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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0001860987 |
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Name of Issuer | |||||||||||||||
Brookfield Global Transition Fund-A, L.P. | |||||||||||||||
Jurisdiction of Incorporation/Organization | |||||||||||||||
DELAWARE | |||||||||||||||
Year of Incorporation/Organization | |||||||||||||||
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2. Principal Place of Business and Contact Information
Name of Issuer | |||
---|---|---|---|
Brookfield Global Transition Fund-A, L.P. | |||
Street Address 1 | Street Address 2 | ||
BROOKFIELD PLACE | 250 VESEY STREET, 15TH FLOOR | ||
City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
NEW YORK | NEW YORK | 10281 | (212) 417-7000 |
1. Issuer's Identity
CIK (Filer ID Number) | Previous Names |
| Entity Type | ||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
0001860572 |
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Name of Issuer | |||||||||||||||
Brookfield Global Transition Fund-B, L.P. | |||||||||||||||
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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Brookfield Global Transition Fund-B, L.P. | |||
Street Address 1 | Street Address 2 | ||
BROOKFIELD PLACE | 250 VESEY STREET, 15TH FLOOR | ||
City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
NEW YORK | NEW YORK | 10281 | (212) 417-7000 |
1. Issuer's Identity
CIK (Filer ID Number) | Previous Names |
| Entity Type | ||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
0001860573 |
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Name of Issuer | |||||||||||||||
Brookfield Global Transition Fund-C, L.P. | |||||||||||||||
Jurisdiction of Incorporation/Organization | |||||||||||||||
DELAWARE | |||||||||||||||
Year of Incorporation/Organization | |||||||||||||||
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2. Principal Place of Business and Contact Information
Name of Issuer | |||
---|---|---|---|
Brookfield Global Transition Fund-C, L.P. | |||
Street Address 1 | Street Address 2 | ||
BROOKFIELD PLACE | 250 VESEY STREET, 15TH FLOOR | ||
City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
NEW YORK | NEW YORK | 10281 | (212) 417-7000 |
1. Issuer's Identity
CIK (Filer ID Number) | Previous Names |
| Entity Type | ||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
0001860574 |
Luxembourg special limited partnership | ||||||||||||||
Name of Issuer | |||||||||||||||
Brookfield Global Transition Fund (ER) SCSp | |||||||||||||||
Jurisdiction of Incorporation/Organization | |||||||||||||||
LUXEMBOURG | |||||||||||||||
Year of Incorporation/Organization | |||||||||||||||
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2. Principal Place of Business and Contact Information
Name of Issuer | |||
---|---|---|---|
Brookfield Global Transition Fund (ER) SCSp | |||
Street Address 1 | Street Address 2 | ||
BROOKFIELD PLACE | 250 VESEY STREET, 15TH FLOOR | ||
City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
NEW YORK | NEW YORK | 10281 | (212) 417-7000 |
3. Related Persons
Last Name | First Name | Middle Name |
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Srulowitz | Mark | |
Street Address 1 | Street Address 2 | |
Brookfield Place | 250 Vesey Street, 15th Floor | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10281 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Managing Partner of the sole member of the GP of the Delaware IssuersLast Name | First Name | Middle Name |
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Stinebaugh | John | |
Street Address 1 | Street Address 2 | |
Brookfield Place | 250 Vesey Street, 15th Floor | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10281 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Managing Partner of the sole member of the GP of the Delaware IssuersLast Name | First Name | Middle Name |
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Deschatelets | Julian | |
Street Address 1 | Street Address 2 | |
Brookfield Place | 250 Vesey Street, 15th Floor | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10281 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Managing Director of the sole member of the GP of the Delaware IssuersLast Name | First Name | Middle Name |
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Kolar | Jordan | |
Street Address 1 | Street Address 2 | |
Brookfield Place | 250 Vesey Street, 15th Floor | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10281 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Managing Director of the sole member of the GP of the Delaware IssuersLast Name | First Name | Middle Name |
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Dyck | Karly | |
Street Address 1 | Street Address 2 | |
Brookfield Place | 250 Vesey Street, 15th Floor | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10281 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Senior VP of the sole member of the GP of the Delaware IssuersLast Name | First Name | Middle Name |
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Ritchie | Jennifer | |
Street Address 1 | Street Address 2 | |
Brookfield Place | 250 Vesey Street, 15th Floor | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10281 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Senior VP of the sole member of the GP of the Delaware IssuersLast Name | First Name | Middle Name |
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Tebbutt | Michael | |
Street Address 1 | Street Address 2 | |
Brookfield Place | 250 Vesey Street, 15th Floor | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10281 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Senior VP of the sole member of the GP of the Delaware IssuersLast Name | First Name | Middle Name |
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Diab | Jessica | |
Street Address 1 | Street Address 2 | |
Brookfield Place | 250 Vesey Street, 15th Floor | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10281 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Vice President of the sole member of the GP of the Delaware IssuersLast Name | First Name | Middle Name |
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Bini | Lydie | |
Street Address 1 | Street Address 2 | |
78 Rue Louis XIV | ||
City | State/Province/Country | ZIP/PostalCode |
Luxembourg | LUXEMBOURG | L-1948 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Manager of the GP of the Luxembourg IssuerLast Name | First Name | Middle Name |
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Leroi | Luc | |
Street Address 1 | Street Address 2 | |
13A rue de Clairefontaine | ||
City | State/Province/Country | ZIP/PostalCode |
Eischen | LUXEMBOURG | L-8460 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Manager of the GP of the Luxembourg IssuerLast Name | First Name | Middle Name |
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Parisi | Carolina | |
Street Address 1 | Street Address 2 | |
19, RUE EUGENE RUPPERT | ||
City | State/Province/Country | ZIP/PostalCode |
Luxembourg | LUXEMBOURG | L-2453 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Manager of the GP of the Luxembourg IssuerLast Name | First Name | Middle Name |
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Hattori | Keiji | |
Street Address 1 | Street Address 2 | |
Brookfield Place | 250 Vesey Street, 15th Floor | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10281 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Associate VP of the sole member of the GP of the Delaware Issuers4. 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 | |||
Decline to Disclose | X | Decline to Disclose | ||
Not Applicable | Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
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7. Type of Filing
X | New Notice | Date of First Sale | X | First Sale Yet to Occur | ||||
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 | X | 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 | $0 | USD |
12. Sales Compensation
Recipient |
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Brookfield Private Advisors LLC | 151423 | ||||||
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Brookfield Private Advisors LLC | 151423 | ||||||
Street Address 1 | Street Address 2 | ||||||
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Brookfield Place | 250 Vesey Street, 15th Floor | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10281 | |||||
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Recipient |
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Brookfield Private Capital (UK) Limited | None | ||||||
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Brookfield Private Capital (UK) Limited | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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98 Bishopsgate, 2nd Floor | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
London | UNITED KINGDOM | ECZ M 3XD | |||||
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Recipient |
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Brookfield Singapore Pte. Ltd | None | ||||||
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Brookfield Singapore Pte. Ltd | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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Income at Raffles | 16 Collyer Quay #24-01 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Singapore | SINGAPORE | 049318 | |||||
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Recipient |
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Brookfield Advisors (Hong Kong) Ltd | None | ||||||
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Brookfield Advisors (Hong Kong) Ltd | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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2302 Prosperity Tower | 39 Queens Road | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Central | HONG KONG | 999077 | |||||
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Recipient |
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Brookfield Investment Management (Canada) Inc. | None | ||||||
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Brookfield Investment Management (Canada) Inc. | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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Brookfield Place, Suite 300 | 181 Bay Street | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Toronto | ONTARIO, CANADA | MSJ 2T3 | |||||
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13. Offering and Sales Amounts
Total Offering Amount | USD |
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Total Amount Sold | $0 | 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 | $40,000,000 | USD |
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Finders' Fees | $0 | USD |
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Clarification of Response (if Necessary):
The figure disclosed above reflects estimated amounts expected to be paid to placement agents in respect of sales exempt from registration under Regulation D and/or other available exemptions and includes amounts paid to Brookfield affiliates.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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Brookfield Global Transition Fund-A, L.P. | Mark Srulowitz | Mark Srulowitz | Managing Partner of sole member of GP of Issuer | 2021-06-29 |
Brookfield Global Transition Fund-B, L.P. | Mark Srulowitz | Mark Srulowitz | Managing Partner of sole member of GP of Issuer | 2021-06-29 |
Brookfield Global Transition Fund-C, L.P. | Mark Srulowitz | Mark Srulowitz | Managing Partner of sole member of GP of Issuer | 2021-06-29 |
Brookfield Global Transition Fund (ER) SCSp | Lydie Bini/Luc Leroi | Lydie Bini/Luc Leroi | Managers of the GP of Issuer | 2021-06-29 |
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.