0001192482-18-000496.txt : 20181214 0001192482-18-000496.hdr.sgml : 20181214 20181214140042 ACCESSION NUMBER: 0001192482-18-000496 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: 20181214 DATE AS OF CHANGE: 20181214 EFFECTIVENESS DATE: 20181214 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: 181235269 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 X0708 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 Director of the General Partner. Gerald McBride 1200 Intrepid Avenue Suite 400 Philadelphia PA PENNSYLVANIA 19112 Executive Officer Director 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 0001192482-17-000319 2004-02-02 true true false 0 SMH Capital Inc. 20580 None None 600 Travis Street Houston TX TEXAS 77002 CA CALIFORNIA FL FLORIDA IL ILLINOIS NH NEW HAMPSHIRE NJ NEW JERSEY PA PENNSYLVANIA TN TENNESSEE false VSR Financial Services Incorporated 14503 None None 8620 W 110th St Overland Park KS KANSAS 66210 AZ ARIZONA CA CALIFORNIA CO COLORADO CT CONNECTICUT FL FLORIDA GA GEORGIA IL ILLINOIS LA LOUISIANA MD MARYLAND MI MICHIGAN NH NEW HAMPSHIRE NJ NEW JERSEY PA PENNSYLVANIA SC SOUTH CAROLINA TN TENNESSEE WA WASHINGTON 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 CO COLORADO FL FLORIDA NY NEW YORK PA PENNSYLVANIA UT UTAH WI WISCONSIN false Carlyle Wealth Management None None None 5 Concourse Parkway NE, #3000 Atlanta GA GEORGIA 30328 GA GEORGIA false Strategic Financial Alliance Inc. 126514 None None 2200 Century Parkway, Suite 500 Atlanta GA GEORGIA 30345 NJ NEW JERSEY PA PENNSYLVANIA false Indefinite 9466476 Indefinite false 46 146622 true 0 0 false PENN CONVERTIBLE FUND LP /s/ Lisa Matson Lisa Matson General Counsel to the General Partner 2018-12-11