Form D · Other Investment Fund

Whitman High Conviction Fund

New York, NY · CIK 0001543758

Offering snapshot reported Mar 12, 2018 · SEC filing

Reported sold
$155M
Indefinite offering
Investors reported
42
Form D · investor count
Minimum accepted
$50K
Reported outside-investor minimum
First sale
Mar 1, 2012
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$77.3M$155MMar 7, 2012: $109,393,830.00Mar 7, 2012Mar 4, 2013: $115,913,830.00Mar 6, 2014: $120,592,169.00Mar 6, 2015: $126,824,269.00Mar 15, 2016: $137,095,843.00Mar 15, 2017: $148,625,518.00Mar 12, 2018: $154,512,378.00Mar 12, 2018

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$148,625,518 → $154,512,378

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Mar 12, 2018Amendment$154,512,378$5,886,860vs Mar 15, 201742SEC filing
Mar 15, 2017Amendment$148,625,518$11,529,675vs Mar 15, 201642SEC filing
Mar 15, 2016Amendment$137,095,843$10,271,574vs Mar 6, 201542SEC filing
Mar 6, 2015Amendment$126,824,269$6,232,100vs Mar 6, 201437SEC filing
Mar 6, 2014Amendment$120,592,169$4,678,339vs Mar 4, 201336SEC filing
Mar 4, 2013Amendment$115,913,830$6,520,000vs Mar 7, 201234SEC filing
Mar 7, 2012Initial$109,393,830No comparison20SEC filing

Offering details

Securities
Pooled investment fund, Other
Exemptions
06b, 3C, 3C.1
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-174483
Total sold includes $106,255,348 of securities transferred in kind, and $48,257,030 represents cash contributions.
Common units of beneficial interests in the Fund.

Source: Form D, filed Mar 12, 2018. 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

WHITMAN HIGH CONVICTION FUND

Investment adviser: THIRD AVENUE MANAGEMENT LLC

Gross asset value
$147M
Beneficial owners
38
ADV minimum commitment
$50K

Reported in Form ADV on Mar 30, 2016. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator BNY MELLON ASSET SERVICING NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor PRICEWATERHOUSECOOPERS LLP NEW YORK, New York, United States
Custodian JPMORGAN CHASE 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 978073 · Mar 30, 2016 · Schedule D 7.B.(1), fund 805-4408406235

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
David M. Barse Executive
Vincent J. Dugan Executive
Willard James Hall Executive
Barbara E. Whitman Executive
Martin J. Whitman Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
622 Third Avenue 32 Nd Floor
New York, NY, 10017