Form D · Other Investment Fund

Harbert Special Opportunity Fund, LP

Birmingham, AL · CIK 0001741063

Offering snapshot reported May 14, 2019 · SEC filing

Reported sold: $12.7M
Investors reported: 4
Minimum accepted: $0
First sale: May 3, 2018

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$2,000,000 → $12,730,000
Reported investors1 → 4

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
May 14, 2019	Amendment	$12,730,000	$10,730,000vs May 17, 2018	4	SEC filing
May 17, 2018	Initial	$2,000,000	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: 021-312719

HMC Investments, Inc. ("HMCI"), an affiliate of the Issuer, serves as the Issuer's placement agent. The Issuer's investment manager pays all fees of HMCI, none of which are based on sales volumes.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
HMC Investments, Inc.	40581

Source: Form D, filed May 14, 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

HARBERT SPECIAL OPPORTUNITIES FUND

Investment adviser: HARBERT FUND ADVISORS, LLC

Gross asset value: $12.9M
Beneficial owners: 4
ADV minimum commitment: $100K

Reported in Form ADV on Mar 28, 2019. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Auditor WARREN AVERETT, LLC BIRMINGHAM, Alabama, United States

Custodian GOLDMAN, SACHS & CO. NEW YORK, New York, United States Related to adviser: No

Prime broker BTIG, LLC SAN FRANCISCO, California, United States

Provider details

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

WARREN AVERETT, LLC
PCAOB 2226

BTIG, LLC
CRD 122225 · SEC 8-65473

Filing source

Form ADV 1285076 · Mar 28, 2019 · Schedule D 7.B.(1), fund 805-9614329323

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
[None] Harbert Management Corporation	Executive
[None] Harbert Special Opportunity Fund Gp, Llc	Executive
John W. Mc Cullough	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

2100 Third Avenue North Suite 600
Birmingham, AL, 35203