Form D · Hedge Fund

Tradewinds International Equity Portfolio, a portfolio of Tradewinds Institutional Investment Trust

Los Angeles, CA · CIK 0001337282

Offering snapshot reported Dec 6, 2012 · SEC filing

Reported sold: $557M
Investors reported: 5
Minimum accepted: $2M
First sale: Sep 1, 2005

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
Dec 6, 2012	Amendment	$556,747,677	No comparison	5	SEC filing
Nov 1, 2011	Amendment	$543,974,487	$71,742,380vs Oct 6, 2010	29	SEC filing
Oct 6, 2010	Amendment	$472,232,107	No comparison	26	SEC filing
Oct 21, 2009	Amendment	$444,486,080	No comparison	31	SEC filing
Jun 4, 2009	Amendment	$351,614,162	No comparison	Not reported	SEC filing
Aug 25, 2005	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: 021-80575

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 INTERNATIONAL EQUITY PORTFOLIO

Investment adviser: TRADEWINDS GLOBAL INVESTORS, LLC

Gross asset value: $0
Beneficial owners: 0
ADV minimum commitment: $1M

Reported in Form ADV on Jul 24, 2013. 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 748442 · Jul 24, 2013 · Schedule D 7.B.(1), fund 805-5091369304

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
Jane K. Crist	Executive
Robert De Leon	Executive
Paul J. Hechmer	Executive
David B. Iben	Executive
Constance G. Lawton	Executive
Michael C. Mendez	Executive
N/A Tradewinds Global Investors, Llc	Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

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