Form D · Hedge Fund

Tradewinds Emerging Markets Portfolio, a portfolio of the Tradewinds Institutional Investment Trust

Los Angeles, CA · CIK 0001399405

Offering snapshot reported Dec 6, 2012 · SEC filing

Reported sold: $24.2M
Investors reported: 6
Minimum accepted: $2M
First sale: Aug 2, 2007

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 6, 2012	Amendment	$24,210,000	No comparison	6	SEC filing
Nov 1, 2011	Amendment	$19,660,000	No comparison	6	SEC filing
Sep 22, 2010	Amendment	$1,110,000	No comparison	3	SEC filing
Sep 16, 2009	Amendment	$1,110,000	No comparison	3	SEC filing
Mar 16, 2009	Paper	Not reported	No comparison	Not reported
Aug 13, 2007	Paper	Not reported	No comparison	Not reported	SEC filing

Offering details

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

Sales commissions: $0 (estimated)
Finders' fees: $0 (estimated)
Form D file number: 021-102997

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
N/A	None	Nuveen Securities, LLC · CRD 469

Source: Form D, filed Dec 6, 2012. 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

TRADEWINDS INSTITUTIONAL INVESTMENT TRUST - TRADEWINDS EMERGING MARKETS PORFOLIO

Investment adviser: TRADEWINDS GLOBAL INVESTORS, LLC

Gross asset value: $1.99M
Beneficial owners: 6
ADV minimum commitment: $1M

Reported in Form ADV on Mar 3, 2014. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor DELOITTE & TOUCHE CHICAGO, Illinois, United States

Custodian THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Related to adviser: No

Marketer NUVEEN SECURITIES, LLC CHICAGO, Illinois, United States Related to adviser: Yes

Provider details

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

NUVEEN SECURITIES, LLC
CRD 469 · SEC 8-13464

Filing source

Form ADV 793580 · Mar 3, 2014 · Schedule D 7.B.(1), fund 805-8105346846

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
Robert De Leon	Executive
David B. Iben	Executive
Constance G. Lawton	Executive
N/A Tradewinds Global Investors, Llc	Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

2049 Century Park East 20th Floor
Los Angeles, CA, 90067