Form D · Hedge Fund
Penn Mid Cap Equity Fund, L.P.
Philadelphia, PA · CIK 0001481060
Offering snapshot reported Dec 26, 2017 · SEC filing
- Reported sold
- $25.2M Indefinite offering
- Investors reported
- 50 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Oct 26, 2000 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.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Dec 26, 2017 | Amendment | $25,165,025 | $0vs Dec 27, 2016 | 50 | SEC filing |
| Dec 27, 2016 | Amendment | $25,165,025 | $0vs Mar 11, 2016 | 50 | SEC filing |
| Mar 11, 2016 | Amendment | $25,165,025 | $1,000,000vs Mar 16, 2015 | 50 | SEC filing |
| Mar 16, 2015 | Amendment | $24,165,025 | -$711,175vs Mar 17, 2014 | 50 | SEC filing |
| Mar 17, 2014 | Amendment | $24,876,200 | $345,000vs Mar 15, 2013 | 48 | SEC filing |
| Mar 15, 2013 | Amendment | $24,531,200 | $464,550vs Mar 15, 2012 | 46 | SEC filing |
| Mar 15, 2012 | Amendment | $24,066,650 | $230,000vs Mar 14, 2011 | 42 | SEC filing |
| Mar 14, 2011 | Amendment | $23,836,650 | $0vs Mar 12, 2010 | 41 | SEC filing |
| Mar 12, 2010 | Amendment | $23,836,650 | -$263,350vs Jan 22, 2010 | 41 | SEC filing |
| Jan 22, 2010 | Initial | $24,100,000 | No comparison | 49 | 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
- $5.87K (estimated)
- Form D file number
- 021-138066
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| SMH Capital Inc. | 20580 | |
| Christenson Investment Partners | None | |
| VSR Financial Services Incorporated | 14503 |
Source: Form D, filed Dec 26, 2017. 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 MID CAP EQUITY FUND LP
Investment adviser: PENN CAPITAL MANAGEMENT COMPANY, LLC
- Gross asset value
- $3.16M
- Beneficial owners
- 17
- ADV minimum commitment
- $3.34M
Reported in Form ADV on Mar 30, 2018. 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
EISNERAMPER LLP
PCAOB 274
Filing source
Form ADV 1190545 · Mar 30, 2018 · Schedule D 7.B.(1), fund 805-5617882713
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 |
| Richard A. Hocker | Director, Executive |
| Kimberly A. Hocker | Director |
| Kirstin A. Hocker | Director |
| Kristin A. Hocker | Director |
| Kimberley A. Hocker | Director |
| Kirsten A. Hocker | Director, Executive |
| Gerald M. 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:Philadelphia, PA, 19112