Form D · Private Equity Fund

NYLCAP Mezzanine Partners III, LP

New York, NY · CIK 0001482545

Offering snapshot reported Jul 19, 2011 · SEC filing

Reported sold
$485M
Offering amount: $1B
Investors reported
12
Form D · investor count
Minimum accepted
$1
Reported outside-investor minimum
First sale
Apr 16, 2011
As reported in this filing

What changed?

Latest filing versus its linked predecessor, where available.

  • Reported investors0 → 12

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jul 19, 2011Amendment$485,000,000No comparison12SEC filing
Feb 19, 2010InitialYet to sellNo comparison0SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$1.5M (estimated)
Finders' fees
$0
Form D file number
021-138863

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Equus Financial Consulting LLC131449
NYLIFE Distributors LLC35350

Source: Form D, filed Jul 19, 2011. 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

NYLCAP MEZZANINE PARTNERS III, LP

Investment adviser: APOGEM CAPITAL LLC

Gross asset value
$199M
Beneficial owners
32
ADV minimum commitment
$10M

Reported in Form ADV on Jun 19, 2020. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Auditor PRICEWATERHOUSECOOPERS LLP NEW YORK, New York, United States
Custodian BANK OF NEW YORK NEW YORK, New York, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

PRICEWATERHOUSECOOPERS LLP
PCAOB 238

Filing source

Form ADV 1431174 · Jun 19, 2020 · Schedule D 7.B.(1), fund 805-2475516496

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
David L. Bangs Executive
James M. Barker, V Executive
Robert M. Barrack Executive
Steven M. Benevento Executive
Thomas M. Haubenstricker Executive
Amanda Parness Executive
Susan Ruskin Executive
John E. Schumacher Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
51 Madison Avenue 16 Th Floor
New York, NY, 10010