Form D · Other Investment Fund

Royce Institutional, LLC - International Smaller Companies Portfolio

New York, NY · CIK 0001580202

Offering snapshot reported Mar 18, 2016 · SEC filing

Reported sold
$3M
Indefinite offering
Investors reported
1
Form D · investor count
Minimum accepted
$1M
Reported outside-investor minimum
First sale
Dec 1, 2012
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$1.5M$3MJun 26, 2013: $3,000,000.00Jun 26, 2013Mar 18, 2014: $3,000,000.00Mar 18, 2014Mar 18, 2015: $3,000,000.00Mar 18, 2015Mar 18, 2016: $3,000,000.00Mar 18, 2016

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
Mar 18, 2016Amendment$3,000,000$0vs Mar 18, 20151SEC filing
Mar 18, 2015Amendment$3,000,000$0vs Mar 18, 20141SEC filing
Mar 18, 2014Amendment$3,000,000$0vs Jun 26, 20131SEC filing
Jun 26, 2013Initial$3,000,000No comparison1SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.1
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-198641

Source: Form D, filed Mar 18, 2016. 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

ROYCE INSTITUTIONAL, LLC- INTERNATIONAL SMALLER COMPANIES PORTFOLIO

Investment adviser: ROYCE & ASSOCIATES, LP

Gross asset value
$3.52M
Beneficial owners
1
ADV minimum commitment
$1M

Reported in Form ADV on Mar 30, 2016. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator BANK OF NEW YORK MELLON NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG, LLP NEW YORK, New York, United States
Custodian THE BANK OF NEW YORK MELLON NEW YORK,, New York, 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
Filing source

Form ADV 1005075 · Mar 30, 2016 · Schedule D 7.B.(1), fund 805-1893136688

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
Chris Clark Executive
John E. Denneen Executive
John E. Diederich Executive
Jack E. Fockler, Jr. Executive
Francis Gannon Executive
W. Whitney George Executive
Peter Hoglund Executive
Daniel S. Madden Executive
Daniel A. O'byrne Executive
Charles M. Royce Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
745 Fifth Avenue
New York, NY, 10151