Form D · Other Investment Fund
Penn Capital Defensive High Yield Fund, L.P.
Philadelphia, PA · CIK 0001303678
Offering snapshot reported Apr 26, 2021 · SEC filing
- Reported sold
- $536M Indefinite offering
- Investors reported
- Not reported Form D · investor count
- Minimum accepted
- Not reported Reported outside-investor minimum
- First sale
- Not reported As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
Scroll to see all columns →
| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Apr 26, 2021 | Amendment | $535,582,446 | No comparison | Not reported | SEC filing |
| Dec 9, 2019 | Amendment | $525,712,446 | $1,884,325vs Dec 14, 2018 | 109 | SEC filing |
| Dec 14, 2018 | Amendment | $523,828,121 | $25,579,887vs Dec 26, 2017 | 109 | SEC filing |
| Dec 26, 2017 | Amendment | $498,248,234 | $8,600,000vs Dec 27, 2016 | 109 | SEC filing |
| Dec 27, 2016 | Amendment | $489,648,234 | $114,225,623vs Mar 10, 2016 | 109 | SEC filing |
| Mar 10, 2016 | Amendment | $375,422,611 | $12,430,157vs Mar 16, 2015 | 102 | SEC filing |
| Mar 16, 2015 | Amendment | $362,992,454 | $5,700,000vs Mar 17, 2014 | 102 | SEC filing |
| Mar 17, 2014 | Amendment | $357,292,454 | $42,607,378vs Mar 15, 2013 | 99 | SEC filing |
| Mar 15, 2013 | Amendment | $314,685,076 | $69,100,765vs Mar 15, 2012 | 97 | SEC filing |
| Mar 15, 2012 | Amendment | $245,584,311 | $41,283,321vs Mar 14, 2011 | 91 | SEC filing |
| Mar 14, 2011 | Amendment | $204,300,990 | $15,081,518vs Mar 12, 2010 | 84 | SEC filing |
| Mar 12, 2010 | Amendment | $189,219,472 | No comparison | 72 | SEC filing |
Offering details
- Securities
- Not reported
- Exemptions
- Not reported
- Duration over one year
- Not reported
- Business combination
- Not reported
- Sales commissions
- Not reported
- Finders' fees
- Not reported
- Form D file number
- 021-69509
Source: Form D, filed Apr 26, 2021. 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
PENN CAPITAL DEFENSIVE HIGH YIELD FUND, L.P.
Investment adviser: PENN CAPITAL MANAGEMENT COMPANY, LLC
- Gross asset value
- $249M
- Beneficial owners
- 33
- ADV minimum commitment
- $1M
Reported in Form ADV on Aug 11, 2021. Fund assets and beneficial owners measure different things from Form D sales and investors.
Service providers
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- Yes
EISNERAMPER LLP
PCAOB 274
BRINKER CAPITAL SECURITIES, LLC
CRD 38123 · SEC 8-48110
JOSEPH GRACE HOLDINGS, INC.
CRD 103580
THE STRATEGIC FINANCIAL ALLIANCE
CRD 126514 · SEC 801-62226
Filing source
Form ADV 1557873 · Aug 11, 2021 · Schedule D 7.B.(1), fund 805-8376006280
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 |
|---|---|
| Peter Duffy | Executive |
| Eric J.. Green | Executive |
| Kimberly A. Hocker | Director |
| Kirstin A. Hocker | Director |
| Richard A. Hocker | Executive |
| Marcia A. Hocker | Executive |
| Kimberley A. Hocker | Director |
| Kirsten A. Hocker | Executive |
| Martin Keane | Executive |
| Joseph Maguire | Executive |
| Lisa Matson | Executive |
| Gerald Mc Bride | Executive |
| Joseph Mc Donnell | Executive |
| Peter Moran | Executive |
| Christian M. Noyes | Executive |
| Scott D. Schumacher | Director, Executive |
| Scott D. Schumacher, Sr. | Executive |
| Jorge Paulo Silva | Executive |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Philadelphia, PA, 19112