Form D · Hedge Fund

PALO ALTO SMALL CAP FUND LP

Palo Alto, CA · CIK 0001137947

Offering snapshot reported Apr 17, 2012 · SEC filing

Reported sold
$375M
Offering amount: $500M
Investors reported
257
Form D · investor count
Minimum accepted
$1M
Reported outside-investor minimum
First sale
Jul 1, 2002
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$188M$375MMar 24, 2010: $370,991,442.00Mar 24, 2010Apr 15, 2011: $374,036,143.00Apr 15, 2011Apr 17, 2012: $375,336,143.00Apr 17, 2012

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$374,036,143 → $375,336,143
  • Reported investors256 → 257

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Apr 17, 2012Amendment$375,336,143$1,300,000vs Apr 15, 2011257SEC filing
Apr 15, 2011Amendment$374,036,143$3,044,701vs Mar 24, 2010256SEC filing
Mar 24, 2010Amendment$370,991,442No comparison256SEC filing

Offering details

Securities
Pooled investment fund, Other
Exemptions
06, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$0 (estimated)
Finders' fees
$0 (estimated)
Form D file number
021-62135
Limited partner interests
The issuer does not pay any sales commissions or finders' fees expenses. The general partner of the issuer pays a portion of the management fees it receives from the issuer to Citigroup World Markets Inc. and Morgan Stanley Smith Barney LLC.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Citigroup Global Markets Inc.7059
Morgan Stanley Smith Barney LLC149777

Source: Form D, filed Apr 17, 2012. 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

PALO ALTO SMALL CAP FUND, L.P.

Investment adviser: PALO ALTO INVESTORS LP

Gross asset value
Not reported
Beneficial owners
Not reported
ADV minimum commitment
Not reported

Reported in Form ADV on Mar 17, 2017. 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 1078414 · Mar 17, 2017 · Schedule D 7.B.(1), fund 805-9195984064

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
William L. Edwards Executive, Promoter
N/A Palo Alto Investors, Llc Executive, Promoter
Mark Shamia Executive, Promoter
Anthony Joon Yun Executive, Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
470 University Avenue
Palo Alto, CA, 94301