Form D · Other Investment Fund

NBEC CLO XIII SP

Chicago, IL · CIK 0001579727

Offering snapshot reported Jun 21, 2013 · SEC filing

Reported sold: $3.14M
Investors reported: 21
Minimum accepted: $50K
First sale: Jun 10, 2013

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
Jun 21, 2013	Initial	$3,135,613	No comparison	21	SEC filing

Offering details

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

Sales commissions: $0 (estimated)
Finders' fees: $0 (estimated)
Form D file number: 021-198407

Source: Form D, filed Jun 21, 2013. 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

NBEC SPC/NBEC CLO XIII SP

Investment adviser: NEUBERGER BERMAN INVESTMENT ADVISERS LLC

Gross asset value: $0
Beneficial owners: 0
ADV minimum commitment: $50K

Reported in Form ADV on Dec 4, 2019. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator MUFG CAPITAL ANALYTICS LLC DALLAS, Texas, United States Investor statements: Yes (provided to all investors) Related to adviser: Yes

Custodian U.S. BANK, N.A. CHICAGO, Illinois, United States Related to adviser: No

Marketer NEUBERGER BERMAN BD LLC NEW YORK, New York, United States Related to adviser: Yes

Provider details

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

U.S. BANK, N.A.
LEI 6BYL5QZYBDK8S7L73M02

NEUBERGER BERMAN BD LLC
CRD 2908 · SEC 801-3908

Filing source

Form ADV 1360265 · Dec 4, 2019 · Schedule D 7.B.(1), fund 805-8786172628

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
Joseph V. Amato	Director
Bradley C. Tank	Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

190 South La Salle Street
Chicago, IL, 60603