Form D · Hedge Fund
Guggenheim High-Yield Plus Fund SPC
Grand Cayman, E9 · CIK 0001465725
Offering snapshot reported Sep 11, 2014 · SEC filing
- Reported sold
- $571M Indefinite offering
- Investors reported
- 73 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Jun 1, 2009 As reported in this filing
Fundraising history
Reported soldDates 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$534,560,963 → $571,182,782
- Reported investors64 → 73
Filing history
Scroll to see all columns →
| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Sep 11, 2014 | Amendment | $571,182,782 | $36,621,819vs Aug 19, 2013 | 73 | SEC filing |
| Aug 19, 2013 | Amendment | $534,560,963 | $43,429,297vs Aug 16, 2012 | 64 | SEC filing |
| Aug 16, 2012 | Amendment | $491,131,666 | $99,060,000vs Mar 15, 2012 | 56 | SEC filing |
| Mar 15, 2012 | Amendment | $392,071,666 | $114,386,666vs Jun 25, 2010 | 46 | SEC filing |
| Jun 25, 2010 | Amendment | $277,685,000 | $219,685,000vs Jun 17, 2009 | 18 | SEC filing |
| Jun 17, 2009 | Initial | $58,000,000 | No comparison | 5 | SEC filing |
Offering details
- Securities
- Pooled investment fund
- Exemptions
- 06b, 3C, 3C.1, 3C.7
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $0
- Finders' fees
- $0
- Form D file number
- 021-132059
Sales compensation recipients
Scroll to see all columns →
| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Guggenheim Securities, LLC | 40638 |
Source: Form D, filed Sep 11, 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
GUGGENHEIM HIGH-YIELD PLUS FUND LLC - CLASS B
Investment adviser: GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC
- Gross asset value
- $72.7M
- Beneficial owners
- 6
- ADV minimum commitment
- $1M
Reported in Form ADV on Mar 2, 2015. Fund assets and beneficial owners measure different things from Form D sales and investors.
Service providers
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- Yes
GUGGENHEIM SECURITIES, LLC
CRD 40638 · SEC 8-49107
Filing source
Form ADV 861690 · Mar 2, 2015 · Schedule D 7.B.(1), fund 805-7068664331
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.
| Name | Reported role |
|---|---|
| Jeffrey B. Abrams | Executive |
| Jason M. Anthony | Executive |
| Thomas J.W. Archie | Executive |
| Todd L Boehly | Executive |
| Carrie Bunton | Director |
| Michael P. Damaso | Executive |
| Adrian G.W. Duffy | Executive |
| James M Freeland | Executive |
| N/A Guggenheim Investment Management, Llc | Promoter |
| N/A Guggenheim Partners Investment Management, Llc | Promoter |
| N/A Guggenheim Partners, Llc | Promoter |
| Kevin H Gundersen | Executive |
| Kevin H. Gunderson | Executive |
| Beth Haddock | Executive |
| William R Hagner | Executive |
| Thomas J. Hauser | Executive |
| Todd D Hearle | Executive |
| Anthony D Minella | Executive |
| B. Scott Minerd | Executive |
| Patrick Mitchell | Executive |
| Timothy H Murray | Executive |
| Gregg J Nardone | Executive |
| Stephen D Sautel | Executive |
| Erich E Schram | Executive |
| William Shaw | Director |
| Lorraine Spurge | Executive |
| Patrick M Warren | Executive |
| Zachary D. Warren | Executive |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Grand Cayman, E9, KY1-1104