Form D · Hedge Fund

Fundamental OS Ltd.

Pasadena, CA · CIK 0001567030

Offering snapshot reported Mar 13, 2017 · SEC filing

Reported sold
$4.29M
Indefinite offering
Investors reported
4
Form D · investor count
Minimum accepted
$500K
Reported outside-investor minimum
First sale
Jan 14, 2013
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$2.34M$4.68MJan 22, 2013: $4,677,850.00Jan 22, 2013May 10, 2013: $3,891,228.00Apr 15, 2014: $3,891,228.00May 16, 2014: $3,891,228.00Apr 8, 2015: $4,291,228.00May 18, 2015: $4,291,228.00Mar 10, 2016: $4,291,228.00Mar 13, 2017: $4,291,228.00Mar 13, 2017

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
Mar 13, 2017Amendment$4,291,228$0vs Mar 10, 20164SEC filing
Mar 10, 2016Amendment$4,291,228$0vs May 18, 20154SEC filing
May 18, 2015Amendment$4,291,228$0vs Apr 8, 20154SEC filing
Apr 8, 2015Amendment$4,291,228$400,000vs Apr 15, 20144SEC filing
May 16, 2014Amendment$3,891,228$0vs Apr 15, 20143SEC filing
Apr 15, 2014Amendment$3,891,228$0vs May 10, 20133SEC filing
May 10, 2013Amendment$3,891,228-$786,622vs Jan 22, 20133SEC filing
Jan 22, 2013Initial$4,677,850No comparison4SEC 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
021-190566
The amount reported and number of investors include the total amounts sold to and the total number of all U.S. and foreign investors. The current assets under management and current number of investors may be significantly different.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Doug DeGrooteNone
Al Slayton426278Newport Coast Securities, Inc. · CRD 16944
Robert Lingle1361471Hedgeharbor Inc. · CRD 44324
Mark Rawlings1762750Girard Securities, Inc. · CRD 18697
Mitch Little, II1701341Coronado Investments, LLC · CRD 111992

Source: Form D, filed Mar 13, 2017. Minimum accepted may differ from a standard advertised minimum.

Fund connections

No confirmed ADV fund connection is available for this issuer.

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
William Bermingham Director
John Woodrow Krieger Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
140 South Lake Avenue Suite 302
Pasadena, CA, 91101