Form D · Hedge Fund
Point Defiance Microcap Fund, LP
Tacoma, WA · CIK 0001467545
Offering snapshot reported Jun 8, 2020 · SEC filing
- Reported sold
- $34.9M Indefinite offering
- Investors reported
- 18 Form D · investor count
- Minimum accepted
- $10K Reported outside-investor minimum
- First sale
- Jul 1, 2009 As reported in this filing
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 |
|---|---|---|---|---|---|
| Jun 8, 2020 | Initial | $34,873,980 | No comparison | 18 | SEC filing |
| May 29, 2019 | Initial | $34,873,980 | No comparison | 20 | SEC filing |
| Jun 12, 2018 | Initial | $29,668,980 | No comparison | 21 | SEC filing |
| Jun 12, 2017 | Initial | $29,441,157 | No comparison | 26 | SEC filing |
| Jun 9, 2016 | Amendment | $27,467,024 | $8,071,524vs Jun 11, 2015 | 28 | SEC filing |
| Jun 11, 2015 | Amendment | $19,395,500 | $3,220,500vs Jun 12, 2014 | 27 | SEC filing |
| Jun 12, 2014 | Amendment | $16,175,000 | $6,750,000vs Jun 28, 2013 | 27 | SEC filing |
| Jun 28, 2013 | Amendment | $9,425,000 | $0vs Jun 20, 2013 | 17 | SEC filing |
| Jun 20, 2013 | Amendment | $9,425,000 | $5,125,000vs Jun 26, 2012 | 17 | SEC filing |
| Jun 26, 2012 | Amendment | $4,300,000 | $250,000vs Jun 30, 2011 | 7 | SEC filing |
| Jun 30, 2011 | Amendment | $4,050,000 | $0vs Jul 6, 2010 | 6 | SEC filing |
| Jul 6, 2010 | Amendment | $4,050,000 | $850,000vs Jul 13, 2009 | 6 | SEC filing |
| Jul 13, 2009 | Initial | $3,200,000 | No comparison | 3 | SEC filing |
Offering details
- Securities
- Pooled investment fund
- Exemptions
- 06b, 3C, 3C.1
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $11.3K (estimated)
- Finders' fees
- $0
- Form D file number
- 021-368472
The Issuer is offering an unlimited amount of limited partnership interests.
Compensation is paid by the issuer's General Partner to 3rd party marketer for introduction of clients as investors in our commingled vehicle. Commission amount reflected represents 12 months ending June 30 (2020) and includes 2019 incentive.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Brent William Guy | 4007951 | Silver Leaf Partners, LLC · CRD 126694 |
| Richard Arthur Hermann | 4352872 | Silver Leaf Partners, LLC · CRD 126694 |
Source: Form D, filed Jun 8, 2020. 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 |
|---|---|
| Paul G Carter | Executive, Promoter |
| Bradley C Lawson | Executive, Promoter |
| Point Defiance Capital Management Llc | Executive |
| Suzan K Robertson | Executive, Promoter |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:
1145 Broadway Suite 1350
Tacoma, WA, 98402
Tacoma, WA, 98402