Form D · Hedge Fund
PIMCO Private Funds LLC - PIMCO Broad Market StocksPLUS Total Return Fund
Newport Beach, CA · CIK 0001333096
Offering snapshot reported Mar 27, 2012 · SEC filing
- Reported sold
- $298M Indefinite offering
- Investors reported
- 17 Form D · investor count
- Minimum accepted
- $5M Reported outside-investor minimum
- First sale
- Jun 30, 2005 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 |
|---|---|---|---|---|---|
| Mar 27, 2012 | Amendment | $297,887,979 | $0vs Mar 30, 2011 | 17 | SEC filing |
| Mar 30, 2011 | Amendment | $297,887,979 | -$21vs Mar 30, 2010 | 17 | SEC filing |
| Mar 30, 2010 | Amendment | $297,888,000 | $7,359,000vs Apr 8, 2009 | 5 | SEC filing |
| Apr 8, 2009 | Amendment | $290,529,000 | No comparison | Not reported | SEC filing |
| Jul 13, 2005 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Pooled investment fund
- Exemptions
- 06, 3C, 3C.7
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $0
- Finders' fees
- $0
- Form D file number
- 021-79041
OFFERS AND SALES OF LIMITED LIABILITY COMPANY INTERESTS IN 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 Mar 27, 2012. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
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 |
|---|---|
| Tammie J. Arnold | Executive |
| Vineer Bhansali | Executive |
| Jennifer S. Bridwell | Executive |
| Sabrina C. Callin | Executive |
| Wendy W. Cupps | Executive |
| Suhail H. Dada | Executive |
| Craig A. Dawson | Executive |
| William G. De Leon | Executive |
| Chris P. Dialynas | Executive |
| Jennifer E. Durham | Executive |
| Mohamed A. El Erian | Executive |
| David C. Flattum | Executive |
| Michael A. Gomez | Executive |
| William H. Gross | Executive |
| Brent R. Harris | Executive |
| Douglas M. Hodge | Executive |
| Brent L. Holden | Executive |
| Daniel J. Ivascyn | Executive |
| Lew W. Jacobs Iv | Executive |
| Neel T. Kashkari | Executive |
| Mark R. Kiesel | Executive |
| Charles Matthew Lahr | Executive |
| David C. Lown | Executive |
| Scott A. Mather | Executive |
| Ravinder Kumar Mattu | Executive |
| Paul A. Mc Culley | Executive |
| Curtis A. Mewbourne | Executive |
| John M. Miller | Executive |
| Eric J. Mogelof | Executive |
| James F. Moore | Executive |
| James F. Muzzy | Executive |
| Douglas J. Ongaro | Executive |
| Thomas J. Otterbein | Executive |
| N/A Pacific Investment Management Company Llc | Promoter |
| Saumil H. Parikh | Executive |
| William C. Powers | Executive |
| Stephen A. Rodosky | Executive |
| Ernest L. Schmider | Executive |
| Marc Peter Seidner | Executive |
| Jonathan D. Short | Executive |
| W. Scott Simon | Executive |
| Thibault C. Stracke | Executive |
| Peter G. Strelow | Executive |
| Qi Wang | Executive |
| Richard M. Weil | Executive |
| Susan L. Wilson | Executive |
| Mihir P. Worah | Executive |
| Changhong Zhu | Executive |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Newport Beach, CA, 92660