Form D · Hedge Fund
Seligman Spectrum Focus Fund LLC
New York, NY · CIK 0001417390
Offering snapshot reported May 16, 2012 · SEC filing
- Reported sold
- $151M Indefinite offering
- Investors reported
- 94 Form D · investor count
- Minimum accepted
- $1M Reported outside-investor minimum
- First sale
- Feb 1, 2007 As reported in this filing
Fundraising history
Reported soldDates 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$148,209,000 → $151,359,000
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| May 16, 2012 | Amendment | $151,359,000 | $3,150,000vs May 13, 2011 | 94 | SEC filing |
| May 13, 2011 | Amendment | $148,209,000 | $61,954,000vs May 13, 2010 | 94 | SEC filing |
| May 13, 2010 | Amendment | $86,255,000 | $43,335,000vs Mar 16, 2009 | 80 | SEC filing |
| Mar 16, 2010 | Amendment | $86,255,000 | $43,335,000vs Mar 16, 2009 | 80 | SEC filing |
| Mar 16, 2009 | Amendment | $42,920,000 | No comparison | Not reported | SEC filing |
| Oct 31, 2007 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Pooled investment fund
- Exemptions
- 06, 3C, 3C.7
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $0 (estimated)
- Finders' fees
- $0 (estimated)
- Form D file number
- 021-110621
The entity listed in Item 12 above is paid directly or indirectly commissions or similar sales compensation equal to a percentage of the management fee.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Columbia Management Investment Distributors, Inc. | 840 |
Source: Form D, filed May 16, 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
SELIGMAN SPECTRUM FOCUS FUND LLC
Investment adviser: COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
- Gross asset value
- Not reported
- Beneficial owners
- Not reported
- ADV minimum commitment
- Not reported
Reported in Form ADV on Apr 18, 2012. Fund assets and beneficial owners measure different things from Form D sales and investors.
Service providers
No provider names available in this fund's imported disclosure.
Provider details
- Annual audit
- Not reported
- Prime brokers
- Not reported
- Custodians
- Not reported
- Administrator other than the adviser
- Not reported
- External marketing
- Not reported
Filing source
Form ADV 641275 · Apr 18, 2012 · Schedule D 7.B.(1), fund 805-8372999654
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.
| Name | Reported role |
|---|---|
| Peter A. Gallus | Executive |
| Amy K. Johnson | Executive |
| Christopher P. Keating | Executive |
| Brian J. Mc Grane | Executive |
| Jeffrey F. Peters | Executive |
| Scott R. Plummer | Executive |
| William F. Truscott | Executive |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:New York, NY, 10017