Form D · Other Investment Fund

Washington Mill CLO Ltd.

Grand Cayman Ky1 1108, E9 · CIK 0001609400

Offering snapshot reported May 30, 2014 · SEC filing

Reported sold
$2.15M
Offering amount: $2.15M
Investors reported
19
Form D · investor count
Minimum accepted
$100K
Reported outside-investor minimum
First sale
May 15, 2014
As reported in this filing

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
May 30, 2014Initial$2,150,000No comparison19SEC filing

Offering details

Securities
Debt, Pooled investment fund
Exemptions
06b, 3C.7
Duration over one year
No
Business combination
No
Sales commissions
$95K (estimated)
Finders' fees
$0
Form D file number
021-218301

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Merrill Lynch, Pierce, Fenner & Smith Incorporated7691

Source: Form D, filed May 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

WASHINGTON MILL CLO LTD

Investment adviser: SHENKMAN CAPITAL MANAGEMENT, INC.

Gross asset value
$488M
Beneficial owners
3
ADV minimum commitment
$100K

Reported in Form ADV on Sep 28, 2017. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator U.S. BANK NATIONAL ASSOCIATION CHICAGO, Illinois, United States Investor statements: No (provided to no investors) Related to adviser: No
Custodian U.S. BANK NATIONAL ASSOCIATION CHICAGO, Illinois, United States Related to adviser: No
Marketer MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED NEW YORK, New York, United States Related to adviser: No
Provider details
Annual audit
No
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD 7691 · SEC 801-14235

Filing source

Form ADV 1140301 · Sep 28, 2017 · Schedule D 7.B.(1), fund 805-3577940566

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
George Bashforth Director
Julian Black Director
Richard Mc Millan Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
C/O Appleby Trust (Cayman) Ltd. Clifton House, 75 Fort Street Pob 1350
Grand Cayman Ky1 1108, E9, 00000