Form D · Other Investment Fund

NBEC CLO XV SP

Chicago, IL · CIK 0001591250

Offering snapshot reported Nov 7, 2013 · SEC filing

Reported sold
$890K
Offering amount: $890K
Investors reported
8
Form D · investor count
Minimum accepted
$25K
Reported outside-investor minimum
First sale
Oct 23, 2013
As reported in this filing

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Nov 7, 2013Initial$890,000No comparison8SEC 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
021-206002

Source: Form D, filed Nov 7, 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 XV SP

Investment adviser: NEUBERGER BERMAN INVESTMENT ADVISERS LLC

Gross asset value
$0
Beneficial owners
0
ADV minimum commitment
$25K

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 805-2222235215

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
Joseph V. Amato Director
Bradley Tank Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
190 South Lasalle Street
Chicago, IL, 60603