Form D · Other Investment Fund

EM Plus CEF Fund

Greenville, DE · CIK 0001468225

Offering snapshot reported Jan 19, 2024 · SEC filing

Reported sold
$59M
Indefinite offering
Investors reported
3
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Feb 17, 2009
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$29.5M$59MJul 15, 2009: $36,976,000.00Jul 15, 2009Jan 20, 2017: $49,004,433.00Jan 19, 2018: $59,004,433.00Jan 18, 2019: $59,004,433.00Jan 17, 2020: $59,004,433.00Jan 19, 2021: $59,004,433.00Jan 19, 2022: $59,004,433.00Jan 19, 2023: $59,004,433.00Jan 19, 2024: $59,004,433.00Jan 19, 2024

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
Jan 19, 2024Amendment$59,004,433$0vs Jan 19, 20233SEC filing
Jan 19, 2023Amendment$59,004,433$0vs Jan 19, 20223SEC filing
Jan 19, 2022Amendment$59,004,433$0vs Jan 19, 20213SEC filing
Jan 19, 2021Amendment$59,004,433$0vs Jan 17, 20203SEC filing
Jan 17, 2020Amendment$59,004,433$0vs Jan 18, 20193SEC filing
Jan 18, 2019Amendment$59,004,433$0vs Jan 19, 20183SEC filing
Jan 19, 2018Amendment$59,004,433$10,000,000vs Jan 20, 20173SEC filing
Jan 20, 2017Amendment$49,004,433$12,028,433vs Jul 15, 20093SEC filing
Jul 15, 2009Initial$36,976,000No comparison3SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$12.4K (estimated)
Finders' fees
$0
Form D file number
021-132790
North Bridge Capital LLC is no longer the placement agent for the Issuer. As of April 3, 2020, North Bridge Capital LLC is no longer entitled to any commissions.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
North Bridge Capital LLC107320Richard Allen Murphy · CRD 343386

Source: Form D, filed Jan 19, 2024. 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

THE EM PLUS CEF FUND

Investment adviser: CITY OF LONDON INVESTMENT MANAGEMENT CO LTD

Gross asset value
$19.6M
Beneficial owners
2
ADV minimum commitment
$0

Reported in Form ADV on Jun 11, 2025. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator BNY MELLON ASSET SERVICING PITTSBURGH, Pennsylvania, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG PHILADELPHIA, Pennsylvania, United States
Custodian THE BANK OF NEW YORK MELLON PITTSBURGH, Pennsylvania, 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

KPMG
PCAOB 185

Filing source

Form ADV 1997262 · Jun 11, 2025 · Schedule D 7.B.(1), fund 805-2012084095

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
Delaware Trustee Bny Mellon Trust Of Delaware Director
N/A Bny Mellon Trust Of Delaware Director
Investment Manager City Of London Investment Management Company Limited Promoter
N/A City Of London Investment Management Company Limited Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
4005 Kennett Pike Suite 250
Greenville, DE, 19807