Form D · Other Investment Fund

WHI Fixed Income Fund III LP

Chicago, IL · CIK 0001417740

Offering snapshot reported Oct 1, 2010 · SEC filing

Reported sold: $9.18M
Investors reported: 32
Minimum accepted: $65K
First sale: Sep 23, 2010

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 1, 2010	Initial	$9,180,000	No comparison	32	SEC filing
Nov 1, 2007	Paper	Not reported	No comparison	Not reported	SEC filing

Offering details

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

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-148441

Source: Form D, filed Oct 1, 2010. 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 FIXED INCOME FUND III, L.P.

Investment adviser: WILLIAM HARRIS INVESTORS, INC.

Gross asset value: $18.8M
Beneficial owners: 46
ADV minimum commitment: $65K

Reported in Form ADV on Mar 21, 2017. 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 JP MORGAN CHASE BANK NA NEW YORK, New York, United States Related to adviser: No

Provider details

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

Filing source

Form ADV 1074481 · Mar 21, 2017 · Schedule D 7.B.(1), fund 805-2156001977

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:

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