Form D · Hedge Fund

PLYMOUTH ROCK FUND L P

Chicago, IL · CIK 0001081747

Offering snapshot reported Apr 3, 2014 · SEC filing

Reported sold: $62M
Investors reported: 130
Minimum accepted: $500K
First sale: Mar 1, 1999

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$61,940,453 → $62,001,453

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Apr 3, 2014	Amendment	$62,001,453	$61,000vs Apr 3, 2013	130	SEC filing
Apr 3, 2013	Amendment	$61,940,453	$730,000vs Apr 5, 2012	130	SEC filing
Apr 5, 2012	Amendment	$61,210,453	$42,000vs Apr 8, 2011	130	SEC filing
Apr 8, 2011	Amendment	$61,168,453	-$18,869,392vs Apr 15, 2010	130	SEC filing
Apr 15, 2010	Amendment	$80,037,845	No comparison	162	SEC filing
Mar 16, 2009	Paper	Not reported	No comparison	Not reported	SEC filing

Offering details

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

Sales commissions: $22.1K (estimated)
Finders' fees: $0
Form D file number: 021-77190

The commissions reported are for FYE 2013 only. The Issuer does not pay sales commissions. If an investor is introduced to the Issuer by the persons listed in item 12, those persons may be paid sales compensation by the General Partner of the Issuer.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
James D. Baer	9936	Uhlmann Price Securities, LLC · CRD 42854
MIT Associates, LLC d/b/a Liability Solutions	121171	MIT Associates, LLC d/b/a Liability Solutions · CRD 121171
George Register	373031	Register Finanical Associates, Inc. · CRD 30568
Barbara Justiz	1248873	Concept Capital Markets, LLC · CRD 153397
Mt Rushmore Securities LLC	130955	Mt Rushmore Securities · CRD 130955

Source: Form D, filed Apr 3, 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

PLYMOUTH ROCK FUND, L.P.

Investment adviser: TORSHEN CAPITAL MANAGEMENT, LLC

Gross asset value: $728K
Beneficial owners: 114
ADV minimum commitment: $500K

Reported in Form ADV on Aug 26, 2016. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator MICHAEL J. LICCAR & COMPANY, LLC CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor RSM US LLP CHICAGO, Illinois, United States

Custodian BANK OF AMERICA CHICAGO, Illinois, United States Related to adviser: No

Marketer MIT ASSOCIATES, LLC STAMFORD, Connecticut, United States Related to adviser: No

Marketer TUXEDO CAPITAL PARTNERS, LLC ALTANTA, Georgia, United States Related to adviser: No

Marketer UHLMANN PRICE SECURITIES, LLC CHICAGO, Illinois, United States Related to adviser: No

Provider details

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

MIT ASSOCIATES, LLC
CRD 121171 · SEC 8-65386

TUXEDO CAPITAL PARTNERS, LLC
CRD 165049 · SEC 8-69142

UHLMANN PRICE SECURITIES, LLC
CRD 42854 · SEC 8-50041

Filing source

Form ADV 1037198 · Aug 26, 2016 · Schedule D 7.B.(1), fund 805-3508857310

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
Kay Torshen	Executive, Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

980 Michigan Avenue Suite 1370
Chicago, IL, 60611