Form D · Other Investment Fund

THL Credit DL IV Funding LLC

Boston, MA · CIK 0001747765

Offering snapshot reported Sep 17, 2019 · SEC filing

Reported sold: $461M
Investors reported: 15
Minimum accepted: $0
First sale: Jul 31, 2018

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
Sep 17, 2019	Amendment	$461,148,000	$0vs Jul 30, 2019	15	SEC filing
Jul 30, 2019	Amendment	$461,148,000	No comparison	15	SEC filing
Jul 30, 2018	Initial	Yet to sell	No comparison	0	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06b, 3C, 3C.1, 3C.7
Duration over one year: Yes
Business combination: No

Sales commissions: $0 (estimated)
Finders' fees: $0 (estimated)
Form D file number: 021-318075

Amounts are aggregated to include the master fund in which the Issuer will invest and its parallel funds.

Total amount of sales commissions and finders' fees shall be determined after the final close of the Issuer.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Morgan Stanley MUFG Securities Co., Ltd.	None
Meritz Securities Co., Ltd	None

Source: Form D, filed Sep 17, 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

THL CREDIT DL IV FUNDING LLC

Investment adviser: FIRST EAGLE ALTERNATIVE CREDIT, LLC

Gross asset value: $0
Beneficial owners: 9
ADV minimum commitment: $5M

Reported in Form ADV on Feb 28, 2020. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

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

Auditor PRICEWATERHOUSECOOPERS LLP BOSTON, Massachusetts, United States

Custodian STATE STREET BANK 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

PRICEWATERHOUSECOOPERS LLP
PCAOB 238

STATE STREET BANK
LEI 571474TGEMMWANRLN572

Filing source

Form ADV 1375894 · Feb 28, 2020 · Schedule D 7.B.(1), fund 805-2106645997

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
Christopher J Flynn	Executive
Terrence W Olson	Executive
Sabrina Rusnak Carlson	Executive
N/A Thl Credit Advisors Llc	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

100 Federal Street, 31 St Floor
Boston, MA, 02110