Form D · Investing

CARLYLE GLOBAL MARKET STRATEGIES CLO 2011-1, LTD.

George Town, Grand Cayman, E9 · CIK 0001528996

Offering snapshot reported Sep 26, 2011 · SEC filing

Reported sold
$494M
Indefinite offering
Investors reported
41
Form D · investor count
Minimum accepted
$150K
Reported outside-investor minimum
First sale
Jul 21, 2011
As reported in this filing

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Sep 26, 2011Initial$494,000,000No comparison41SEC filing

Offering details

Securities
Equity, Debt
Exemptions
06, 3C, 3C.7
Duration over one year
No
Business combination
No
Sales commissions
$1.38M (estimated)
Finders' fees
$0
Form D file number
021-166348

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
WELLS FARGO SECURITIES, LLC126292WELLS FARGO SECURITIES, LLC · CRD 126292
MITSUBISHI UFJ SECURITIES (USA), INC.19685MITSUBISHI UFJ SECURITIES (USA), INC. · CRD 19685

Source: Form D, filed Sep 26, 2011. 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

CARLYLE GLOBAL MARKET STRATEGIES CLO 2011-1, LTD.

Investment adviser: CARLYLE INVESTMENT MANAGEMENT L.L.C.

Gross asset value
$0
Beneficial owners
2
ADV minimum commitment
$150K

Reported in Form ADV on Nov 14, 2017. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator STATE STREET BOSTON, Massachusetts, United States Investor statements: No (provided to no investors) Related to adviser: No
Custodian STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Related to adviser: No
Provider details
Annual audit
No
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No
Filing source

Form ADV 1151556 · Nov 14, 2017 · Schedule D 7.B.(1), fund 805-7897438469

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
David Lloyd Director
Rachael Rankin Director

Issuer details

Industry: Investing (See others in industry)

Address:
C/O Walkers Spv Limited, Walker House 87 Mary Street
George Town, Grand Cayman, E9, KY1-9002