Form D · Other Investment Fund

Penn Capital Multi-Sector Spectrum Income Fund, L.P.

Philadelphia, PA · CIK 0001610555

Offering snapshot reported Dec 14, 2018 · SEC filing

Reported sold: Yet to sell
Investors reported: 0
Minimum accepted: $1M
First sale: Yet to occur

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	Source
Dec 14, 2018	Amendment	Yet to sell	No comparison	SEC filing
Dec 26, 2017	Amendment	Yet to sell	No comparison	SEC filing
Nov 7, 2017	Amendment	Yet to sell	No comparison	SEC filing
Nov 7, 2016	Initial	Yet to sell	No comparison	SEC filing

Offering details

Securities: Equity, Pooled investment fund
Exemptions: 06c, 3C, 3C.7
Duration over one year: Yes
Business combination: No

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-273935

Source: Form D, filed Dec 14, 2018. 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 MULTI-SECTOR SPECTRUM INCOME FUND, L.P.

Investment adviser: PENN CAPITAL MANAGEMENT COMPANY, LLC

Gross asset value: $3.96M
Beneficial owners: 1
ADV minimum commitment: $1M

Reported in Form ADV on Mar 29, 2019. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator US BANCORP FUND SERVICES, LLC MILWAUKEE, Wisconsin, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor EISNERAMPER LLP PHILADELPHIA, Pennsylvania, United States

Custodian U.S. BANK INSTITUTIONAL TRUST & CUSTODY CINCINNATI, Ohio, United States Related to adviser: No

Marketer JOSEPH GRACE HOLDINGS, INC. 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: Yes
External marketing: Yes

EISNERAMPER LLP
PCAOB 274

JOSEPH GRACE HOLDINGS, INC.
CRD 103580

Filing source

Form ADV 1293986 · Mar 29, 2019 · Schedule D 7.B.(1), fund 805-6614411636

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
Name	Reported role
Company, Inc. Penn Capital Management	Director, Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

1200 Intrepid Avenue Suite 400
Philadelphia, PA, 19112