Form D · Private Equity Fund

KLS SPECIAL SITUATIONS FUND A LP

New York, NY · CIK 0001746360

Offering snapshot reported Jun 28, 2019 · SEC filing

Reported sold
$104M
Indefinite offering
Investors reported
42
Form D · investor count
Minimum accepted
$1
Reported outside-investor minimum
First sale
Jul 9, 2018
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$51.9M$104MJul 23, 2018: $46,415,000.00Jul 23, 2018Jun 28, 2019: $103,715,000.00Jun 28, 2019

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$46,415,000 → $103,715,000
  • Reported investors21 → 42

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jun 28, 2019Amendment$103,715,000$57,300,000vs Jul 23, 201842SEC filing
Jul 23, 2018Initial$46,415,000No comparison21SEC 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
$0
Form D file number
021-317540
SALES COMMISSION PAID TO THE RECIPIENT LISTED IN ITEM 12 ABOVE IS SUBJECT TO FUTURE ADJUSTMENTS THAT CANNOT CURRENTLY BE CALCULATED.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
ALEX. BROWN, A DIVISION OF RAYMOND JAMES & ASSOCIATES, INC.705

Source: Form D, filed Jun 28, 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

KLS SPECIAL SITUATIONS FUND A LP

Investment adviser: KLS DIVERSIFIED ASSET MANAGEMENT LP

Gross asset value
$5.9M
Beneficial owners
43
ADV minimum commitment
$1M

Reported in Form ADV on Jun 30, 2020. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator U.S. BANCORP FUND SERVICES, LLC HACKENSACK, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor EISNERAMPER LLP NEW YORK, New York, United States
Custodian BANK OF AMERICA, N.A. NEW YORK, New York, United States Related to adviser: No
Custodian MERRILL LYNCH PROFESSIONAL CLEARING CORP. NEW YORK, New York, United States Related to adviser: No
Prime broker MERRILL LYNCH PROFESSIONAL CLEARING CORP. NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

EISNERAMPER LLP
PCAOB 274

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
SEC 8-33359

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
CRD 16139 · SEC 8-33359

Filing source

Form ADV 1440859 · Jun 30, 2020 · Schedule D 7.B.(1), fund 805-1877230297

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
NameReported role
Stephen Casper Executive
Jeffrey Kronthal Executive, Promoter
Harry William Lengsfield Executive, Promoter
Gary Linford Executive
Daniel Napoli Executive
Robert Rosen Executive
John Steinhardt Executive, Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
452 Fifth Ave Fl 22
New York, NY, 10018