Form D · Other Investment Fund

Neuberger Berman Senior Floating Rate Income Fund LLC

Chicago, IL · CIK 0001576161

Offering snapshot reported Jan 14, 2020 · SEC filing

Reported sold
$619M
Indefinite offering
Investors reported
3
Form D · investor count
Minimum accepted
$20M
Reported outside-investor minimum
First sale
May 2, 2013
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$310M$619MMay 14, 2013: $310,000,000.00May 14, 2013May 14, 2014: $347,316,627.00May 8, 2015: $347,316,627.00Jan 12, 2016: $347,316,627.00Jan 18, 2018: $619,407,353.00Jan 15, 2019: $619,407,353.00Jan 14, 2020: $619,407,353.00Jan 14, 2020

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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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jan 14, 2020Amendment$619,407,353$0vs Jan 15, 20193SEC filing
Jan 15, 2019Amendment$619,407,353$0vs Jan 18, 20183SEC filing
Jan 18, 2018Amendment$619,407,353$272,090,726vs Jan 12, 20163SEC filing
Jan 12, 2016Amendment$347,316,627$0vs May 8, 20152SEC filing
May 8, 2015Amendment$347,316,627$0vs May 14, 20142SEC filing
May 14, 2014Amendment$347,316,627$37,316,627vs May 14, 20132SEC filing
May 14, 2013Initial$310,000,000No comparison2SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-196418
Item 13(b) excludes redemptions.

Source: Form D, filed Jan 14, 2020. 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 SENIOR FLOATING RATE INCOME FUND LLC

Investment adviser: NEUBERGER BERMAN INVESTMENT ADVISERS LLC

Gross asset value
$612K
Beneficial owners
0
ADV minimum commitment
$20M

Reported in Form ADV on Feb 26, 2021. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator U.S. BANCORP FUND SERVICES, LLC MILWAUKEE, Wisconsin, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ERNST & YOUNG LTD GRAND CAYMAN, Cayman Islands
Custodian U.S. BANK NATIONAL ASSOCIATION 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
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

ERNST & YOUNG LTD
PCAOB 1655

U.S. BANK NATIONAL ASSOCIATION
LEI 6BYL5QZYBDK8S7L73M02

NEUBERGER BERMAN BD LLC
CRD 2908 · SEC 801-3908

Filing source

Form ADV 1500634 · Feb 26, 2021 · Schedule D 7.B.(1), fund 805-8470439942

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

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
190 South Lasalle Street Suite 2400
Chicago, IL, 60603