Form D · Hedge Fund
PENN Capital Pioneer Energy Fund, L.P.
Philadelphia, PA · CIK 0001474376
Offering snapshot reported Dec 27, 2016 · SEC filing
- Reported sold
- $8.89M Indefinite offering
- Investors reported
- 28 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Oct 1, 2009 As reported in this filing
Fundraising history
Reported soldDates 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$4,273,407 → $8,891,921
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Dec 27, 2016 | Amendment | $8,891,921 | $4,618,514vs Mar 10, 2016 | 28 | SEC filing |
| Mar 10, 2016 | Amendment | $4,273,407 | $1,400,000vs Mar 16, 2015 | 28 | SEC filing |
| Mar 16, 2015 | Amendment | $2,873,407 | $2,349,000vs Mar 17, 2014 | 28 | SEC filing |
| Mar 17, 2014 | Amendment | $524,407 | $0vs Mar 15, 2013 | 13 | SEC filing |
| Mar 15, 2013 | Amendment | $524,407 | $0vs Mar 15, 2012 | 13 | SEC filing |
| Mar 15, 2012 | Amendment | $524,407 | $116,600vs Mar 14, 2011 | 13 | SEC filing |
| Mar 14, 2011 | Amendment | $407,807 | $0vs Mar 12, 2010 | 13 | SEC filing |
| Mar 12, 2010 | Amendment | $407,807 | $67,953vs Oct 15, 2009 | 13 | SEC filing |
| Oct 15, 2009 | Initial | $339,854 | No comparison | 12 | SEC filing |
Offering details
- Securities
- Pooled investment fund
- Exemptions
- 06b, 3C, 3C.1
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $0
- Finders' fees
- $0
- Form D file number
- 021-135327
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| SMH Capital Inc. | 20580 | |
| VSR Financial Services Incorporated | 14503 | |
| Carol Lefcourt | None | |
| Brinker Capital | 38123 | |
| Carlyle Wealth Management | None | |
| VSRFinancial Services Incorporated | 14503 |
Source: Form D, filed Dec 27, 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
PENN CAPITAL PIONEER ENERGY FUND LP
Investment adviser: PENN CAPITAL MANAGEMENT COMPANY, LLC
- Gross asset value
- $6.17M
- Beneficial owners
- 29
- ADV minimum commitment
- $1M
Reported in Form ADV on Mar 31, 2017. 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
- No
Filing source
Form ADV 1097580 · Mar 31, 2017 · Schedule D 7.B.(1), fund 805-8175290642
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 |
|---|---|
| Eric J. Green | Executive |
| Marcia A. Hocker | Director, Executive |
| Kimberly A. Hocker | Director |
| Kirsten A. Hocker | Director, Executive |
| Kimberley A. Hocker | Director |
| Richard A. Hocker | Director, Executive |
| Kristen A. Hocker | Director |
| Gerald Mc Bride | Executive |
| Peter Moran | Executive |
| Christian M. Noyes | Executive |
| Scott D. Schumacher | Executive |
| Scott D. Schumacher, Sr. | Executive |
| Jorge Paulo Silva | Executive |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Philadelphia, PA, 19112