Form D · Hedge Fund

Spencer Capital Fund LLC

New York, NY · CIK 0001520398

Offering snapshot reported May 12, 2011 · SEC filing

Reported sold: $92.3K
Investors reported: 0
Minimum accepted: $50K
First sale: May 1, 2011

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
May 12, 2011	Initial	Yet to sell	No comparison	0	SEC filing
May 12, 2011	Amendment	$92,300	No comparison	0	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06
Duration over one year: Yes
Business combination: No

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-159685

Source: Form D, filed May 12, 2011. 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

SPENCER CAPITAL FUND, LLC

Investment adviser: SPENCER CAPITAL MANAGEMENT, LLC

Gross asset value: $11.5M
Beneficial owners: 12
ADV minimum commitment: $50K

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 MICHAEL J. LICCAR & CO., LLC CPAS CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG LLP NEW YORK, New York, United States

Custodian UBS FINANCIAL SERVICES INC. CHICAGO, Illinois, United States Related to adviser: No

Prime broker UBS FINANCIAL SERVICES INC. CHICAGO, Illinois, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

UBS FINANCIAL SERVICES INC.
SEC 8-16267

UBS FINANCIAL SERVICES INC.
CRD 8174 · SEC 8-16267

Filing source

Form ADV 986098 · Mar 30, 2016 · Schedule D 7.B.(1), fund 805-8324090364

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
Kenneth Shubin Stein	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

1350 Avenue Of The Americas 4 Th Floor
New York, NY, 10029