Form D · Other Investment Fund

Unterberg Koller Capital Fund, L.P.

New York, NY · CIK 0001594944

Offering snapshot reported Jan 31, 2017 · SEC filing

Reported sold
$79.5M
Indefinite offering
Investors reported
41
Form D · investor count
Minimum accepted
$500K
Reported outside-investor minimum
First sale
Nov 1, 2013
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$39.8M$79.5MDec 19, 2013: $55,000,000.00Dec 19, 2013Mar 17, 2015: $77,910,000.00Mar 17, 2015Jan 27, 2016: $77,910,000.00Jan 27, 2016Jan 31, 2017: $79,535,000.00Jan 31, 2017

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.

  • Reported sold$55,000,000 → $79,535,000
  • Reported investors23 → 41

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jan 31, 2017Amendment$79,535,000$24,535,000vs Dec 19, 201341SEC filing
Jan 27, 2016Amendment$77,910,000$22,910,000vs Dec 19, 201340SEC filing
Mar 17, 2015Amendment$77,910,000$22,910,000vs Dec 19, 201342SEC filing
Dec 19, 2013Initial$55,000,000No comparison23SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C.1
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-208384

Source: Form D, filed Jan 31, 2017. 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

UNTERBERG KOLLER CAPITAL FUND, LP

Investment adviser: UNTERBERG CAPITAL, LLC

Gross asset value
$53.9M
Beneficial owners
20
ADV minimum commitment
$500K

Reported in Form ADV on Apr 18, 2017. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator CONIFER FINANCIAL SERVICES SAN FRANCISCO, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor EISNER AMPER, LLP NEW YORK, New York, United States
Custodian JEFFERIES LLC NEW YORK, New York, United States Related to adviser: No
Custodian KINGDOM TRUST MURRAY, Kentucky, 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

JEFFERIES LLC
SEC 8-15074

JEFFERIES LLC
CRD 2347 · SEC 8-15074

Filing source

Form ADV 1106215 · Apr 18, 2017 · Schedule D 7.B.(1), fund 805-1704472995

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
NameReported role
Ed Diker Executive
Charles Diker Executive
Diker Gp, Llc Executive
Charles Diker Management, Llc Promoter
Diker Ukc Gp, Llc Executive
Ross Koller Executive
N/A Ukc Gp, Llc Executive
Thomas I Unterberg Executive
N/A Unterberg Capital Llc Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
445 Park Avenue Room 901
New York, NY, 10022