Form D · Hedge Fund

PHFS II SP, A Segregated Portfolio of PHFS Series SPC

Newport Beach, CA · CIK 0001647780

Offering snapshot reported Dec 8, 2017 · SEC filing

Reported sold: $302M
Investors reported: 6
Minimum accepted: $0
First sale: Jul 1, 2015

Fundraising history

Reported sold

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

Scroll to see all columns →

Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Dec 8, 2017	Amendment	$301,500,016	$0vs Dec 2, 2016	6	SEC filing
Dec 2, 2016	Amendment	$301,500,016	$49,149,516vs Nov 16, 2015	6	SEC filing
Nov 16, 2015	Amendment	$252,350,500	-$212,649,500vs Jul 21, 2015	5	SEC filing
Jul 21, 2015	Initial	$465,000,000	No comparison	8	SEC filing

Offering details

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

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-244173

OFFERS AND SALES OF THE FUND WILL BE MADE BY AND THROUGH PIMCO INVESTMENTS LLC. HOWEVER, PIMCO INVESTMENTS LLC WILL NOT RECEIVE ANY SALES COMMISSIONS FOR ITS SERVICES.

Sales compensation recipients

Scroll to see all columns →

Recipient	CRD	Associated broker-dealer
PIMCO INVESTMENTS LLC	154957

Source: Form D, filed Dec 8, 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

PHFS II SP, A SEGREGATED PORTFOLIO OF PHFS SERIES SPC

Investment adviser: PACIFIC INVESTMENT MANAGEMENT COMPANY LLC

Gross asset value: $296M
Beneficial owners: 5
ADV minimum commitment: $1M

Reported in Form ADV on Nov 29, 2017. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator BROWN BROTHERS HARRIMAN & CO BOSTON, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS LLP GEORGETOWN, GRAND CANYON, Cayman Islands

Custodian BROWN BROTHERS HARRIMAN & CO BOSTON, Massachusetts, United States Related to adviser: No

Marketer PIMCO INVESTMENTS LLC NEW YORK, New York, United States Related to adviser: No

Prime broker GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States

Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

PRICEWATERHOUSECOOPERS LLP
PCAOB 1266

PIMCO INVESTMENTS LLC
CRD 154957 · SEC 8-68686

GOLDMAN SACHS & CO. LLC
CRD 361 · SEC 8-129

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Filing source

Form ADV 1152342 · Nov 29, 2017 · Schedule D 7.B.(1), fund 805-1849763165

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
Jamil Baz	Executive
Vineer Bhansali	Executive
David L. Braun	Executive
Jennifer S. Bridwell	Executive
Sabrina C. Callin	Executive
Richard H. Clarida	Executive
Michael A. Cudzil	Executive
Wendy W. Cupps	Executive
Craig A. Dawson	Executive
William G. De Leon	Executive
Edward Devlin	Executive
Chris P. Dialynas	Executive
Jennifer E. Durham	Executive
Mohsen Fahmi	Executive
Joachim Fels	Executive
David N. Fisher Iii	Executive
David C. Flattum	Executive
Michael A. Gomez	Executive
Sachin Gupta	Executive
Gregory W. Hall	Executive
Brent R. Harris	Executive
Douglas M. Hodge	Executive
Brent L. Holden	Executive
Jonathan L. Horne	Executive
Daniel H. Hyman	Executive
Daniel J. Ivascyn	Executive
Lew W. Jacobs Iv	Executive
Andrew R. Jessop	Executive
Nicholas J. Johnson	Executive
Mark R. Kiesel	Executive
John J. Kirkowski	Executive
Kimberley Grace Korinke	Executive
Richard R. Lebrun Jr	Executive
Richard R. Lebrun Jr.	Executive
David C. Lown	Executive
Sudesh N. Mariappa	Executive
Rene Martel	Executive
Scott A. Mather	Executive
Ravi Mattu	Executive
Curtis A. Mewbourne	Executive
Mohit Mittal	Executive
Eric J. Mogelof	Executive
James F. Moore	Executive
Alfred T. Murata	Executive
John W. Murray	Executive
Robin C. Nabors	Executive
Roger O. Nieves	Executive
Julie O'hara	Director
Douglas J. Ongaro	Executive
Thomas J. Otterbein	Executive
N/A Pacific Investment Management Company Llc	Promoter
Stephen A. Rodosky	Executive
Emmanuel Roman	Executive
Jerome M. Schneider	Executive
Marc P. Seidner	Executive
Robin C. Shanahan	Executive
Jonathan D. Short	Executive
Cathleen M. Stahl	Executive
Thibault Christian Stracke	Executive
Peter G. Strelow	Executive
Eric M. Sutherland	Executive
Joshua T. Thimons	Executive
Andrew Taylor Vaden	Executive
Qi Wang	Executive
Candice Stack Whitten	Executive
Susan L. Wilson	Executive
Michelle Wilson Clarke	Director
Mihir P. Worah	Executive
Robert O. Young	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

650 Newport Center Drive
Newport Beach, CA, 92660