Form D · Venture Capital Fund

Energy Trust Partners IV LP

New York, NY · CIK 0001548833

Offering snapshot reported Jan 3, 2014 · SEC filing

Reported sold
$174M
Offering amount: $600M
Investors reported
13
Form D · investor count
Minimum accepted
$3M
Reported outside-investor minimum
First sale
May 1, 2012
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$86.9M$174MMay 3, 2012: $75,255,102.00May 3, 2012Apr 11, 2013: $98,750,000.00Apr 11, 2013Sep 4, 2013: $140,000,000.00Sep 4, 2013Jan 3, 2014: $173,750,000.00Jan 3, 2014

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$140,000,000 → $173,750,000
  • Reported investors10 → 13

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jan 3, 2014Amendment$173,750,000$33,750,000vs Sep 4, 201313SEC filing
Sep 4, 2013Amendment$140,000,000$41,250,000vs Apr 11, 201310SEC filing
Apr 11, 2013Amendment$98,750,000$23,494,898vs May 3, 20128SEC filing
May 3, 2012Initial$75,255,102No comparison7SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$240K
Finders' fees
$0
Form D file number
021-177636
The Issuer is seeking capital commitments from its partners totaling $600 million. The GP may in its discretion accept capital commitments in excess of or lower than this amount. The GP's contribution represents 2% of the total amount sold by the Issuer.
In addition to the sales compensation listed above, Eaton Partners, LLC has received a monthly retainer fee of $20,000 since October 2012.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Eaton Partners, LLC31170

Source: Form D, filed Jan 3, 2014. 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

ENERGY TRUST PARTNERS IV LP

Investment adviser: ETC INVESTMENT ADVISORS LLC

Gross asset value
$27.8M
Beneficial owners
13
ADV minimum commitment
$10M

Reported in Form ADV on Jan 2, 2024. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator ENERGY SPECTRUM SECURITIES CORPORATION DALLAS, Texas, United States Investor statements: No (provided to no investors) Related to adviser: No
Auditor PRICEWATERHOUSECOOPERS L.L.P. DALLAS, Texas, United States
Custodian NORTHERN TRUST COMPANY DALLAS, Texas, 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

PRICEWATERHOUSECOOPERS L.L.P.
PCAOB 238

Filing source

Form ADV 1808854 · Jan 2, 2024 · Schedule D 7.B.(1), fund 805-5256509542

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
John A. Clark Executive
N/A Energy Trust Capital Iv Llc Promoter
Alan Hsia Executive
Christopher W. Sears Executive
Patrick H. Swearingen Executive
Damian S. Wells Executive
Damien S. Wells Executive
Leland B. White Executive
Thomas C. Woolley Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
551 Fifth Avenue 37th Floor
New York, NY, 10176