Form D · Other Investment Fund

PENN CORE HIGH YIELD BOND FUND LP

Philadelphia, PA · CIK 0001216123

Offering snapshot reported Dec 9, 2019 · SEC filing

Reported sold
$169M
Indefinite offering
Investors reported
203
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Jan 31, 2003
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$84.3M$169MMar 12, 2010: $77,717,105.00Mar 12, 2010Mar 14, 2011: $81,761,540.00Mar 15, 2012: $85,844,245.00Mar 15, 2013: $140,936,531.00Mar 17, 2014: $163,490,651.00Mar 16, 2015: $163,590,651.00Mar 10, 2016: $164,126,664.00Dec 27, 2016: $167,994,132.00Dec 26, 2017: $167,994,132.00Dec 14, 2018: $168,510,199.00Dec 9, 2019: $168,510,199.00Dec 9, 2019

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.

No comparable changes in the displayed metrics.

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Dec 9, 2019Amendment$168,510,199$0vs Dec 14, 2018203SEC filing
Dec 14, 2018Amendment$168,510,199$516,067vs Dec 26, 2017203SEC filing
Dec 26, 2017Amendment$167,994,132$0vs Dec 27, 2016203SEC filing
Dec 27, 2016Amendment$167,994,132$3,867,468vs Mar 10, 2016203SEC filing
Mar 10, 2016Amendment$164,126,664$536,013vs Mar 16, 2015203SEC filing
Mar 16, 2015Amendment$163,590,651$100,000vs Mar 17, 2014203SEC filing
Mar 17, 2014Amendment$163,490,651$22,554,120vs Mar 15, 2013201SEC filing
Mar 15, 2013Amendment$140,936,531$55,092,286vs Mar 15, 2012200SEC filing
Mar 15, 2012Amendment$85,844,245$4,082,705vs Mar 14, 2011184SEC filing
Mar 14, 2011Amendment$81,761,540$4,044,435vs Mar 12, 2010173SEC filing
Mar 12, 2010Amendment$77,717,105No comparison160SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.1
Duration over one year
Yes
Business combination
No
Sales commissions
$854K (estimated)
Finders' fees
$0
Form D file number
021-52250

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
SMH Capital Inc.20580
Christianson Investment PartnersNone
Carol LefcourtNone
Brinker Capital38123
Carlyle Wealth ManagementNone
VSRFinancial Services Incorporated14503
Joseph Grace Holdings, Inc.103580
Strategic Financial Alliance Inc.126514

Source: Form D, filed Dec 9, 2019. 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 CORE HIGH YIELD BOND FUND LP

Investment adviser: PENN CAPITAL MANAGEMENT COMPANY, LLC

Gross asset value
$4.43M
Beneficial owners
23
ADV minimum commitment
$100K

Reported in Form ADV on Jun 15, 2020. 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 BRINKER CAPITAL SECURITIES, INC. BERWYN, Pennsylvania, United States Related to adviser: No
Marketer JOSEPH GRACE HOLDINGS, INC. NEW YORK, New York, United States Related to adviser: No
Marketer THE STRATEGIC FINANCIAL ALLIANCE ATLANTA, Georgia, 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

BRINKER CAPITAL SECURITIES, INC.
CRD 38123 · SEC 8-48110

JOSEPH GRACE HOLDINGS, INC.
CRD 103580

THE STRATEGIC FINANCIAL ALLIANCE
CRD 126514 · SEC 801-62226

Filing source

Form ADV 1430319 · Jun 15, 2020 · Schedule D 7.B.(1), fund 805-4753068653

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
Peter Duffy Executive
Eric J. Green Executive
Kimberly A. Hocker Director
Kirsten A. Hocker Director, Executive
Richard A. Hocker Director, Executive
Marcia A. Hocker Director, Executive
Kimberley A. Hocker Director
Martin Keane Executive
Lisa Matson Executive
Gerald Mc Bride Director, 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:
1200 Intrepid Avenue Suite 400
Philadelphia, PA, 19112