Form D · Private Equity Fund
Octagon CLO Opportunity Fund IV (US) LP
New York, NY · CIK 0001888868
Offering snapshot reported Jan 11, 2022 · SEC filing
- Reported sold
- Yet to sell Offering amount: $500M
- Investors reported
- 0 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Yet to occur As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Jan 11, 2022 | Initial | Yet to sell | No comparison | 0 | SEC filing |
Offering details
- Securities
- Equity, Pooled investment fund
- Exemptions
- 06b, 3C, 3C.7
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $0 (estimated)
- Finders' fees
- $0
- Form D file number
- 021-428815
The investment manager may pay Conning between 0 and 33 1/3% of the management fees it receives. The investment manager will also pay Rockefeller a portion of the management fee it receives from investors Rockefeller introduces to the Issuer.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Conning Investment Products, Inc. | 120387 | |
| Rockefeller Financial LLC | 291361 |
Source: Form D, filed Jan 11, 2022. 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 OPPORTUNITY FUND IV (US) LP
Investment adviser: OCTAGON CREDIT INVESTORS, LLC
- Gross asset value
- Not reported
- Beneficial owners
- Not reported
- ADV minimum commitment
- Not reported
Reported in Form ADV on Jan 7, 2025. Fund assets and beneficial owners measure different things from Form D sales and investors.
Service providers
No provider names available in this fund's imported disclosure.
Provider details
- Annual audit
- Not reported
- Prime brokers
- Not reported
- Custodians
- Not reported
- Administrator other than the adviser
- Not reported
- External marketing
- Not reported
Filing source
Form ADV 1922743 · Jan 7, 2025 · Schedule D 7.B.(1), fund 805-1282398335
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.
| Name | Reported role |
|---|---|
| Thomas A. Connors | Executive |
| Andrew D. Gordon | Executive |
| Michael B. Nechamkin | Executive |
| N/A Octagon Funds Gp Llc | Promoter |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:New York, NY, 10177