Form D · Private Equity Fund
HarbourVest Partners IX-Cayman Credit Opportunities Fund L.P.
Boston, MA · CIK 0001485994
Offering snapshot reported Nov 16, 2012 · SEC filing
- Reported sold
- $151M Indefinite offering
- Investors reported
- 23 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Mar 15, 2010 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$145,070,000 → $150,720,000
Filing history
Scroll to see all columns →
| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Nov 16, 2012 | Amendment | $150,720,000 | $5,650,000vs Nov 16, 2011 | 23 | SEC filing |
| Nov 16, 2011 | Amendment | $145,070,000 | $49,920,000vs Mar 1, 2011 | 23 | SEC filing |
| Mar 1, 2011 | Amendment | $95,150,000 | No comparison | 20 | SEC filing |
| Mar 2, 2010 | Initial | Yet to sell | No comparison | 0 | SEC filing |
Offering details
- Securities
- Equity, Pooled investment fund
- Exemptions
- 06, 3C, 3C.7
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $1M (estimated)
- Finders' fees
- $0 (estimated)
- Form D file number
- 021-139157
Placement agents may be paid for soliciting investors for feeder or master fund. Includes sales compensation paid to Warburg Alternative Investments AG, which is no longer acting as a placement agent and, therefore, has been eliminated from Item 12.
Sales compensation recipients
Scroll to see all columns →
| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Eliot Kalter | None | EM Strategies, Inc. |
| Not Applicable | None | bfinance UK Ltd. |
Source: Form D, filed Nov 16, 2012. 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 |
|---|---|
| George R. Anson | Executive |
| Kathleen M. Bacon | Executive |
| John M. Begg | Executive |
| Philip M. Bilden | Executive |
| Brett A. Gordon | Executive |
| N/A Harbour Vest Ix Credit Opportunities Associates Llc | Promoter |
| William A. Johnston | Executive |
| Edward W. Kane | Executive |
| Frederick C. Maynard | Executive |
| John G. Morris | Executive |
| Ofer Nemirovsky | Executive |
| Alex A. Rogers | Executive |
| Gregory V. Stento | Executive |
| Michael W. Taylor | Executive |
| John M. Toomey, Jr. | Executive |
| Martha D. Vorlicek | Executive |
| Robert M. Wadsworth | Executive |
| Peter G. Wilson | Executive |
| D. Brooks Zug | Executive |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Boston, MA, 02111