Form D · Private Equity Fund

Siguler Guff Secondary Opportunities Fund (TE), LP

New York, NY · CIK 0001669947

Offering snapshot reported Dec 21, 2016 · SEC filing

Reported sold
$140M
Indefinite offering
Investors reported
4
Form D · investor count
Minimum accepted
$5M
Reported outside-investor minimum
First sale
Mar 11, 2016
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$70M$140MMar 22, 2016: $50,000,000.00Mar 22, 2016Dec 21, 2016: $140,000,000.00Dec 21, 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.

  • Reported sold$50,000,000 → $140,000,000
  • Reported investors1 → 4

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Dec 21, 2016Amendment$140,000,000$90,000,000vs Mar 22, 20164SEC filing
Mar 22, 2016Initial$50,000,000No comparison1SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
No
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-259753
Siguler Guff Global Markets is a registered broker-dealer acting as placement agent for the issuer. Certain of its representatives receive compensation indirectly based on the Issuer's fundraising, but no compensation is paid from the offering's proceeds.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
N/ANoneSiguler Guff Global Markets, LLC · CRD 159534
The Bank of New York Mellon Corporation231

Source: Form D, filed Dec 21, 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

SIGULER GUFF SECONDARY OPPORTUNITIES FUND (TE), LP

Investment adviser: SIGULER GUFF ADVISERS LLC

Gross asset value
$56.1M
Beneficial owners
4
ADV minimum commitment
$5M

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

Service providers

Auditor PRICEWATERHOUSECOOPERS, LLP NEW YORK, New York, United States
Custodian CITIBANK, N.A. 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
No
External marketing
No

PRICEWATERHOUSECOOPERS, LLP
PCAOB 238

Filing source

Form ADV 1485376 · Mar 31, 2021 · Schedule D 7.B.(1), fund 805-5828789212

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
Kenneth Burns Executive
Andrew Joseph Guff Executive
Jay Lee Koh Executive
George William Siguler Executive
N/A Siguler Guff & Company, Lp Promoter
N/A Siguler Guff Sof Gp, Llc Executive
Donald Paul Spencer Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
825 Third Avenue, 10 Th Floor
New York, NY, 10022