Form D · Private Equity Fund

Pine Brook PD Intermediate, L.P.

New York, NY · CIK 0001751124

Offering snapshot reported Sep 12, 2018 · SEC filing

Reported sold: Yet to sell
Investors reported: 0
Minimum accepted: $0
First sale: Yet to occur

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
Sep 12, 2018	Initial	Yet to sell	No comparison	0	SEC filing

Offering details

Securities: Equity, Pooled investment fund
Exemptions: 06b, 3C, 3C.1, 3C.7
Duration over one year: No
Business combination: No

Sales commissions: $0 (estimated)
Finders' fees: $0 (estimated)
Form D file number: 021-321116

Such fees, if any, will only be paid upon the sale of interests to certain investors and such amounts will not be finalized until completion of the offering.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Sandler O'Neill & Partners, L.P.	23328
Greensledge Capital Markets LLC	151026

Source: Form D, filed Sep 12, 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

PINE BROOK PD INTERMEDIATE, L.P.

Investment adviser: PINE BROOK ROAD ADVISORS, L.P.

Gross asset value: $227M
Beneficial owners: 15
ADV minimum commitment: $1.5M

Reported in Form ADV on May 6, 2021. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator SS&C TECHNOLOGIES HOLDINGS INC. UNION, New Jersey, United States Investor statements: No (provided to no investors) Related to adviser: No

Auditor ERNST & YOUNG NEW YORK, New York, United States

Custodian AMERICAN STOCK TRANSFER & TRUST CO, LLC BROOKLYN, New York, United States Related to adviser: No

Custodian MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED NEW YORK, New York, United States Related to adviser: No

Custodian SILICON VALLEY BANK SANTA CLARA, California, United States Related to adviser: No

Provider details

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

ERNST & YOUNG
PCAOB 42

AMERICAN STOCK TRANSFER & TRUST CO, LLC
LEI 254900TS5EWP83BEOU02

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
SEC 8-7221

SILICON VALLEY BANK
LEI 0K2D5AK28E3O5CC06E35

Filing source

Form ADV 1539051 · May 6, 2021 · Schedule D 7.B.(1), fund 805-4645940246

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
Howard Newman	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

C/O Pine Brook Pd Intermediate, L.P. 60 East 42 Nd Street, 50 Th Floor
New York, NY, 10165