Form D · Other Investment Fund

Copper Rock Small Cap Growth Fund

Boston, MA · CIK 0001404461

Offering snapshot reported Feb 24, 2012 · SEC filing

Reported sold
$103M
Indefinite offering
Investors reported
24
Form D · investor count
Minimum accepted
$1M
Reported outside-investor minimum
First sale
Mar 16, 2006
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$51.3M$103MFeb 25, 2010: $102,591,249.00Feb 25, 2010Feb 24, 2011: $102,591,248.00Feb 24, 2011Feb 24, 2012: $102,591,248.00Feb 24, 2012

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.

No comparable changes in the displayed metrics.

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Feb 24, 2012Amendment$102,591,248$0vs Feb 24, 201124SEC filing
Feb 24, 2011Amendment$102,591,248-$1vs Feb 25, 201024SEC filing
Feb 25, 2010Amendment$102,591,249No comparison24SEC filing
Jun 19, 2007PaperNot reportedNo comparisonNot reportedSEC filing

Offering details

Securities
Pooled investment fund, Other
Exemptions
06, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-104956
Aggregate sales amount is $102,591,248.79
Commingled investment trust interests

Source: Form D, filed Feb 24, 2012. 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

COPPER ROCK SMALL CAP GROWTH FUND

Investment adviser: COPPER ROCK CAPITAL PARTNERS LLC

Gross asset value
$1.06M
Beneficial owners
1
ADV minimum commitment
$1M

Reported in Form ADV on Sep 23, 2013. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator OLD MUTUAL ASSET MANAGEMENT TRUST COMPANY BOSTON, Massachusetts, United States Investor statements: No (provided to no investors) Related to adviser: Yes
Auditor PRICE WATERHOUSECOOPERS LLP BOSTON, Massachusetts, United States
Custodian THE BANK OF NEW YORK MELLON EVERETT, Massachusetts, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No
Filing source

Form ADV 757853 · Sep 23, 2013 · Schedule D 7.B.(1), fund 805-7254937911

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
Brian Dillon Executive
Linda T. Gibson Director
Joan R. Gulinello Executive
Mary J. Kirby Director
Karen F. Kupferberg Director
Vincent Manning Executive
Eric L. Marhoun Director
Robert D. Mc Dorman, Jr. Director
Kathy Nicholl Executive
N/A Old Mutual Asset Management Trust Co Promoter
Robert Patterson Director
Ruth E. Paul Executive
Peter L. Rollins Director
Stephen T. Scott Director
David H. Smith Director
Virginia M. Turner Executive
Thomas M. Turpin Director, Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
Old Mutual Asset Management Trust Co 200 Clarendon Street, 52nd Floor
Boston, MA, 02116