Form D · Hedge Fund

37 Capital Opportunistic Equity Fund, LP

Boston, MA · CIK 0001755619

Offering snapshot reported Oct 8, 2020 · SEC filing

Reported sold
$60.9M
Indefinite offering
Investors reported
4
Form D · investor count
Minimum accepted
$1M
Reported outside-investor minimum
First sale
Oct 31, 2018
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$30.4M$60.9MOct 11, 2018Oct 9, 2019: $57,466,686.00Oct 9, 2019Oct 8, 2020: $60,891,614.00Oct 8, 2020

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 investors0 → 4

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Oct 8, 2020Amendment$60,891,614No comparison4SEC filing
Oct 9, 2019Amendment$57,466,686No comparison5SEC filing
Oct 11, 2018InitialYet to sellNo comparison0SEC 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
021-323272
As of August 31, 2020. Data is preliminary and unaudited.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
N/ANonePutnam Retail Management Limited Partnership · CRD 7325

Source: Form D, filed Oct 8, 2020. 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

37 CAPITAL OPPORTUNISTIC EQUITY FUND, LP

Investment adviser: THE PUTNAM ADVISORY COMPANY, LLC

Gross asset value
$80.3M
Beneficial owners
6
ADV minimum commitment
$1M

Reported in Form ADV on Mar 31, 2021. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator INTERNATIONAL FUND SERVICES (N.A.) L.L.C. NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor DELOITTE & TOUCHE LLP BOSTON, Massachusetts, United States
Custodian GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States Related to adviser: No
Custodian UBS SECURITIES LLC NEW YORK, New York, United States Related to adviser: No
Marketer PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP BOSTON, Massachusetts, United States Related to adviser: Yes
Prime broker GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States
Prime broker UBS SECURITIES LLC NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

DELOITTE & TOUCHE LLP
PCAOB 34

GOLDMAN SACHS & CO. LLC
SEC 8-129

UBS SECURITIES LLC
SEC 8-22651

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
CRD 7325 · SEC 8-1369

GOLDMAN SACHS & CO. LLC
CRD 361 · SEC 8-129

UBS SECURITIES LLC
CRD 7654 · SEC 8-22651

Filing source

Form ADV 1510999 · Mar 31, 2021 · Schedule D 7.B.(1), fund 805-7356699540

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
N/A N/A Putnam Capital, L.L.C. Director, Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
Putnam Capital, L.L.C. 100 Federal St.
Boston, MA, 02110