Form D · Hedge Fund

PIMCO TAIL RISK HEDGING DECEMBER ONSHORE FUND LLC

Newport Beach, CA · CIK 0001571428

Offering snapshot reported Dec 11, 2018 · SEC filing

Reported sold: $2.3M
Investors reported: 12
Minimum accepted: $0
First sale: Feb 22, 2013

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.

Reported sold$2,069,664 → $2,296,500
Reported investors10 → 12

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Dec 11, 2018	Amendment	$2,296,500	$226,836vs Dec 8, 2017	12	SEC filing
Dec 8, 2017	Amendment	$2,069,664	$0vs Dec 2, 2016	10	SEC filing
Dec 2, 2016	Amendment	$2,069,664	$876,946vs Nov 20, 2015	10	SEC filing
Nov 20, 2015	Amendment	$1,192,718	$526,369vs Nov 13, 2014	9	SEC filing
Nov 13, 2014	Amendment	$666,349	$234,913vs Mar 10, 2014	6	SEC filing
Mar 10, 2014	Amendment	$431,436	$148,710vs Mar 8, 2013	6	SEC filing
Mar 8, 2013	Initial	$282,726	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: 021-192966

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 Dec 11, 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 TAIL RISK HEDGING DECEMBER ONSHORE FUND LLC

Investment adviser: PACIFIC INVESTMENT MANAGEMENT COMPANY LLC

Gross asset value: $0
Beneficial owners: 2
ADV minimum commitment: $0

Reported in Form ADV on Mar 1, 2019. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator STATE STREET BANK AND TRUST COMPANY KANSAS CITY, Missouri, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS KANSAS CITY, Missouri, United States

Custodian STATE STREET KANSAS CITY KANSAS CITY, Missouri, United States Related to adviser: No

Marketer PIMCO INVESTMENTS LLC NEW YORK, New York, United States Related to adviser: Yes

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

PRICEWATERHOUSECOOPERS
PCAOB 238

PIMCO INVESTMENTS LLC
CRD 154957 · SEC 8-68686

Filing source

Form ADV 1274345 · Mar 1, 2019 · Schedule D 7.B.(1), fund 805-6857683632

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
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
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
Mohamed A. El Erian	Executive
Mohsen Fahmi	Executive
Joachim Fels	Executive
David N. Fisher Iii	Executive
David C. Flattum	Executive
Russell D. Gannaway	Executive
Michael A. Gomez	Executive
William H. Gross	Executive
Sachin Gupta	Executive
Gregory Weston Hall	Executive
Brent Richard Harris	Executive
Douglas M. Hodge	Executive
Brent L. Holden	Executive
Jonathan Lane Horne	Executive
Jon 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
Charles Matthew Lahr	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
Ravinder Kumar Mattu	Executive
Paul A. Mcculley	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	Promoter
N/A Pacific Investment Management Company Llc	Promoter
Saumil H. Parikh	Executive
Stephen A. Rodosky	Executive
Emmanuel Roman	Executive
Jerome M. Schneider	Executive
Marc Peter Seidner	Executive
Robin Christine Shanahan	Executive
Jonathan D. Short	Executive
W. Scott Simon	Executive
Candice Stack	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:

650 Newport Center Drive
Newport Beach, CA, 92660