Form D · Other Investment Fund

Vertex Special Opportunities Fund II, LP

New York, NY · CIK 0001619127

Offering snapshot reported Oct 30, 2014 · SEC filing

Reported sold: $34.8M
Investors reported: 5
Minimum accepted: $0
First sale: Sep 2, 2014

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
Oct 30, 2014	Initial	$34,774,861	No comparison	5	SEC filing

Offering details

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

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-227388

Source: Form D, filed Oct 30, 2014. 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

VIEX SPECIAL OPPORTUNITIES FUND II, LP

Investment adviser: VIEX CAPITAL ADVISORS, LLC

Gross asset value: $76M
Beneficial owners: 2
ADV minimum commitment: $3M

Reported in Form ADV on Mar 30, 2021. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator INTERNATIONAL FUND MANAGEMENT CORP. FLEMINGTON, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor MOSS ADAMS LLP DALLAS, Texas, United States

Custodian GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States Related to adviser: No

Prime broker BTIG, 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

MOSS ADAMS LLP
PCAOB 659

GOLDMAN SACHS & CO. LLC
SEC 8-129

BTIG, LLC
CRD 122225 · SEC 8-65473

Filing source

Form ADV 1502519 · Mar 30, 2021 · Schedule D 7.B.(1), fund 805-7268597176

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Related funds

Funds whose names form a numbered series with this one and that share its city or the name of a related person. Form D does not state how these funds are related.

Fund	Latest Form D	Reported sold	Investors
Vertex Special Opportunities Fund II, LP (this fund)	Oct 30, 2014	$34,774,861	5
Vertex Special Opportunities Fund III, LP	Oct 30, 2014	$13,983,753	6

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
Mark J. Rubin	Executive
Eric Singer	Executive
Vertex Capital Advisors, Llc	Executive
Vertex Special Opportunities Gp Ii, Llc	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

825 Third Avenue 33 Rd Floor
New York, NY, 10022