Form D · Other Investment Fund

Heritage Small Cap Growth Fund

San Francisco, CA · CIK 0001516891

Offering snapshot reported May 25, 2012 · SEC filing

Reported sold: $22M
Investors reported: 6
Minimum accepted: $0
First sale: Mar 1, 2011

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.

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 25, 2012	Amendment	$22,019,856	$0vs Mar 30, 2011	6	SEC filing
Mar 30, 2011	Initial	$22,019,856	No comparison	6	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06, 3C, 3C.7
Duration over one year: Yes
Business combination: No

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-157528

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Wells Fargo Funds Distributor, LLC	133366

Source: Form D, filed May 25, 2012. 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

HERITAGE SMALL CAP GROWTH FUND

Investment adviser: ALLSPRING GLOBAL INVESTMENTS, LLC

Gross asset value: $14.8M
Beneficial owners: 5
ADV minimum commitment: $5M

Reported in Form ADV on Jun 26, 2012. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator BANK OF NEW YORK NEW YORK, New York, United States Investor statements: No (provided to no investors) Related to adviser: No

Auditor KPMG SAN FRANCISCO, California, United States

Custodian WELLS FARGO BANK, N.A. SAN FRANCISCO, California, United States Related to adviser: Yes

Marketer WELLS FARGO FUNDS DISTRIBUTOR, LLC SAN FRANCISCO, California, United States Related to adviser: Yes

Provider details

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

WELLS FARGO FUNDS DISTRIBUTOR, LLC
CRD 133366 · SEC 8-66716

Filing source

Form ADV 655603 · Jun 26, 2012 · Schedule D 7.B.(1), fund 805-6863319818

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
For Institutional Investments Wells Fargo Trust	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

525 Market St., 10 Th Floor
San Francisco, CA, 94105