Form D · Hedge Fund

Neuberger Berman Global Equity Index PutWrite Fund LLC

New York, NY · CIK 0001694669

Offering snapshot reported Feb 5, 2021 · SEC filing

Reported sold: $62M
Investors reported: 3
Minimum accepted: $10M
First sale: Jan 3, 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$50,001,000 → $62,001,000
Reported investors2 → 3

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Feb 5, 2021	Amendment	$62,001,000	$12,000,000vs Feb 6, 2020	3	SEC filing
Feb 6, 2020	Amendment	$50,001,000	$0vs Jul 2, 2019	2	SEC filing
Jul 2, 2019	Amendment	$50,001,000	$0vs Jan 8, 2019	2	SEC filing
Jan 8, 2019	Amendment	$50,001,000	$0vs Sep 7, 2018	2	SEC filing
Sep 7, 2018	Amendment	$50,001,000	$0vs Feb 14, 2018	2	SEC filing
Feb 14, 2018	Amendment	$50,001,000	$1,000vs Feb 15, 2017	2	SEC filing
Feb 15, 2017	Amendment	$50,000,000	$12,500,000vs Jan 17, 2017	1	SEC filing
Jan 17, 2017	Initial	$37,500,000	No comparison	1	SEC filing

Offering details

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

Sales commissions: $45.5K (estimated)
Finders' fees: $0
Form D file number: 021-278557

The estimated amount of sales commissions is based upon commissions paid from the inception of the Fund through December 31, 2020.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
N/A	None	Neuberger Berman BD LLC · CRD 2908

Source: Form D, filed Feb 5, 2021. 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

NEUBERGER BERMAN GLOBAL EQUITY INDEX PUTWRITE FUND LLC

Investment adviser: NEUBERGER BERMAN INVESTMENT ADVISERS LLC

Gross asset value: $13.4M
Beneficial owners: 4
ADV minimum commitment: $10M

Reported in Form ADV on Nov 2, 2021. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator INTERNATIONAL FUND SERVICES (N.A.), L.L.C. NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LTD GRAND CAYMAN, Cayman Islands

Custodian STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Related to adviser: No

Custodian UBS SECURITIES LLC NEW YORK, New York, 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: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

ERNST & YOUNG LTD
PCAOB 1655

STATE STREET BANK AND TRUST COMPANY
LEI 571474TGEMMWANRLN572

UBS SECURITIES LLC
SEC 8-22651

NEUBERGER BERMAN BD LLC
CRD 2908 · SEC 801-3908

Filing source

Form ADV 1575053 · Nov 2, 2021 · Schedule D 7.B.(1), fund 805-6673309836

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, Executive
Robert Eason	Director
Andrew A. Johnson	Director, Executive
Lawrence Kohn	Director, Executive
N/A Neuberger Berman Investment Advisers Llc	Promoter
Bradley C. Tank	Director, Executive
Stephen Wright	Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

1290 Avenue Of The Americas
New York, NY, 10104