Form D · Other Investment Fund
Harbert Mezzanine Partners III, L.P.
Birmingham, AL · CIK 0001640827
Offering snapshot reported May 11, 2015 · SEC filing
- Reported sold
- $165M Offering amount: $165M
- Investors reported
- 121 Form D · investor count
- Minimum accepted
- $250K Reported outside-investor minimum
- First sale
- Dec 13, 2011 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| May 11, 2015 | Initial | $165,475,000 | No comparison | 121 | SEC filing |
Offering details
- Securities
- Pooled investment fund
- Exemptions
- 06b, 3C, 3C.7
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $0
- Finders' fees
- $451K
- Form D file number
- 021-239514
HMC Investments, Inc. ("HMCI") is an affiliate of the issuer's investment manager. None of the sales commissions or finders fees disclosed in this Item 15 were payable to HMCI.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| n/a | None | HMC Investments, Inc. · CRD 40581 |
| Joseph Basil Sindelar Jr. | 4622549 | Equus Financial Consulting LLC · CRD 131449 |
Source: Form D, filed May 11, 2015. 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.
| Name | Reported role |
|---|---|
| N/A Harbert Management Corporation | Executive |
| N/A Hmp Iii Gp, Llc | Executive |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:
2100 Third Avenue North, Suite 600
Birmingham, AL, 35203
Birmingham, AL, 35203