Form D · Venture Capital Fund

UV PARTNERS IV FINANCIAL INSTITUTIONS FUND LP

Salt Lake City, UT · CIK 0001452739

Offering snapshot reported Nov 4, 2009 · SEC filing

Reported sold: $38M
Investors reported: 6
Minimum accepted: $0
First sale: Mar 20, 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.

Reported sold$35,000,000 → $38,000,000
Reported investors5 → 6

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Nov 4, 2009	Amendment	$38,000,000	$3,000,000vs Aug 31, 2009	6	SEC filing
Aug 31, 2009	Amendment	$35,000,000	No comparison	5	SEC filing
Dec 17, 2008	Paper	Not reported	No comparison	Not reported	SEC filing

Offering details

Securities: Not reported
Exemptions: 06, 3C, 3C.7
Duration over one year: Yes
Business combination: No

Sales commissions: $540K
Finders' fees: $0
Form D file number: 021-125416

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Christopher J. Caputo	1734605	Fortress Group, Inc. · CRD 104408
Bruce A. Williamson	1923210	Fortress Group, Inc. · CRD 104408

Source: Form D, filed Nov 4, 2009. 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

UV PARTNERS IV FINANCIAL INSTITUTIONS FUND, L.P.

Investment adviser: PELION, INC

Gross asset value: $6.68M
Beneficial owners: 10
ADV minimum commitment: $25K

Reported in Form ADV on May 28, 2026. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Custodian FIRST-CITIZENS BANK & TRUST COMPANY RALEIGH, North Carolina, United States Related to adviser: No

Custodian MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED SAN FRANCISCO, California, United States Related to adviser: No

Provider details

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

FIRST-CITIZENS BANK & TRUST COMPANY
LEI L9VVX1KT5TFTKS0MLF66

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
SEC 8-7221

Filing source

Form ADV 2108578 · May 28, 2026 · Schedule D 7.B.(1), fund 805-2257397645

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
James C. Dreyfous	Director, Executive
Carl S. Ledbetter	Director, Executive
Blake G. Modersitzki	Director, Executive
Uv Partners Iv Financial Institutions Gp, L.L.C.	Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

2755 E. Cottonwood Pkwy., Suite 520
Salt Lake City, UT, 84121