Form D · Other Investment Fund

Wellington Contingent Securities, L.P.

Boston, MA · CIK 0001707933

Offering snapshot reported Feb 20, 2020 · SEC filing

Reported sold
$85M
Indefinite offering
Investors reported
2
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Jun 1, 2017
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$42.5M$85MJun 13, 2017: $75,010,000.00Jun 13, 2017Jun 13, 2018: $75,010,000.00Jun 13, 2018Jun 13, 2019: $85,010,000.00Jun 13, 2019Feb 20, 2020: $85,010,000.00Feb 20, 2020

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.

  • Minimum accepted$500,000 → $0

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Feb 20, 2020Amendment$85,010,000$0vs Jun 13, 20192SEC filing
Jun 13, 2019Amendment$85,010,000$10,000,000vs Jun 13, 20182SEC filing
Jun 13, 2018Amendment$75,010,000$0vs Jun 13, 20172SEC filing
Jun 13, 2017Initial$75,010,000No comparison2SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$0 (estimated)
Finders' fees
$0 (estimated)
Form D file number
021-288660

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Wellington Funds Distributors Inc.152768

Source: Form D, filed Feb 20, 2020. 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

WELLINGTON CONTINGENT SECURITIES FUND, L.P.

Investment adviser: WELLINGTON FUNDS (US) LLC

Gross asset value
$25.5M
Beneficial owners
0
ADV minimum commitment
$500K

Reported in Form ADV on Mar 31, 2021. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator INTERNATIONAL FUND SERVICES (N.A.), L.L.C. NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor PRICEWATERHOUSECOOPERS LLP BOSTON, Massachusetts, United States
Custodian STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Related to adviser: No
Marketer WELLINGTON FUNDS DISTRIBUTORS INC. BOSTON, Massachusetts, United States Related to adviser: Yes
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

PRICEWATERHOUSECOOPERS LLP
PCAOB 238

STATE STREET BANK AND TRUST COMPANY
LEI 571474TGEMMWANRLN572

WELLINGTON FUNDS DISTRIBUTORS INC.
CRD 152768 · SEC 8-68476

Filing source

Form ADV 1524952 · Mar 31, 2021 · Schedule D 7.B.(1), fund 805-1310574574

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
Wellington Funds (Us) Llc Executive, Promoter
Wellington Management Company Llp Executive, Promoter
Wellington Management Funds Inc. Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
Wellington Funds (Us) Llc 280 Congress Street
Boston, MA, 02210