Form D · Other Investment Fund

Eagle EM Dividend Fund, LP

Houston, TX · CIK 0001561955

Offering snapshot reported Jan 29, 2016 · SEC filing

Reported sold
$17M
Indefinite offering
Investors reported
45
Form D · investor count
Minimum accepted
$250K
Reported outside-investor minimum
First sale
Nov 8, 2012
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$11.3M$22.6MNov 20, 2012: $12,000,000.00Nov 20, 2012Mar 23, 2015: $22,519,360.00Mar 23, 2015Apr 14, 2015: $22,619,360.00Jan 29, 2016: $16,962,472.00Jan 29, 2016

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$22,619,360 → $16,962,472
  • Reported investors43 → 45

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jan 29, 2016Amendment$16,962,472-$5,656,888vs Apr 14, 201545SEC filing
Apr 14, 2015Amendment$22,619,360$10,619,360vs Nov 20, 201243SEC filing
Mar 23, 2015Amendment$22,519,360$10,519,360vs Nov 20, 201242SEC filing
Nov 20, 2012Initial$12,000,000No comparison13SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-187319

Source: Form D, filed Jan 29, 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

EAGLE EM DIVIDEND FUND, L.P.

Investment adviser: EAGLE GLOBAL ADVISORS LLC

Gross asset value
$17.2M
Beneficial owners
45
ADV minimum commitment
$250K

Reported in Form ADV on Jul 11, 2016. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Auditor KPMG LLP DALLAS, Texas, United States
Custodian UBS SECURITIES LLC NEW YORK, New York, United States Related to adviser: No
Prime broker UBS SECURITIES LLC 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

UBS SECURITIES LLC
SEC 8-22651

UBS SECURITIES LLC
CRD 7654 · SEC 8-22651

Filing source

Form ADV 1028640 · Jul 11, 2016 · Schedule D 7.B.(1), fund 805-5119585527

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
Edward R. Allen, Iii Director, Executive, Promoter
N/A N/A Eagle Em Dividend Fund Gp, Llc Promoter
N/A N/A Eagle Global Advisors, Llc Promoter
John F. Gualy Director, Executive, Promoter
Thomas N. Hunt, Iii Director, Executive, Promoter
Steven S. Russo Director, Executive, Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
5847 San Felipe, Suite 930
Houston, TX, 77057