Form D · Other Investment Fund

Octagon CLO Debt Fund II LP

New York, NY · CIK 0001668636

Offering snapshot reported Aug 29, 2016 · SEC filing

Reported sold
$25.2M
Offering amount: $200M
Investors reported
3
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Feb 19, 2016
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$12.6M$25.2MMar 7, 2016: $25,200,000.00Mar 7, 2016Aug 29, 2016: $25,200,000.00Aug 29, 2016

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
Aug 29, 2016Amendment$25,200,000$0vs Mar 7, 20163SEC filing
Mar 7, 2016Initial$25,200,000No comparison3SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
No
Business combination
No
Sales commissions
$1K (estimated)
Finders' fees
$0
Form D file number
021-258676
The investment manager will pay the broker dealer 1% of the management fees it receives. The final amount is contingent on the total amount of securities the issuer sells annually.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
N/ANoneConning Investment Products, Inc. · CRD 120387

Source: Form D, filed Aug 29, 2016. 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

OCTAGON CLO DEBT FUND II LP

Investment adviser: OCTAGON CREDIT INVESTORS, LLC

Gross asset value
$25.3M
Beneficial owners
3
ADV minimum commitment
$5M

Reported in Form ADV on Aug 15, 2016. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator U.S. BANCORP FUND SERVICES, LTD. WEST BAY, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG LLP NEW YORK, New York, United States
Custodian U.S. BANK, NATIONAL ASSOCIATION MINNEAPOLIS, Minnesota, United States Related to adviser: No
Marketer CONNING INVESTMENT PRODUCTS, INC. HARTFORD, Connecticut, 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

CONNING INVESTMENT PRODUCTS, INC.
CRD 120387 · SEC 801-79816

Filing source

Form ADV 1033977 · Aug 15, 2016 · Schedule D 7.B.(1), fund 805-8467342409

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
Lauren M. Basmadjian Executive
Thomas A. Connors Executive
George A. Duarte Executive
John A. Dudzik Executive
Andrew D. Gordon Executive
Gretchen M. Lam Executive
Octagon Credit Investors Llc Executive
Octagon Funds Gp Ii Llc Executive
Michael B. Nechamkin Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
250 Park Avenue, 15 Th Floor
New York, NY, 10177