Form D · Other Investment Fund
SWIP Global Emerging Markets Smaller Companies Fund Series
Edinburgh, X0 · CIK 0001477165
Offering snapshot reported Dec 1, 2009 · SEC filing
- Reported sold
- $70M Indefinite offering
- Investors reported
- 2 Form D · investor count
- Minimum accepted
- $1M Reported outside-investor minimum
- First sale
- Oct 31, 2008 As reported in this filing
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 1, 2009 | Initial | $70,001,000 | No comparison | 2 | SEC filing |
Offering details
- Securities
- Not reported
- Exemptions
- 06, 3C, 3C.7
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $203K
- Finders' fees
- $0
- Form D file number
- 021-136498
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| ALPS Distributors Inc. | 16853 |
Source: Form D, filed Dec 1, 2009. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
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.
| Name | Reported role |
|---|---|
| John Michael Brett | Director |
| Joseph Gavin | Director |
| Michael F Holland | Director |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:
First Floor Edinburgh One 60 Morrison Street
Edinburgh, X0, EH3 8BE
Edinburgh, X0, EH3 8BE