Form D · Hedge Fund

NEUBERGER BERMAN GTAA PENSION FUND I LTD.

New York, NY · CIK 0001494321

Offering snapshot reported Jun 14, 2013 · SEC filing

Reported sold: $50.6M
Investors reported: 3
Minimum accepted: $100K
First sale: Apr 1, 2010

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$50,600,230 → $50,600,231

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Jun 14, 2013	Amendment	$50,600,231	$1vs Jun 18, 2012	3	SEC filing
Jun 18, 2012	Amendment	$50,600,230	-$1vs Jun 16, 2011	3	SEC filing
Jun 16, 2011	Amendment	$50,600,231	$500,001vs Jun 16, 2010	3	SEC filing
Jun 16, 2010	Initial	$50,100,230	No comparison	1	SEC filing

Offering details

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

Sales commissions: $6.92K (estimated)
Finders' fees: $0 (estimated)
Form D file number: 021-143603

The investment manager may pay brokers in Item 12 a percentage of management fees paid by investors solicited by such brokers. The amount reflects fees paid to date plus estimates of fees to be paid for the next year based on current invested capital.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
NEUBERGER BERMAN, LLC	2908
BARCLAYS CAPITAL INC.	19714

Source: Form D, filed Jun 14, 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

NEUBERGER BERMAN GTAA PENSION FUND I LTD

Investment adviser: NEUBERGER BERMAN INVESTMENT ADVISERS LLC

Gross asset value: $25.3M
Beneficial owners: 0
ADV minimum commitment: $500K

Reported in Form ADV on Jan 12, 2015. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator INTERNATIONAL FUND SERVICES (IRELAND) LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LTD. GRAND CAYMAN, Cayman Islands

Custodian CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States Related to adviser: No

Custodian J.P. MORGAN CHASE BANK N.A. NEW YORK, New York, United States Related to adviser: No

Custodian STATE STREET BANK & TRUST CO. BOSTON, Massachusetts, United States Related to adviser: No

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

Prime broker CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

CREDIT SUISSE SECURITIES (USA) LLC
SEC 8-422

NEUBERGER BERMAN LLC
CRD 2908 · SEC 801-3908

CREDIT SUISSE SECURITIES (USA) LLC
CRD 816 · SEC 8-422

Filing source

Form ADV 848301 · Jan 12, 2015 · Schedule D 7.B.(1), fund 805-6492960872

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 Amato	Director
Bradley Tank	Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

605 Third Avenue
New York, NY, 10158