Form D · Other Investment Fund

Commonfund Institutional Small Cap Fund LLC

Wilton, CT · CIK 0001389071

Offering snapshot reported Mar 7, 2016 · SEC filing

Reported sold: $58.1M
Investors reported: 32
Minimum accepted: $1M
First sale: Jul 30, 2004

Fundraising history

Reported sold

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$47,554,122 → $58,090,538
Reported investors29 → 32

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Mar 7, 2016	Amendment	$58,090,538	$10,536,416vs Mar 6, 2015	32	SEC filing
Mar 6, 2015	Amendment	$47,554,122	$874,453vs Mar 10, 2014	29	SEC filing
Mar 10, 2014	Amendment	$46,679,669	$127,177vs Mar 14, 2013	29	SEC filing
Mar 14, 2013	Amendment	$46,552,492	$2,377,500vs Mar 16, 2012	29	SEC filing
Mar 16, 2012	Amendment	$44,174,992	$333,279vs Mar 16, 2011	27	SEC filing
Mar 16, 2011	Amendment	$43,841,713	$250,382vs Mar 15, 2010	27	SEC filing
Mar 15, 2010	Amendment	$43,591,331	No comparison	27	SEC filing
Jan 26, 2007	Paper	Not reported	No comparison	Not reported	SEC filing

Offering details

Securities: Pooled investment fund, Other
Exemptions: 06b, 3C, 3C.1
Duration over one year: Yes
Business combination: No

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-99702

Limited Liability Company Interests

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
COMMONFUND SECURITIES, INC.	43541	COMMONFUND SECURITIES, INC. · CRD 43541

Source: Form D, filed Mar 7, 2016. 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

COMMONFUND INSTITUTIONAL SMALL CAP FUND, LLC

Investment adviser: COMMONFUND OCIO, INC.

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

Reported in Form ADV on Jul 9, 2018. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator STATE STREET CORPORATION BOSTON, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS LLP NEW YORK, New York, United States

Custodian STATE STREET CORPORATION BOSTON, Massachusetts, United States Related to adviser: No

Marketer COMMONFUND SECURITIES, INC. WILTON, Connecticut, 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

PRICEWATERHOUSECOOPERS LLP
PCAOB 238

COMMONFUND SECURITIES, INC.
CRD 43541 · SEC 8-50337

Filing source

Form ADV 1228282 · Jul 9, 2018 · Schedule D 7.B.(1), fund 805-8726474657

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
Name	Reported role
John W. Auchincloss	Executive
Maryellen Beaudreault	Director
Carolyn N. Blanch	Executive
Lauren Caplan	Executive
A. Nicholas De Monico	Director, Executive
Arthur Z. Gardiner, Jr.	Director
Michael Guido	Executive
Lyn Hutton	Director
Catherine M. Keating	Director
Jeffrey T. Long	Director
Fredric Nelson	Director, Executive
Robert E. Phay, Jr.	Executive
Alec Rapaport	Director
Verne O. Sedlacek	Director
Michael H. Strauss	Director, Executive
Seth Thomson	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

15 Old Danbury Road
Wilton, CT, 06897