Form D · Hedge Fund
PIMCO Emerging Markets StocksPLUS AR Fund LLC
Newport Beach, CA · CIK 0001637307
Offering snapshot reported Dec 10, 2018 · SEC filing
- Reported sold
- $440M Indefinite offering
- Investors reported
- 1 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Mar 31, 2015 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 10, 2018 | Amendment | $440,010,000 | $0vs Dec 8, 2017 | 1 | SEC filing |
| Dec 8, 2017 | Amendment | $440,010,000 | $0vs Dec 6, 2016 | 1 | SEC filing |
| Dec 6, 2016 | Amendment | $440,010,000 | $0vs Nov 16, 2015 | 1 | SEC filing |
| Nov 16, 2015 | Amendment | $440,010,000 | $240,000,000vs Apr 15, 2015 | 1 | SEC filing |
| Apr 15, 2015 | Initial | $200,010,000 | No comparison | 2 | 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
- 021-238014
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
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| PIMCO INVESTMENTS LLC | 154957 |
Source: Form D, filed Dec 10, 2018. 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
PIMCO EMERGING MARKETS STOCKSPLUS AR FUND LLC
Investment adviser: PACIFIC INVESTMENT MANAGEMENT COMPANY LLC
- Gross asset value
- $751M
- Beneficial owners
- 2
- ADV minimum commitment
- $5M
Reported in Form ADV on May 29, 2019. Fund assets and beneficial owners measure different things from Form D sales and investors.
Service providers
Provider details
- Annual audit
- Yes
- Prime brokers
- Yes
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- Yes
PRICEWATERHOUSECOOPERS LLP
PCAOB 238
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 1309197 · May 29, 2019 · Schedule D 7.B.(1), fund 805-7397489043
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 |
|---|---|
| Joshua M. Anderson | Executive |
| Jamil Baz | Executive |
| Vineer Bhansali | Executive |
| David L. Braun | Executive |
| Jennifer S. Bridwell | Executive |
| Erin Browne | Executive |
| Sabrina C. Callin | Executive |
| Elizabeth Davis Cantrill | Executive |
| Ricki Chan | Executive |
| Richard H. Clarida | Executive |
| Rich Clarida | Executive |
| Michael Anthony Cudzil | Executive |
| Wendy W. Cupps | Executive |
| Suhail H. Dada | Executive |
| Joshua M. Davis | 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 Fisher | Executive |
| David N. Fisher Iii | Executive |
| David C. Flattum | Executive |
| Russell D. Gannaway | Executive |
| Michael A. Gomez | Executive |
| Sachin Gupta | Executive |
| Gregory Weston Hall | Executive |
| Brent Richard Harris | Executive |
| Douglas M. Hodge | Executive |
| Brent L. Holden | Executive |
| Jonathan Lane Horne | Executive |
| Daniel Herbert Hyman | Executive |
| Daniel J. Ivascyn | Executive |
| Lew W. Jacobs Iv | Executive |
| Andrew Richard Jessop | Executive |
| Nicholas J. Johnson | Executive |
| Alejandro Kersman | Executive |
| Mark R. Kiesel | Executive |
| John Jeffrey Kirkowski | Executive |
| Kimberley Grace Korinke | Executive |
| Rick Lebrun | Executive |
| Richard R. Lebrun Jr. | Executive |
| David C. Lown | Executive |
| Dirk Maxmillian Manelski | Executive |
| Sudesh N. Mariappa | Executive |
| Rene Martel | Executive |
| Scott A. Mather | Executive |
| Ravi Mattu | Executive |
| Julie Ann Meggers | Executive |
| Curtis A. Mewbourne | Executive |
| John M. Miller | Executive |
| Mohit Mittal | Executive |
| Eric J. Mogelof | Executive |
| James F. Moore | Executive |
| Alfred T. Murata | Executive |
| John William Murray | Executive |
| Robin C. Nabors | Executive |
| Roger O. Nieves | Executive |
| 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 Peter Seidner | Executive |
| Robin Christine Shanahan | Executive |
| Jonathan D. Short | Executive |
| Kim Stafford | Executive |
| Cathleen Meere Stahl | Executive |
| Thibault Christian Stracke | Executive |
| Peter G. Strelow | Executive |
| John Joseph Studzinski | Executive |
| Sung Hee Suh | Executive |
| Eric Michael Sutherland | Executive |
| Joshua Theodore Thimons | Executive |
| Andrew Taylor Vaden | Executive |
| Qi Wang | Executive |
| Candice Stack Whitten | Executive |
| Susan L. Wilson | Executive |
| Mihir P. Worah | Executive |
| Robert O. Young | Executive |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Newport Beach, CA, 92660