Form D · Hedge Fund

Sorin NL Fund, L.P.

Stamford, CT · CIK 0001506944

Offering snapshot reported Dec 7, 2018 · SEC filing

Reported sold: $301M
Investors reported: 4
Minimum accepted: $0
First sale: Nov 22, 2010

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.

No comparable changes in the displayed metrics.

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Dec 7, 2018	Amendment	$301,400,000	$0vs Dec 8, 2017	4	SEC filing
Dec 8, 2017	Amendment	$301,400,000	$0vs Dec 9, 2016	4	SEC filing
Dec 9, 2016	Amendment	$301,400,000	$50,400,000vs Dec 10, 2015	4	SEC filing
Dec 10, 2015	Amendment	$251,000,000	$50,000,000vs Dec 11, 2014	3	SEC filing
Dec 11, 2014	Amendment	$201,000,000	$50,000,000vs Dec 11, 2013	3	SEC filing
Dec 11, 2013	Amendment	$151,000,000	$1,000,000vs Dec 3, 2010	2	SEC filing
Dec 7, 2012	Amendment	$151,000,000	$1,000,000vs Dec 3, 2010	2	SEC filing
Dec 8, 2011	Amendment	$151,000,000	$1,000,000vs Dec 3, 2010	2	SEC filing
Dec 3, 2010	Initial	$150,000,000	No comparison	1	SEC filing

Offering details

Securities: Equity, 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: 021-151342

Source: Form D, filed Dec 7, 2018. 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

SORIN NL FUND LP

Investment adviser: SORIN CAPITAL MANAGEMENT, LLC

Gross asset value: $236M
Beneficial owners: 3
ADV minimum commitment: $5M

Reported in Form ADV on Mar 29, 2019. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator U.S BANCORP FUND SERVICES, LLC HACKENSACK, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG NEW YORK, New York, United States

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

Custodian J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No

Custodian US BANK NATIONAL ASSOCIATION SAINT PAUL, Minnesota, United States Related to adviser: No

Custodian WELLS FARGO BANK NATIONAL ASSOCIATION COLUMBIA, Maryland, United States Related to adviser: No

Custodian WELLS FARGO PRIME SERVICES, LLC NY, New York, United States Related to adviser: No

Prime broker J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States

Prime broker WELLS FARGO PRIME SERVICES, 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: No

KPMG
PCAOB 185

J.P. MORGAN SECURITIES LLC
SEC 8-35008

WELLS FARGO PRIME SERVICES, LLC
SEC 8-66677

J.P. MORGAN SECURITIES LLC
CRD 79 · SEC 8-35008

WELLS FARGO PRIME SERVICES, LLC
CRD 133068 · SEC 8-66677

Filing source

Form ADV 1297770 · Mar 29, 2019 · Schedule D 7.B.(1), fund 805-6980053483

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
James J. Higgins	Executive
Sorin Capital Management, Llc	Executive
Sorin Gp, Llc	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

84 West Park Place
Stamford, CT, 06901