Form D · Hedge Fund

LAKE COMO CONVERTIBLE BOND FUND LP

San Francisco, CA · CIK 0001688308

Offering snapshot reported Oct 25, 2018 · SEC filing

Reported sold: $8M
Investors reported: 5
Minimum accepted: $1M
First sale: Feb 1, 2017

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$1,000,000 → $8,000,611
Reported investors1 → 5

Filing history

Scroll to see all columns →

Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Oct 25, 2018	Amendment	$8,000,611	$7,000,611vs Oct 24, 2017	5	SEC filing
Oct 24, 2017	Amendment	$1,000,000	No comparison	1	SEC filing
Oct 25, 2016	Initial	Yet to sell	No comparison	0	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06b, 3C, 3C.1
Duration over one year: Yes
Business combination: No

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-273144

Source: Form D, filed Oct 25, 2018. 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

LAKE COMO CONVERTIBLE BOND FUND LP

Investment adviser: PIER 88 INVESTMENT PARTNERS, LLC

Gross asset value: $7.21M
Beneficial owners: 4
ADV minimum commitment: $1M

Reported in Form ADV on Aug 8, 2019. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator SS&C TECHNOLOGIES, INC SAN FRANCISCO, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG GEORGE TOWN, Cayman Islands

Custodian PERSHING LLC JERSEY CITY, New Jersey, United States Related to adviser: No

Prime broker COWEN PRIME SERVICES LLC GARDEN CITY, New York, United States

Provider details

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

KPMG
PCAOB 185

PERSHING LLC
SEC 8-17574

COWEN PRIME SERVICES LLC
CRD 153397 · SEC 8-68531

Filing source

Form ADV 1338894 · Aug 8, 2019 · Schedule D 7.B.(1), fund 805-2796232073

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Related funds

Funds whose names form a numbered series with this one and that share its city or the name of a related person. Form D does not state how these funds are related.

Fund	Latest Form D	Reported sold	Investors
LAKE COMO CONVERTIBLE BOND FUND LP (this fund)	Oct 25, 2018	$8,000,611	5
Lake Como Convertible Bond Fund II LP	Mar 10, 2021	$4,056,351	2

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
N/A N/A Pier 88 Investment Partners Llc	Executive
Frank Timons	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

230 California Street, Suite 410
San Francisco, CA, 94111