The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM D Notice of Exempt Offering of Securities |
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1. Issuer's Identity
CIK (Filer ID Number) | Previous Names |
| Entity Type | ||||||||||||
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0001393065 |
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Name of Issuer | |||||||||||||||
CLEARFORK CAPITAL FUND LLC | |||||||||||||||
Jurisdiction of Incorporation/Organization | |||||||||||||||
DELAWARE | |||||||||||||||
Year of Incorporation/Organization | |||||||||||||||
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2. Principal Place of Business and Contact Information
Name of Issuer | |||
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CLEARFORK CAPITAL FUND LLC | |||
Street Address 1 | Street Address 2 | ||
TWO INTERNATIONAL PLACE | |||
City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
BOSTON | MASSACHUSETTS | 02110 | 617-482-8260 |
3. Related Persons
Last Name | First Name | Middle Name |
---|---|---|
Eaton Vance | Management | |
Street Address 1 | Street Address 2 | |
Two International Place | ||
City | State/Province/Country | ZIP/PostalCode |
Boston | MASSACHUSETTS | 02110 |
Relationship: | Executive Officer | Director | X | Promoter |
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Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
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Whelan | Robert | J. |
Street Address 1 | Street Address 2 | |
c/o Eaton Vance Management | Two International Place | |
City | State/Province/Country | ZIP/PostalCode |
Boston | MASSACHUSETTS | 02110 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Executive Officer of the ManagerLast Name | First Name | Middle Name |
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Marius | Frederick | S. |
Street Address 1 | Street Address 2 | |
c/o Eaton Vance Management | Two International Place | |
City | State/Province/Country | ZIP/PostalCode |
Boston | MASSACHUSETTS | 02110 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Executive Officer of the ManagerLast Name | First Name | Middle Name |
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Faust Jr. | Thomas | E. |
Street Address 1 | Street Address 2 | |
c/o Eaton Vance Management | Two International Place | |
City | State/Province/Country | ZIP/PostalCode |
Boston | MASSACHUSETTS | 02110 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Executive Officer of the ManagerLast Name | First Name | Middle Name |
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Murphy | A. John | |
Street Address 1 | Street Address 2 | |
c/o Eaton Vance Management | Two International Place | |
City | State/Province/Country | ZIP/PostalCode |
Boston | MASSACHUSETTS | 02110 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Executive Officer of the Manager4. Industry Group
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5. Issuer Size
Revenue Range | OR | Aggregate Net Asset Value Range | ||
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No Revenues | No Aggregate Net Asset Value | |||
$1 - $1,000,000 | $1 - $5,000,000 | |||
$1,000,001 - $5,000,000 | $5,000,001 - $25,000,000 | |||
$5,000,001 - $25,000,000 | $25,000,001 - $50,000,000 | |||
$25,000,001 - $100,000,000 | $50,000,001 - $100,000,000 | |||
Over $100,000,000 | Over $100,000,000 | |||
X | Decline to Disclose | Decline to Disclose | ||
Not Applicable | Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
Rule 504(b)(1) (not (i), (ii) or (iii)) | Rule 505 | |||||||||||||||||||||||||||||||||||
Rule 504 (b)(1)(i) | X | Rule 506 | ||||||||||||||||||||||||||||||||||
Rule 504 (b)(1)(ii) | Securities Act Section 4(5) | |||||||||||||||||||||||||||||||||||
Rule 504 (b)(1)(iii) | Investment Company Act Section 3(c) | |||||||||||||||||||||||||||||||||||
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7. Type of Filing
New Notice | Date of First Sale | 2007-06-21 | First Sale Yet to Occur | ||||||
X | Amendment |
8. Duration of Offering
Does the Issuer intend this offering to last more than one year? |
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9. Type(s) of Securities Offered (select all that apply)
X | Equity | Pooled Investment Fund Interests | |
Debt | Tenant-in-Common Securities | ||
Option, Warrant or Other Right to Acquire Another Security | Mineral Property Securities | ||
Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security | Other (describe) | ||
10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
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Clarification of Response (if Necessary):
11. Minimum Investment
Minimum investment accepted from any outside investor | $250,000 | USD |
12. Sales Compensation
Recipient |
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Eaton Vance Distributors, Inc. | None | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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Two International Place | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Boston | MASSACHUSETTS | 02110 | |||||
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Recipient |
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Fidelity Capital Markets Services | None | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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200 Seaport Boulevard | Mail Zone Z2M | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Boston | MASSACHUSETTS | 02110 | |||||
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Recipient |
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Banc of America Investment Services | None | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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100 Federal Street | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Boston | MASSACHUSETTS | 02110 | |||||
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Recipient |
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Bank of America, N.A. | None | |||||||||||||||||||||||||||||||||||||||||||||||
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None | None | |||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||||||||||||||||||||||||||||||||||||
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100 SouthTryon Street | ||||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||||||||||||||||||||||||||||||||||||
Charlotte | NORTH CAROLINA | 28255 | ||||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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Charles Schwab & Company, Inc, | None | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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SF120KNY-12-345 | 101 Montgomery Street | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
San Francisco | CALIFORNIA | 94104 | |||||
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Recipient |
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Comerica Securities, LLC | None | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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201 W. Fort Street | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Detroit | MICHIGAN | 48226 | |||||
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Recipient |
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Credit Suisse Securities (USA) | None | ||||||||||||||||||||||||||||||||||||||||||||||||||
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None | None | ||||||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||||||||||||||||
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11 Madison Avenue | 7th floor | ||||||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||||||||||||||
New York | NEW YORK | 10010 | |||||||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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Deutsche Bank Securities, Inc. | None | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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60 Wall Street | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10005 | |||||
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Recipient |
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Fifth Third Bank | None | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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38 Fountain Square Plaza | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Cincinnati | OHIO | 45202 | |||||
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Recipient |
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Linsco/Private Ledger Corp. | None | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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One Beacon Street | 22nd Floor | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Boston | MASSACHUSETTS | 02108-3106 | |||||
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Recipient |
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Morgan Keegan & Company, Inc. | None | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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50 Front Street | Morgan Keegan Tower | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Memphis | TENNESSEE | 38103 | |||||
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Recipient |
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Morgan Stanley & Co., Incorporated | None | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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1585 Broadway | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10036 | |||||
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Recipient |
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Northern Trust Securities, Inc. | None | ||||||||||||||||||||||||||||||||||
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None | None | ||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||
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50 S. LaSalle Street | BB-12 | ||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||
Chicago | ILLINOIS | 60675 | |||||||||||||||||||||||||||||||||
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Recipient |
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Oppenheimer & Co., Inc. | None | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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200 Park Avenue | 24th floor | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10166 | |||||
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Recipient |
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Raymond James & Associates, Inc. | None | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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800 Carillon Parkway | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
St. Petersburg | FLORIDA | 33716 | |||||
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Recipient |
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Raymond James Financial Services, Inc. | None | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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800 Carillon Parkway | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
St. Petersburg | FLORIDA | 33716 | |||||
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Recipient |
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Robert W. Baird & Co., Incorporated | None | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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777 East Wisconsin Avenue | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Milwaukee | WISCONSIN | 53202 | |||||
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Recipient |
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SunTrust Bank | None | ||||||||||
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None | None | ||||||||||
Street Address 1 | Street Address 2 | ||||||||||
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Special Processing, GA-ATL-3133 | 303 Peachtree Street | ||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||
Atlanta | GEORGIA | 30308 | |||||||||
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Recipient |
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Citigroup Capital Markets Inc. | None | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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388 Greenwich Street | 18th Floor | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10013 | |||||
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Recipient |
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RBC Dain Rauscher Inc. | None | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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60 South Sixth Street | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Minneapolis | MINNESOTA | 55402 | |||||
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Recipient |
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Wells Fargo Investments, LLC | None | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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420 Montgomery Street | 12th floor | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
San Francisco | CALIFORNIA | 94104 | |||||
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Recipient |
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SunTrust Investment Services | None | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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303 Peachtree Center Avenue | Suite 140 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Atlanta | GEORGIA | 30303 | |||||
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Recipient |
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UBS Financial Services Inc. | None | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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1285 Avenue of the Americas | 37th Floor | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10019 | |||||
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Recipient |
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Wells Fargo Advisors | None | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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One North Jefferson | H-0003-041 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
St. Louis | MISSOURI | 63103 | |||||
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Recipient |
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Merrill Lynch, Pierce Fenner & Smith Incorporated | None | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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4 World Financial Center | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10281 | |||||
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13. Offering and Sales Amounts
Total Offering Amount | USD |
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Total Amount Sold | $31,181,820 | USD | ||||
Total Remaining to be Sold | USD |
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Clarification of Response (if Necessary):
14. Investors
Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering. | |||
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: |
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15. Sales Commissions & Finder's Fees Expenses
Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
Sales Commissions | $600,000 | USD |
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Finders' Fees | $0 | USD |
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Clarification of Response (if Necessary):
16. Use of Proceeds
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
$0 | USD |
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Clarification of Response (if Necessary):
Signature and Submission
Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.
Terms of Submission
In submitting this notice, each issuer named above is: |
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Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.
For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.
Issuer | Signature | Name of Signer | Title | Date |
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CLEARFORK CAPITAL FUND LLC | /s/ A. John Murphy | A. John Murphy | Vice President of Manager | 2011-03-09 |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.
* This undertaking does not affect any limits Section 102(a) of the National Securities Markets Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to require information. As a result, if the securities that are the subject of this Form D are "covered securities" for purposes of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot routinely require offering materials under this undertaking or otherwise and can require offering materials only to the extent NSMIA permits them to do so under NSMIA's preservation of their anti-fraud authority.