Form D · Hedge Fund

PENN SMALL TO MID CAP EQUITY FUND LP

Philadelphia, PA · CIK 0001461230

Offering snapshot reported Mar 16, 2015 · SEC filing

Reported sold
$82M
Indefinite offering
Investors reported
101
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Feb 21, 1993
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$41M$82MMar 12, 2010: $71,703,280.00Mar 12, 2010Mar 14, 2011: $72,811,807.00Mar 14, 2011Mar 15, 2012: $76,571,357.00Mar 15, 2012Mar 15, 2013: $80,198,118.00Mar 15, 2013Mar 17, 2014: $81,926,118.00Mar 17, 2014Mar 16, 2015: $81,954,118.00Mar 16, 2015

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.

  • Reported sold$81,926,118 → $81,954,118
  • Reported investors98 → 101

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Mar 16, 2015Amendment$81,954,118$28,000vs Mar 17, 2014101SEC filing
Mar 17, 2014Amendment$81,926,118$1,728,000vs Mar 15, 201398SEC filing
Mar 15, 2013Amendment$80,198,118$3,626,761vs Mar 15, 201293SEC filing
Mar 15, 2012Amendment$76,571,357$3,759,550vs Mar 14, 201193SEC filing
Mar 14, 2011Amendment$72,811,807$1,108,527vs Mar 12, 201089SEC filing
Mar 12, 2010Amendment$71,703,280No comparison87SEC 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
$50K (estimated)
Form D file number
021-129880

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Christenson Investment PartnersNone
SMH Capital Inc.20580
VSR Financial Services Incorporated14503

Source: Form D, filed Mar 16, 2015. 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 SMALL TO MID CAP EQUITY FUND LP

Investment adviser: PENN CAPITAL MANAGEMENT COMPANY, LLC

Gross asset value
$14.8M
Beneficial owners
34
ADV minimum commitment
$100K

Reported in Form ADV on Jun 8, 2015. 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 JENKINTOWN, Pennsylvania, United States
Custodian U.S. BANK INSTITUTIONAL TRUST & CUSTODY CINCINNATI, Ohio, United States Related to adviser: No
Marketer VSR ADVISORY SERVICES OVERLAND PARK, Kansas, 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

VSR ADVISORY SERVICES
CRD 14503 · SEC 801-61672

Filing source

Form ADV 927667 · Jun 8, 2015 · Schedule D 7.B.(1), fund 805-4729267742

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
Eric J. Green Executive
Marcia A. Hocker Director, Executive
Kimberly A. Hocker Director
Kirsten A. Hocker Director
Richard A. Hocker Director, Executive
Gerald Mc Bride Executive
Christian M. Noyes Executive
Scott D. Schumacher, Sr. Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
Navy Yard Corporate Center 3 Crescent Drive, Suite 400
Philadelphia, PA, 19112