Form D · Other Banking and Financial Services

Symphony CLO VII, Ltd.

George Town, E9 · CIK 0001522472

Offering snapshot reported Jun 14, 2011 · SEC filing

Reported sold
$675K
Offering amount: $93.5M
Investors reported
4
Form D · investor count
Minimum accepted
$100K
Reported outside-investor minimum
First sale
Jun 2, 2011
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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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jun 14, 2011Initial$675,000No comparison4SEC filing

Offering details

Securities
Debt
Exemptions
06
Duration over one year
No
Business combination
No
Sales commissions
$8.39K (estimated)
Finders' fees
$0
Form D file number
021-161245

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
MORGAN STANLEY & CO. INCORPORATED8209MORGAN STANLEY & CO. INCORPORATED · CRD 8209

Source: Form D, filed Jun 14, 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

SYMPHONY CLO VII, LTD.

Investment adviser: SYMPHONY ASSET MANAGEMENT LLC

Gross asset value
$329M
Beneficial owners
6
ADV minimum commitment
$250K

Reported in Form ADV on Dec 14, 2016. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator BANK OF NEW YORK MELLON TRUST COMPANY, NA LOS ANGELES, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Custodian BANK OF NEW YORK MELLON TRUST COMPANY, NA LOS ANGELES, California, United States Related to adviser: No
Provider details
Annual audit
No
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No
Filing source

Form ADV 1056595 · Dec 14, 2016 · Schedule D 7.B.(1), fund 805-5136581842

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
Andrew Dean Director
Richard Gordon Director

Issuer details

Industry: Other Banking and Financial Services (See others in industry)

Address:
C/O Maplesfs Limited Box 1093, Boundary Hall, Cricket Square
George Town, E9, KY1-1102