0001192482-16-000777.txt : 20161227 0001192482-16-000777.hdr.sgml : 20161226 20161227141234 ACCESSION NUMBER: 0001192482-16-000777 CONFORMED SUBMISSION TYPE: D/A PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b ITEM INFORMATION: Investment Company Act Section 3(c) ITEM INFORMATION: Section 3(c)(1) FILED AS OF DATE: 20161227 DATE AS OF CHANGE: 20161227 EFFECTIVENESS DATE: 20161227 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PENN CONVERTIBLE FUND LP CENTRAL INDEX KEY: 0001460893 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: D/A SEC ACT: 1933 Act SEC FILE NUMBER: 021-129776 FILM NUMBER: 162070407 BUSINESS ADDRESS: STREET 1: 1200 INTREPID AVENUE STREET 2: SUITE 400 CITY: PHILADELPHIA STATE: PA ZIP: 19112 BUSINESS PHONE: 215-302-1500 MAIL ADDRESS: STREET 1: 1200 INTREPID AVENUE STREET 2: SUITE 400 CITY: PHILADELPHIA STATE: PA ZIP: 19112 D/A 1 primary_doc.xml X0707 D/A LIVE 0001460893 PENN CONVERTIBLE FUND LP 1200 INTREPID AVENUE SUITE 400 PHILADELPHIA PA PENNSYLVANIA 19112 215-302-1500 DELAWARE None None Limited Partnership true Richard A. Hocker 1200 Intrepid Avenue Suite 400 Philadelphia PA PENNSYLVANIA 19112 Executive Officer Director of Penn Capital Management Company, Inc., the general partner of the Issuer (the "General Partner"). Marcia A. Hocker 1200 Intrepid Avenue Suite 400 Philadelphia PA PENNSYLVANIA 19112 Executive Officer Director of the General Partner. Kimberley A. Hocker 1200 Intrepid Avenue Suite 400 Philadelphia PA PENNSYLVANIA 19112 Director of the General Partner. Kirsten A. Hocker 1200 Intrepid Avenue Suite 400 Philadelphia PA PENNSYLVANIA 19112 Executive Officer Director of the General Partner. Eric J. Green 1200 Intrepid Avenue Suite 400 Philadelphia PA PENNSYLVANIA 19112 Executive Officer of the General Partner. Scott D. Schumacher 1200 Intrepid Avenue Suite 400 Philadelphia PA PENNSYLVANIA 19112 Executive Officer of the General Partner. Gerald McBride 1200 Intrepid Avenue Suite 400 Philadelphia PA PENNSYLVANIA 19112 Executive Officer of the General Partner. Peter Moran 1200 Intrepid Avenue Suite 400 Philadelphia PA PENNSYLVANIA 19112 Executive Officer of the General Partner Jorge Paulo Silva 1200 Intrepid Avenue Suite 400 Philadelphia PA PENNSYLVANIA 19112 Executive Officer of the general partner Pooled Investment Fund Hedge Fund false Decline to Disclose 06b 3C 3C.1 true 0001192482-16-000517 2004-02-02 true true false 0 SMH Capital Inc. 20580 None None 600 Travis Street Houston TX TEXAS 77002 NH NEW HAMPSHIRE IL ILLINOIS NJ NEW JERSEY TN TENNESSEE CA CALIFORNIA FL FLORIDA PA PENNSYLVANIA false VSR Financial Services Incorporated 14503 None None 8620 W 110th St Overland Park KS KANSAS 66210 NH NEW HAMPSHIRE IL ILLINOIS NJ NEW JERSEY TN TENNESSEE CA CALIFORNIA FL FLORIDA PA PENNSYLVANIA false Carol Lefcourt None None None PO Box 3313 Incline Village NV NEVADA 89450 NV NEVADA false Brinker Capital 38123 None None 1055 Westlakes Drive, Suite 250 Berwyn PA PENNSYLVANIA 19312 UT UTAH NY NEW YORK CO COLORADO WI WISCONSIN FL FLORIDA PA PENNSYLVANIA false Carlyle Wealth Management None None None 5 Concourse Parkway NE, #3000 Atlanta GA GEORGIA 30328 GA GEORGIA false VSRFinancial Services Incorporated 14503 None None 8620 W 110th St Overland Park KS KANSAS 66210 SC SOUTH CAROLINA CT CONNECTICUT GA GEORGIA AZ ARIZONA CA CALIFORNIA LA LOUISIANA WA WASHINGTON NJ NEW JERSEY MI MICHIGAN CO COLORADO FL FLORIDA MD MARYLAND PA PENNSYLVANIA false Indefinite 9466476 Indefinite false 46 0 124499 true 0 false PENN CONVERTIBLE FUND LP /s/ Lisa Matson Lisa Matson General Counsel to the General Partner 2016-12-23