Form D · Hedge Fund

Great Lakes III Master Fund, L.P.

George Town, Grand Cayman, E9 · CIK 0001565775

Offering snapshot reported Jan 7, 2014 · SEC filing

Reported sold: $79.5M
Investors reported: 3
Minimum accepted: $5M
First sale: Mar 1, 2013

What changed?

Latest filing versus its linked predecessor, where available.

Reported investors0 → 3

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Jan 7, 2014	Amendment	$79,547,600	No comparison	3	SEC filing
Jan 7, 2013	Initial	Yet to sell	No comparison	0	SEC 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: 021-189631

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Babson Capital Securities LLC	36929

Source: Form D, filed Jan 7, 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

GREAT LAKES III MASTER FUND, L.P.

Investment adviser: BARINGS LLC

Gross asset value: $12.2M
Beneficial owners: 10
ADV minimum commitment: $5M

Reported in Form ADV on May 1, 2024. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator STATE STREET BANK & TRUST COMPANY BOSTON, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG LLP CHARLOTTE, North Carolina, United States

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

Marketer BARINGS SECURITIES LLC BOSTON, Massachusetts, United States Related to adviser: Yes

Marketer MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED 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: Yes
External marketing: Yes

KPMG LLP
PCAOB 185

BARINGS SECURITIES LLC
CRD 36929 · SEC 8-47589

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD 7691 · SEC 801-14235

Filing source

Form ADV 1873301 · May 1, 2024 · Schedule D 7.B.(1), fund 805-1488758543

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
N/A Babson Capital Management Llc	Promoter
N/A Great Lakes Iii Gp, Llc	Promoter
Kathleen L. Kraez	Executive
Matthew Paul Natcharian	Executive
Melissa Ricco	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

Maples Corporate Services Limited Ugland House, South Church Street
George Town, Grand Cayman, E9, KY1-1104