Form D · Hedge Fund

PIMCO TRENDS - 1 FUND LLC

Newport Beach, CA · CIK 0001454082

Offering snapshot reported Apr 2, 2014 · SEC filing

Reported sold
$4.9M
Indefinite offering
Investors reported
2
Form D · investor count
Minimum accepted
$500K
Reported outside-investor minimum
First sale
Feb 27, 2009
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$2.45M$4.9MJan 12, 2009Jan 27, 2010: $3,300,000.00Feb 3, 2011: $3,600,000.00Mar 30, 2011: $3,600,000.00Mar 27, 2012: $3,900,000.00Mar 28, 2013: $4,900,000.00Apr 2, 2014: $4,900,000.00Apr 2, 2014

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

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Apr 2, 2014Amendment$4,900,000$0vs Mar 28, 20132SEC filing
Mar 28, 2013Amendment$4,900,000$1,000,000vs Mar 27, 20122SEC filing
Mar 27, 2012Amendment$3,900,000$300,000vs Mar 30, 20112SEC filing
Mar 30, 2011Amendment$3,600,000$0vs Feb 3, 20112SEC filing
Feb 3, 2011Amendment$3,600,000No comparison2SEC filing
Jan 27, 2010Amendment$3,300,000No comparison2SEC filing
Jan 12, 2009PaperNot reportedNo comparisonNot reportedSEC 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
021-126089
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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RecipientCRDAssociated broker-dealer
PIMCO INVESTMENTS LLC154957

Source: Form D, filed Apr 2, 2014. 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 TRENDS - I FUND LLC

Investment adviser: PACIFIC INVESTMENT MANAGEMENT COMPANY LLC

Gross asset value
$4.75M
Beneficial owners
2
ADV minimum commitment
$500K

Reported in Form ADV on Feb 26, 2015. 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: Yes
Auditor PRICEWATERHOUSECOOPERS LLP BOSTON, Massachusetts, United States
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: Yes
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

PIMCO INVESTMENTS LLC
CRD 154957 · SEC 8-68686

Filing source

Form ADV 870071 · Feb 26, 2015 · Schedule D 7.B.(1), fund 805-3136567330

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
Joshua M. Anderson Executive
Tammie J. Arnold Executive
Vineer Bhansali Executive
Jennifer S. Bridwell Executive
Sabrina C. Callin Executive
Wendy W. Cupps Executive
Suhail H. Dada 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
Jonathan Lane Horn 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
Mohit Mittal Executive
Eric J. Mogelof Executive
James F. Moore Executive
Alfred T. Murata 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
Jerome M. Schneider Executive
Marc P. Seidner Executive
Jonathan D. Short Executive
W. Scott Simon Executive
T. Christian Stracke Executive
Thibault C. Stracke Executive
Peter G. Strelow 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
Changhong Zhu Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
840 Newport Center Drive, Suite 100
Newport Beach, CA, 92660