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SEC filing record
Primary Source · SEC.gov

Abbott Secondary Opportunities Cayman, L.P.

Fund Vehicle2017 vintageRule 506(b), Section 3(c), Section 3(c)(7)Filing record

Built from the SEC filing index the day the filing landed. The figures below are the issuer's own from Form D; AltStreet's analysis, sponsor link and data flags follow when the entity is enriched.

Raised

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Investors

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Min Invest

None stated

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What this filing shows

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Every sentence is a value as filed on SEC Form D

Abbott Secondary Opportunities Cayman, L.P. is a Cayman Islands limited partnership organized in 2017 that filed a Form D with the SEC on August 14, 2017, describing itself as a private equity fund. The offering claims Rule 506(b), Section 3(c), Section 3(c)(7) and covers pooled investment fund interests. Abbott Secondary Opportunities Cayman, L.P. reported that the first sale had not yet occurred as of the Form D filed August 14, 2017, so no amount sold or investor count is on file. The total offering amount is listed as indefinite. The offering relies on Rule 506(b), which permits sales to accredited investors and to no more than 35 non-accredited investors who meet a sophistication standard, and prohibits general solicitation. Because the fund also relies on Section 3(c)(7), each investor must be a qualified purchaser, generally an individual with at least $5 million in investments. The filing reports no non-accredited investors. The filing lists the minimum investment as $0, meaning no minimum was stated. The Form D names Fortress Group, Inc. (CRD 104408), associated with None as the recipient of sales compensation soliciting in all states. Sales commissions are reported as $0 and finders' fees as $0. Form D allows these to be estimates. The issuer's address of record is C/O Abbott Capital Management, LLC, 1290 Avenue of the Americas, 9th Floor, New York, NY 10104.

EDGAR Filing Data

Form D — Primary Source

View on SEC.gov
CIK Number0001703190
Entity NameAbbott Secondary Opportunities Cayman, L.P.
ExemptionRule 506(b), Section 3(c), Section 3(c)(7)
What the exemption meansRule 506(b) of Regulation D: securities may be sold to an unlimited number of accredited investors and up to 35 non-accredited investors who meet the rule's sophistication standard, without general solicitation or advertising. Section 3(c) of the Investment Company Act of 1940: the issuer is a pooled investment vehicle relying on an exclusion from registration as an investment company. Section 3(c)(7) of the Investment Company Act: the fund is excluded from investment-company registration because every investor is a qualified purchaser, generally an individual with at least $5 million in investments or an institution with at least $25 million.
Entity TypeLimited Partnership
Jurisdiction of OrganizationCayman Islands
Year Organized2017
Issuer AddressC/O Abbott Capital Management, LLC, 1290 Avenue of the Americas, 9th Floor, New York, NY 10104
Phone(212) 757-2700
Industry / Fund TypePooled Investment Fund · Private Equity Fund
Investment Company ActExcluded under Section 3(c)(7) (qualified purchasers only)
Securities TypePooled investment fund interests
First Sale DateNot yet occurred (as filed)
Filing DateAugust 14, 2017
Accession Number0001703190-17-000002
Total Offering AmountIndefinite
Total Amount Sold$0 (no sales yet)
Total Investors0 (no sales yet)
Non-Accredited InvestorsNone
Minimum Investment$0 (no stated minimum)
Offering DurationOne year or less
Sales Commissions$0 (to Fortress Group, Inc.)
Finders' Fees$0
Revenue RangeNot Applicable
State (Issuer Address)NY
Amendment CountOriginal filing only

Filings on Record

Every filing AltStreet's ledger holds for this CIK, newest first. Each opens the SEC archive folder.

DAugust 14, 2017

In the Terminal

Filing events

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none on file

Critical / warning

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0 watch · 0 info

Statements extracted

0

none on file

NAV prints

0

none on file

Offering chains

1

pre_sale

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Fund family Part of the Abbott Secondary Opportunities family: 7 vehicles across 2 generations · adviser of record Abbott Capital Management LLC · full family and the filing behind each link in the terminal

Investor

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  • 1 offering timeline: velocity, share raised, first-sale lag, stalled flags

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Related Persons (Form D)

Executive officers, directors, and promoters listed on the SEC Form D filing. Source: SEC.gov.

Abbott Secondary Investors GP, L.P.

Director · New York, NY

"The general partner of the Issuer (the ""General Partner"")."

ACM Secondary GP, LLC

Director · New York, NY

"The general partner of the General Partner of the Issuer (the ""GP LLC"")."

Mary T. Hornby

Executive Officer · New York, NY

Executive Officer and Member of Abbott Capital Management, LLC, the sole member of the GP LLC.

Young T. Lee

Executive Officer · New York, NY

Executive Officer and Member of Abbott Capital Management, LLC, the sole member of the GP LLC.

Timothy W. Maloney

Executive Officer · New York, NY

Executive Officer and Member of Abbott Capital Management, LLC, the sole member of the GP LLC.

Lauren M. Massey

Executive Officer · New York, NY

Executive Officer and Member of Abbott Capital Management, LLC, the sole member of the GP LLC.

Leonard C. Pangburn

Executive Officer · New York, NY

Executive Officer and Member of Abbott Capital Management, LLC, the sole member of the GP LLC.

Paolo C. Parziale

Executive Officer · New York, NY

Executive Officer and Member of Abbott Capital Management, LLC, the sole member of the GP LLC.

Meredith L. Rerisi

Executive Officer · New York, NY

Executive Officer and Member of Abbott Capital Management, LLC, the sole member of the GP LLC.

Jonathan D. Roth

Executive Officer · New York, NY

Executive Officer and Member of Abbott Capital Management, LLC, the sole member of the GP LLC.

Matthew M. Smith

Executive Officer · New York, NY

Executive Officer and Member of Abbott Capital Management, LLC, the sole member of the GP LLC.

Kathryn J. Stokel

Executive Officer · New York, NY

Executive Officer and Member of Abbott Capital Management, LLC, the sole member of the GP LLC.

Charles H. van Horne

Executive Officer · New York, NY

Executive Officer and Member of Abbott Capital Management, LLC, the sole member of the GP LLC.

Placement Agents and Sales Compensation (Form D)

Who the issuer reported paying to sell the securities (Form D Item 12), with the FINRA registration number the filer gave. Source: SEC.gov.

Fortress Group, Inc.CRD 104408 on BrokerCheck

Associated broker-dealer: None · Atlanta, GA · Soliciting in all states

Questions About Abbott Secondary Opportunities Cayman, L.P.

Each answer is built from the values on the SEC filing and the AltStreet ledger, not from the issuer's marketing.

What is Abbott Secondary Opportunities Cayman, L.P.?

Abbott Secondary Opportunities Cayman, L.P. is a Cayman Islands limited partnership organized in 2017 that filed a Form D with the SEC on August 14, 2017 as a private equity fund. The filing claims Rule 506(b), Section 3(c), Section 3(c)(7) for an offering of pooled investment fund interests.

Is Abbott Secondary Opportunities Cayman, L.P. legit?

AltStreet does not rate legitimacy; it reports the public record. Abbott Secondary Opportunities Cayman, L.P. filed a Form D with the SEC on August 14, 2017 claiming Rule 506(b), Section 3(c), Section 3(c)(7). A Form D is a notice of an exempt offering, not a review or approval of it. No sales had been reported as of that notice. AltStreet's enforcement record (SEC, FINRA and state actions) shows no action naming the issuer as of today. Before investing, confirm the filing on EDGAR, check the seller's registration on FINRA BrokerCheck, and read the offering documents, which a Form D does not include.

Is Abbott Secondary Opportunities Cayman, L.P. registered with or approved by the SEC?

No. A Form D is a notice that an issuer is selling securities under an exemption from registration, and the SEC does not review, approve, or pass on the merits of the offering. The filing shows that Abbott Secondary Opportunities Cayman, L.P. claimed Rule 506(b), Section 3(c), Section 3(c)(7) and disclosed the items the form requires, such as the amount sold, the minimum investment, related persons, and anyone paid to sell the securities. It does not verify the issuer's claims or its business.

How much has Abbott Secondary Opportunities Cayman, L.P. raised?

Abbott Secondary Opportunities Cayman, L.P. reported that the first sale had not yet occurred as of the Form D filed August 14, 2017, so no amount sold or investor count is on file. The total offering amount is listed as indefinite.

Who can invest in Abbott Secondary Opportunities Cayman, L.P.?

The offering relies on Rule 506(b), which permits sales to accredited investors and to no more than 35 non-accredited investors who meet a sophistication standard, and prohibits general solicitation. Because the fund also relies on Section 3(c)(7), each investor must be a qualified purchaser, generally an individual with at least $5 million in investments. The filing reports no non-accredited investors. The filing lists the minimum investment as $0, meaning no minimum was stated.

What is the minimum investment in Abbott Secondary Opportunities Cayman, L.P.?

The Form D lists the minimum investment as $0, which means the issuer did not state a minimum on the form. The offering documents, not the Form D, set the actual subscription terms.

Who is selling Abbott Secondary Opportunities Cayman, L.P. and how are they paid?

The Form D names Fortress Group, Inc. (CRD 104408), associated with None as the recipient of sales compensation soliciting in all states. Sales commissions are reported as $0 and finders' fees as $0. Form D allows these to be estimates.

Who is behind Abbott Secondary Opportunities Cayman, L.P.?

The Form D lists 13 related persons: Abbott Secondary Investors GP, L.P., director ("The general partner of the Issuer (the ""General Partner"")."); ACM Secondary GP, LLC, director ("The general partner of the General Partner of the Issuer (the ""GP LLC"")."); Mary T. Hornby, executive officer (Executive Officer and Member of Abbott Capital Management, LLC, the sole member of the GP LLC); Young T. Lee, executive officer (Executive Officer and Member of Abbott Capital Management, LLC, the sole member of the GP LLC); Timothy W. Maloney, executive officer (Executive Officer and Member of Abbott Capital Management, LLC, the sole member of the GP LLC); Lauren M. Massey, executive officer (Executive Officer and Member of Abbott Capital Management, LLC, the sole member of the GP LLC); Leonard C. Pangburn, executive officer (Executive Officer and Member of Abbott Capital Management, LLC, the sole member of the GP LLC); Paolo C. Parziale, executive officer (Executive Officer and Member of Abbott Capital Management, LLC, the sole member of the GP LLC), and 5 more. Form D Item 3 requires executive officers, directors, and promoters of the issuer to be listed.

Where is Abbott Secondary Opportunities Cayman, L.P. located?

The issuer's address on its SEC filings is C/O Abbott Capital Management, LLC, 1290 Avenue of the Americas, 9th Floor, New York, NY 10104. Its phone number of record is (212) 757-2700. It is organized under the laws of Cayman Islands.

How long is the Abbott Secondary Opportunities Cayman, L.P. offering open?

The issuer indicated that the offering is not intended to last more than one year. An issuer must amend its Form D annually while a continuing offering stays open, and no amendment is on record yet.

How large is Abbott Secondary Opportunities Cayman, L.P.?

The Form D reports a revenue range of Not Applicable.

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Data Methodology

Capital raise figures, investor counts, and filing dates are sourced directly from SEC EDGAR Form D primary documents via the SEC EDGAR submissions API and full-text search index. EDGAR entity profiles and deal-level data are reviewed by AltStreet analysts with backgrounds in corporate finance and securities law — cross-referenced against offering circulars, audited financial statements, and primary regulatory filings before publication. Platform-provided information, where present, is clearly labeled and does not affect EDGAR data or AltStreet editorial coverage. Platforms may request factual corrections for demonstrable inaccuracies by contacting [email protected]. This page does not constitute investment advice.