Form D · Other Investment Fund

Unterberg Technology Partners, L.P.

New York, NY · CIK 0001465736

Offering snapshot reported Jan 31, 2017 · SEC filing

Reported sold: $75.5M
Investors reported: 84
Minimum accepted: $500K
First sale: Jun 1, 2009

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.

Reported sold$20,340,000 → $75,529,295
Reported investors31 → 84
Minimum accepted$0 → $500,000

Filing history

Scroll to see all columns →

Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Jan 31, 2017	Amendment	$75,529,295	$55,189,295vs Jun 11, 2009	84	SEC filing
Jan 27, 2016	Amendment	$73,754,295	$53,414,295vs Jun 11, 2009	80	SEC filing
Mar 17, 2015	Amendment	$73,754,295	$53,414,295vs Jun 11, 2009	80	SEC filing
Mar 17, 2014	Amendment	$72,754,295	$52,414,295vs Jun 11, 2009	70	SEC filing
Mar 15, 2013	Amendment	$68,815,189	$48,475,189vs Jun 11, 2009	68	SEC filing
Oct 18, 2012	Amendment	$67,175,000	$46,835,000vs Jun 11, 2009	65	SEC filing
Jun 11, 2009	Initial	$20,340,000	No comparison	31	SEC filing

Offering details

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

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-131911

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 TECHNOLOGY PARTNERS, LP

Investment adviser: UNTERBERG CAPITAL, LLC

Gross asset value: $68.1M
Beneficial owners: 29
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 ESNER AMPER LLP NEW YORK, New York, 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

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 805-8309938800

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
Andrew Arno	Promoter
Charles Diker	Executive
Mark Diker	Executive
Diker Gp, Llc	Executive
Diker Gp, Llc Diker Gp, Llc	Executive
Diker Management, Llc	Promoter
Edmund Hajim	Executive
Jonas Siegel	Executive
Thomas I Unterberg	Executive
N/A Unterberg Capital Llc	Promoter
Llc Unterberg Technology Partners Gp,	Promoter
N/A Unterberg Technology Partners Gp, Llc	Promoter
Laurence Zuriff	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

445 Park Avenue Room 901
New York, NY, 10022