Form D · Other Investment Fund

Ullico International Group Trust

Silver Spring, MD · CIK 0001465719

Offering snapshot reported Aug 30, 2019 · SEC filing

Reported sold: $217M
Investors reported: 9
Minimum accepted: $1M
First sale: Jan 1, 1995

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
Aug 30, 2019	Amendment	$217,329,789	$0vs Aug 16, 2018	9	SEC filing
Aug 16, 2018	Amendment	$217,329,789	$1,800,000vs Jul 19, 2017	9	SEC filing
Jul 19, 2017	Amendment	$215,529,789	$0vs Jul 21, 2016	9	SEC filing
Jul 21, 2016	Amendment	$215,529,789	$1,623,360vs Apr 24, 2015	9	SEC filing
Apr 24, 2015	Amendment	$213,906,429	$0vs Jan 14, 2014	8	SEC filing
Jan 14, 2014	Amendment	$213,906,429	$156,370,794vs Mar 28, 2013	27	SEC filing
Mar 28, 2013	Amendment	$57,535,635	-$95,679,374vs Jul 25, 2012	11	SEC filing
Jul 25, 2012	Initial	$153,215,009	No comparison	15	SEC filing
Jul 27, 2011	Amendment	$206,581,073	$206,410,815vs Dec 4, 2009	16	SEC filing
Dec 4, 2009	Initial	$170,258	No comparison	15	SEC filing

Offering details

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

Sales commissions: $12.5K (estimated)
Finders' fees: $0
Form D file number: 021-181762

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Pistner, Michael	2932182	Ullico Investment Company, LLC · CRD 135195
Howe, Luke	5779141	Ullico Investment Company, LLC · CRD 135195
White, Patrick	4344341	Ullico Investment Company, LLC · CRD 135195

Source: Form D, filed Aug 30, 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

ULLICO INTERNATIONAL GROUP TRUST

Investment adviser: ULLICO INVESTMENT ADVISORS, INC.

Gross asset value: $17.6M
Beneficial owners: 4
ADV minimum commitment: $1M

Reported in Form ADV on May 21, 2020. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator BNY MELLON ASSET SERVICING EVERETT, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LLP PHILADELPHIA, Pennsylvania, United States

Custodian THE BANK OF NEW YORK MELLON EVERETT, Massachusetts, United States Related to adviser: No

Marketer ULLICO INVESTMENT COMPANY, LLC SILVER SPRING, Maryland, 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

ERNST & YOUNG LLP
PCAOB 42

ULLICO INVESTMENT COMPANY, LLC
CRD 135195 · SEC 8-66906

Filing source

Form ADV 1416697 · May 21, 2020 · Schedule D 7.B.(1), fund 805-9974973571

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
William Cavanagh	Director, Executive
Adam Fried	Executive
Brian Hale	Director
Cathy Humphrey	Director, Executive
Peter Jones	Director, Executive
Herbert Kolben	Director
Richard La Rocque	Executive
Joseph Linehan	Director, Executive
Kenneth Dunlop Scott	Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

8403 Colesville Rd. 13 Th Floor
Silver Spring, MD, 20910