Form D · Hedge Fund
Carolina Institutional Short Duration Fund Ltd.
Grand Cayman, E9 · CIK 0001541281
Offering snapshot reported Feb 12, 2019 · SEC filing
- Reported sold
- $196M Indefinite offering
- Investors reported
- 4 Form D · investor count
- Minimum accepted
- $100K Reported outside-investor minimum
- First sale
- Jan 24, 2012 As reported in this filing
Fundraising history
Reported soldDates 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$189,949,785 → $195,949,785
- Reported investors5 → 4
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Feb 12, 2019 | Amendment | $195,949,785 | $6,000,000vs May 19, 2017 | 4 | SEC filing |
| Feb 15, 2018 | Amendment | $195,949,785 | $6,000,000vs May 19, 2017 | 4 | SEC filing |
| May 19, 2017 | Amendment | $189,949,785 | $0vs May 24, 2016 | 5 | SEC filing |
| May 24, 2016 | Amendment | $189,949,785 | $18,000,000vs Dec 7, 2015 | 5 | SEC filing |
| Dec 7, 2015 | Amendment | $171,949,785 | $0vs Dec 4, 2014 | 4 | SEC filing |
| Dec 4, 2014 | Amendment | $171,949,785 | $19,000,000vs Dec 4, 2013 | 4 | SEC filing |
| Dec 4, 2013 | Amendment | $152,949,785 | $50,000,000vs Feb 8, 2013 | 4 | SEC filing |
| Feb 8, 2013 | Amendment | $102,949,785 | $2,000,000vs Feb 7, 2012 | 3 | SEC filing |
| Feb 7, 2012 | Initial | $100,949,785 | No comparison | 2 | 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 (estimated)
- Finders' fees
- $0 (estimated)
- Form D file number
- 021-173012
The entities listed in Item 12 are paid directly or indirectly commissions or similar sales compensation equal to a percentage of the fee paid to the Investment Manager (or its affiliate) from the assets under management and/or the incentive allocation.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| AMUNDI PIONEER DISTRIBUTOR, INC. | 24497 | |
| AMUNDI DISTRIBUTORS USA, LLC | 152399 |
Source: Form D, filed Feb 12, 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
CAROLINA SECURITIZED CREDIT OPPORTUNITIES LTD.
Investment adviser: AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.
- Gross asset value
- $40.1M
- Beneficial owners
- 1
- ADV minimum commitment
- $2M
Reported in Form ADV on Nov 3, 2020. Fund assets and beneficial owners measure different things from Form D sales and investors.
Service providers
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- Yes
ERNST & YOUNG LTD
PCAOB 42
AMUNDI PIONEER DISTRIBUTOR, INC.
CRD 24497 · SEC 8-41256
Filing source
Form ADV 1465613 · Nov 3, 2020 · Schedule D 7.B.(1), fund 805-4468640664
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.
| Name | Reported role |
|---|---|
| Amundi Pioneer Institutional Asset Management, Inc. | Executive |
| Amundi Smith Breeden Llc | Executive |
| Amy Arganbright | Director |
| Patrice Blanc | Director |
| Joseph Carrabes | Director |
| Stephen A. Eason | Director |
| Michael Giarla | Director |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Grand Cayman, E9, KY1-9005