Form D · Hedge Fund

TRISHIELD SPECIAL SITUATIONS FUND LLC

New York, NY · CIK 0001434080

Offering snapshot reported Mar 9, 2018 · SEC filing

Reported sold: $148M
Investors reported: 85
Minimum accepted: $0
First sale: May 1, 2008

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
Mar 9, 2018	Amendment	$147,506,583	$0vs Mar 10, 2017	85	SEC filing
Mar 10, 2017	Amendment	$147,506,583	$0vs Mar 11, 2016	85	SEC filing
Mar 11, 2016	Amendment	$147,506,583	$12,566,870vs Mar 12, 2015	85	SEC filing
Mar 12, 2015	Amendment	$134,939,713	$98,150,886vs Mar 19, 2014	74	SEC filing
Mar 19, 2014	Amendment	$36,788,827	$14,198,941vs Mar 19, 2013	35	SEC filing
Mar 19, 2013	Amendment	$22,589,886	$7,762,751vs Mar 19, 2012	16	SEC filing
Mar 19, 2012	Amendment	$14,827,135	$480,000vs Mar 11, 2011	15	SEC filing
Mar 11, 2011	Amendment	$14,347,135	$1,200,000vs Mar 12, 2010	15	SEC filing
Mar 12, 2010	Amendment	$13,147,135	No comparison	11	SEC filing
Apr 29, 2008	Paper	Not reported	No comparison	Not reported	SEC filing

Offering details

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

Sales commissions: $0 (estimated)
Finders' fees: $0 (estimated)
Form D file number: 021-117771

The recipient listed in Item 12 is paid an amount equal to a percentage of the management fee paid to the Investment Manager (or its affiliate) attributable to certain assets under management and/or the incentive allocation.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Jefferies LLC	2347

Source: Form D, filed Mar 9, 2018. 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

TRISHIELD SPECIAL SITUATIONS FUND LLC

Investment adviser: TRISHIELD CAPITAL MANAGEMENT LLC

Gross asset value: $37.4M
Beneficial owners: 71
ADV minimum commitment: $1M

Reported in Form ADV on Mar 27, 2019. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator CUSTOM HOUSE FUND SERVICES (USA) LLC CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS LLP CHICAGO, Illinois, United States

Custodian JEFFERIES LLC NEW YORK, New York, United States Related to adviser: No

Prime broker JEFFERIES LLC NEW YORK, New York, United States

Provider details

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

PRICEWATERHOUSECOOPERS LLP
PCAOB 238

JEFFERIES LLC
CRD 2347 · SEC 8-15074

Filing source

Form ADV 1300092 · Mar 27, 2019 · Schedule D 7.B.(1), fund 805-9692957765

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
Alan Jeffrey Buick Jr.	Executive
Robert L. Harteveldt	Executive
Michael Leibert	Executive
Trishield Capital Management Llc	Executive
Trishield Partners Llc	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

Trishield Capital Management Llc 1133 Broadway, Suite 1126
New York, NY, 10010