Form D · Other Investment Fund

WHI ETF FUND LP

Chicago, IL · CIK 0001450788

Offering snapshot reported Jan 13, 2012 · SEC filing

Reported sold: $4.24M
Investors reported: 19
Minimum accepted: $100K
First sale: Oct 13, 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$2,695,000 → $4,240,000

Filing history

Scroll to see all columns →

Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Jan 13, 2012	Amendment	$4,240,000	$1,545,000vs Jan 12, 2011	19	SEC filing
Jan 12, 2011	Amendment	$2,695,000	$350,000vs Jan 12, 2010	19	SEC filing
Jan 12, 2010	Initial	$2,345,000	No comparison	17	SEC filing
Nov 17, 2008	Paper	Not reported	No comparison	Not reported	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06
Duration over one year: Yes
Business combination: No

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-124555

Original Form D filed October 2008. No further sales will be made.

Source: Form D, filed Jan 13, 2012. 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

WHI ETF FUND, L.P.

Investment adviser: WILLIAM HARRIS INVESTORS, INC.

Gross asset value: $4.67M
Beneficial owners: 19
ADV minimum commitment: $50K

Reported in Form ADV on Jul 26, 2012. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator SS&C TECHNOLOGIES, INC. WINDSOR, Connecticut, United States Investor statements: Some (provided to some but not all investors) Related to adviser: No

Auditor ERNST & YOUNG LLP CHICAGO, Illinois, United States

Custodian PERSHING ADVISOR SOLUTIONS LLC JERSEY CITY, New Jersey, United States Related to adviser: No

Prime broker PERSHING LLC JERSEY CITY, New Jersey, United States

Provider details

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

PERSHING ADVISOR SOLUTIONS LLC
SEC 8-47425

PERSHING LLC
CRD 7560 · SEC 8-17574

Filing source

Form ADV 661803 · Jul 26, 2012 · Schedule D 7.B.(1), fund 805-9170885116

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
Jack R Polsky	Director, Executive
Charles V Polsky	Director
Michael S. Resnick	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

William Harris Investors Inc 191 N Wacker Drive, Suite 1500
Chicago, IL, 60606