866,413.00Jul 26, 2017: $24,866,413.00Jul 26, 2017

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$24,392,898 → $24,866,413

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jul 26, 2017Amendment$24,866,413$473,515vs Aug 1, 20137SEC filing
Jul 26, 2016Amendment$24,866,413$473,515vs Aug 1, 20137SEC filing
Jul 27, 2015Amendment$24,533,305$140,407vs Aug 1, 20137SEC filing
Jul 30, 2014Amendment$24,454,409$61,511vs Aug 1, 20137SEC filing
Aug 1, 2013Amendment$24,392,898$300,000vs Aug 3, 20127SEC filing
Aug 3, 2012Amendment$24,092,898$100,000vs Aug 3, 20117SEC filing
Aug 3, 2011Amendment$23,992,898$802,376vs Aug 4, 20107SEC filing
Aug 4, 2010Amendment$23,190,522$0vs Jul 26, 20107SEC filing
Jul 26, 2010Amendment$23,190,522$2,797,624vs Jul 28, 20097SEC filing
Jul 28, 2009Amendment$20,392,898No comparison7SEC filing
Feb 12, 2008PaperNot reportedNo comparisonNot reportedSEC 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
021-114648

Source: Form D, filed Jul 26, 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

CAPRICORN AIP - CREDIT STRATEGIES, L.P.

Investment adviser: CAPRICORN INVESTMENT GROUP LLC

Gross asset value
$0
Beneficial owners
2
ADV minimum commitment
$1M

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

Service providers

Auditor KPMG LLP SAN FRANCISCO, California, United States
Custodian GOLDMAN SACHS & CO. LLC SAN FRANCISCO, California, United States Related to adviser: No
Custodian JP MORGAN CHASE BANK, N.A. SAN FRANCISCO, California, United States Related to adviser: No
Prime broker GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

GOLDMAN SACHS & CO. LLC
SEC 8-129

GOLDMAN SACHS & CO. LLC
CRD 361 · SEC 8-129

Filing source

Form ADV 1132727 · Sep 7, 2017 · Schedule D 7.B.(1), fund 805-2829118195

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
Capricorn Investment Group, Llc Executive
Alan Chang Executive
James G.B. De Martini Director
Dawnae Dodds Executive
Stephen George Director, Executive
John Jonson Executive
Neil Kuyper Executive
William Orum Executive
Eric Techel Executive
Barry Uphoff Executive
Ion Yadigaroglu Director, Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
Capricorn Investment Group, Llc 250 University Avenue, Suite 300
Palo Alto, CA, 94301