Form D · Other Investment Fund

CAPRICORN AIP ENERGY & COMMODITIES LP

Palo Alto, CA · CIK 0001429963

Offering snapshot reported Aug 1, 2013 · SEC filing

Reported sold
$9.45M
Indefinite offering
Investors reported
6
Form D · investor count
Minimum accepted
$25K
Reported outside-investor minimum
First sale
Feb 27, 2008
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$4.73M$9.45MMar 13, 2008Jul 28, 2009: $9,433,869.00Jul 26, 2010: $9,433,869.00Aug 4, 2010: $9,433,869.00Aug 3, 2011: $9,433,869.00Aug 3, 2012: $9,433,869.00Aug 1, 2013: $9,453,869.00Aug 1, 2013

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$9,433,869 → $9,453,869

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Aug 1, 2013Amendment$9,453,869$20,000vs Aug 3, 20126SEC filing
Aug 3, 2012Amendment$9,433,869$0vs Aug 3, 20116SEC filing
Aug 3, 2011Amendment$9,433,869$0vs Aug 4, 20106SEC filing
Aug 4, 2010Amendment$9,433,869$0vs Jul 26, 20106SEC filing
Jul 26, 2010Amendment$9,433,869$0vs Jul 28, 20096SEC filing
Jul 28, 2009Amendment$9,433,869No comparison6SEC filing
Mar 13, 2008PaperNot reportedNo comparisonNot reportedSEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-115956

Source: Form D, filed Aug 1, 2013. 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 - ENERGY & COMMODITIES, L.P.

Investment adviser: CAPRICORN INVESTMENT GROUP LLC

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

Reported in Form ADV on Jan 7, 2015. 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 BNY MELLON EVERETT, Massachusetts, United States Related to adviser: No
Custodian GOLDMAN, SACHS & CO. SAN FRANCISCO, California, United States Related to adviser: No
Prime broker GOLDMAN, SACHS & CO. 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.
SEC 8-129

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

Filing source

Form ADV 864166 · Jan 7, 2015 · Schedule D 7.B.(1), fund 805-6176729355

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
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