Form D · Private Equity Fund

Stellus Capital Energy Opportunities Fund II, LP

Houston, TX · CIK 0001748210

Offering snapshot reported Jul 24, 2019 · SEC filing

Reported sold: $33.2M
Investors reported: 17
Minimum accepted: $0
First sale: Aug 6, 2018

What changed?

Latest filing versus its linked predecessor, where available.

Reported investors0 → 17

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Jul 24, 2019	Amendment	$33,160,000	No comparison	17	SEC filing
Jul 30, 2018	Initial	Yet to sell	No comparison	0	SEC filing

Offering details

Securities: Equity, Pooled investment fund
Exemptions: 06b, 3C, 3C.7
Duration over one year: Yes
Business combination: No

Sales commissions: $150K (estimated)
Finders' fees: $0
Form D file number: 021-318050

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Michael Levy	6805842	Crito Capital LLC · CRD 161724
Joshua Dorfman	5964831	Crito Capital LLC · CRD 161724
Jared Dittman	6525242	Crito Capital LLC · CRD 161724
Craig Lewis	6882342	Crito Capital LLC · CRD 161724
FirstPoint Equity Capital Ltd	None	FirstPoint Equity Capital Ltd

Source: Form D, filed Jul 24, 2019. 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

STELLUS CAPITAL ENERGY OPPORTUNITIES FUND II, LP

Investment adviser: STELLUS CAPITAL MANAGEMENT, LLC

Gross asset value: $0
Beneficial owners: 16
ADV minimum commitment: $5M

Reported in Form ADV on May 16, 2022. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator STATE STREET GLOBAL SERVICES BOSTON, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor GRANT THORNTON LLP HOUSTON, Texas, United States

Custodian AMEGY BANK OF TEXAS HOUSTON, Texas, United States Related to adviser: No

Custodian STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, 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

GRANT THORNTON LLP
PCAOB 248

Filing source

Form ADV 1652184 · May 16, 2022 · Schedule D 7.B.(1), fund 805-6333308170

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Related funds

Funds whose names form a numbered series with this one and that share its city or the name of a related person. Form D does not state how these funds are related.

Fund	Latest Form D	Reported sold	Investors
Stellus Capital Energy Opportunities Fund, LP	Aug 10, 2016	$116,836,989	11
Stellus Capital Energy Opportunities Fund II, LP (this fund)	Jul 24, 2019	$33,160,000	17

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 A. Debow	Director
William Todd Huskinson	Executive
Robert T. Ladd	Executive
Todd A. Overbergen	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

4400 Post Oak Parkway Suite 2200
Houston, TX, 77027