Form D · Hedge Fund

Gamma Convertible Fund, L.P.

New York, NY · CIK 0001468661

Offering snapshot reported Mar 20, 2019 · SEC filing

Reported sold: $133M
Investors reported: 29
Minimum accepted: $0
First sale: Jan 1, 2005

Fundraising history

Reported sold

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$132,403,689 → $133,403,689

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Mar 20, 2019	Amendment	$133,403,689	$1,000,000vs Mar 20, 2018	29	SEC filing
Mar 20, 2018	Amendment	$132,403,689	$0vs Mar 20, 2017	29	SEC filing
Mar 20, 2017	Amendment	$132,403,689	$4,950,000vs Mar 18, 2016	29	SEC filing
Mar 18, 2016	Amendment	$127,453,689	$40,337,148vs Mar 18, 2015	28	SEC filing
Mar 18, 2015	Amendment	$87,116,541	$23,855,000vs Mar 17, 2014	23	SEC filing
Mar 17, 2014	Amendment	$63,261,541	$61,761,541vs Jul 21, 2009	20	SEC filing
Mar 15, 2013	Amendment	$46,786,541	$45,286,541vs Jul 21, 2009	15	SEC filing
Mar 15, 2012	Amendment	$45,486,541	$43,986,541vs Jul 21, 2009	15	SEC filing
Mar 10, 2011	Amendment	$22,086,541	$20,586,541vs Jul 21, 2009	8	SEC filing
Feb 26, 2010	Amendment	$4,000,000	$2,500,000vs Jul 21, 2009	2	SEC filing
Jul 21, 2009	Initial	$1,500,000	No comparison	1	SEC filing

Offering details

Securities: Equity, Pooled investment fund
Exemptions: 06b, 3C, 3C.7
Duration over one year: Yes
Business combination: No

Sales commissions: $0 (estimated)
Finders' fees: $0 (estimated)
Form D file number: 021-132956

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Deutsche Bank Securities Inc.	2525
Credit Suisse Securities (USA) LLC	816

Source: Form D, filed Mar 20, 2019. 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

GAMMA CONVERTIBLE FUND, L.P.

Investment adviser: SHENKMAN CAPITAL MANAGEMENT, INC.

Gross asset value: $64M
Beneficial owners: 11
ADV minimum commitment: $1M

Reported in Form ADV on Jun 30, 2020. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Auditor EISNERAMPER LLP NEW YORK, New York, United States

Custodian STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Related to adviser: No

Marketer CLEARWAY CAPITAL SOLUTIONS PTY LTD SYDNEY, Australia Related to adviser: No

Marketer DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: No
External marketing: Yes

EISNERAMPER LLP
PCAOB 274

STATE STREET BANK AND TRUST COMPANY
LEI 571474TGEMMWANRLN572

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 801-9638

Filing source

Form ADV 1438981 · Jun 30, 2020 · Schedule D 7.B.(1), fund 805-7132279186

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
Name	Reported role
Mark Shenkman	Executive
Shenkman Capital Management, Inc.	Executive
Richard H. Weinstein	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

Shenkman Capital Management, Inc. 461 Fifth Avenue, 22 Nd Floor
New York, NY, 10017