FORM D
Notice of Exempt Offering of Securities

UNITED STATES SECURITIES
AND EXCHANGE COMMISSION
Washington, D.C.

OMB APPROVAL
OMB Number: 3235-0076
Estimated Average burden hours per response: 4.0
1. Issuer's Identity
CIK (Filer ID Number)Previous Name(s)Checkbox checkedNoneEntity Type
0001467029
Radio button not checkedCorporation
Radio button checked Limited Partnership
Radio button not checked Limited Liability Company
Radio button not checked General Partnership
Radio button not checked Business Trust
Radio button not checkedOther 
Name of Issuer
 400 Capital Credit Opportunities Fund LP
Jurisdiction of Incorporation/Organization
DELAWARE 
Year of Incorporation/Organization
Radio button checkedOver Five Years Ago
Radio button not checkedWithin Last Five Years (Specify Year)
 
Radio button not checkedYet to Be Formed
 
  
  
 
2. Principal Place of Business and Contact Information
Name of Issuer
 400 Capital Credit Opportunities Fund LP
Street Address 1Street Address 2
 C/O 400 CAPITAL GP LLC
 510 MADISON AVENUE, 17TH FLOOR
CityState/Province/CountryZIP/Postal CodePhone No. of Issuer
 NEW YORK
 NEW YORK
 
 10022
 212-612-3101 



3. Related Persons

Last NameFirst NameMiddle Name
400 Capital GP LLC
--
Street Address 1Street Address 2
 510 Madison Avenue 
 17th Floor
CityState/Province/CountryZIP/Postal Code
 New York
 NEW YORK
 10022
 
Relationship:Checkbox checkedExecutive OfficerCheckbox not checkedDirectorCheckbox not checkedPromoter
Clarification of Response (if Necessary)
General Partner of the Issuer


Last NameFirst NameMiddle Name
Hentemann
Christopher
Street Address 1Street Address 2
 c/o 400 Capital GP LLC 
 510 Madison Avenue, 17th Floor
CityState/Province/CountryZIP/Postal Code
 New York
 NEW YORK
 10022
 
Relationship:Checkbox checkedExecutive OfficerCheckbox not checkedDirectorCheckbox not checkedPromoter
Clarification of Response (if Necessary)
Mr. Hentemann is Managing Member of 400 Capital GP LLC, the General Partner of the Issuer.


Last NameFirst NameMiddle Name
400 Capital Management LLC
N/A
Street Address 1Street Address 2
 510 Madison Avenue 
 17th Floor
CityState/Province/CountryZIP/Postal Code
 New York
 NEW YORK
 10022
 
Relationship:Checkbox checkedExecutive OfficerCheckbox not checkedDirectorCheckbox checkedPromoter
Clarification of Response (if Necessary)
Investment Manager of the Issuer




4. Industry Group
 Radio button not checkedAgriculture
Banking & Financial Services
 Radio button not checked Commercial Banking
 Radio button not checked Insurance
 Radio button not checkedInvesting
 Radio button not checked Investment Banking
 Radio button checked Pooled Investment Fund

*Is the issuer registered as an investment company under the Investment Company Act of 1940?
Radio button not checked Yes  Radio button checkedNo
 Radio button not checkedOther Banking & Financial Services
Radio button not checked Business Services
Energy
 Radio button not checked Coal Mining
 Radio button not checked Electric Utilities
 Radio button not checked Energy Conservation
 Radio button not checked Environmental Services
 Radio button not checked Oil & Gas
 Radio button not checked Other Energy
Health Care
 Radio button not checked Biotechnology
 Radio button not checked Health Insurance
 Radio button not checked Hospitals & Physicians
 Radio button not checked Pharmaceuticals
 Radio button not checked Other Health Care
   
   
   
  
Radio button not checked Manufacturing
Real Estate
 Radio button not checkedCommercial
 Radio button not checkedConstruction
 Radio button not checkedREITS & Finance
 Radio button not checkedResidential
Radio button not checkedOther Real Estate
Radio button not checked Retailing
Radio button not checkedRestaurants
Technology
Radio button not checked Computers
Radio button not checked Telecommunications
Radio button not checked Other Technology
Travel
Radio button not checked Airlines & Airports
Radio button not checked Lodging & Conventions
Radio button not checked Tourism & Travel Services
Radio button not checked Other Travel
Radio button not checkedOther

  
   
5. Issuer Size
Revenue RangeAggregate Net Asset Value Range
Radio button not checkedNo RevenuesRadio button not checked No Aggregate Net Asset Value
Radio button not checked $1 - $1,000,000Radio button not checked$1 - $5,000,000
Radio button not checked $1,000,001 - $5,000,000Radio button not checked $5,000,001 - $25,000,000
Radio button not checked$5,000,001 - $25,000,000Radio button not checked $25,000,001 - $50,000,000
Radio button not checked$25,000,001 - $100,000,000Radio button not checked $50,000,001 - $100,000,000
Radio button not checked Over $100,000,000Radio button not checked Over $100,000,000
Radio button not checked Decline to Disclose Radio button checkedDecline to Disclose
Radio button not checked Not ApplicableRadio button not checked Not Applicable

 
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
Checkbox not checkedRule 504(b)(1) (not (i), (ii)
or (iii))		Checkbox checkedRule 506(b)      
Checkbox not checkedRule 504 (b)(1)(i) Checkbox not checkedRule 506(c)
Checkbox not checkedRule 504 (b)(1)(ii) Checkbox not checkedSecurities Act Section 4(a)(5)
Checkbox not checkedRule 504 (b)(1)(iii)Checkbox checkedInvestment Company Act Section 3(c)
Checkbox not checkedSection 3(c)(1)Checkbox not checkedSection 3(c)(9)
Checkbox not checkedSection 3(c)(2)Checkbox not checkedSection 3(c)(10)
Checkbox not checkedSection 3(c)(3)Checkbox not checkedSection 3(c)(11)
Checkbox not checkedSection 3(c)(4)Checkbox not checkedSection 3(c)(12)
Checkbox not checkedSection 3(c)(5)Checkbox not checkedSection 3(c)(13)
Checkbox not checkedSection 3(c)(6)Checkbox not checkedSection 3(c)(14)
Checkbox checkedSection 3(c)(7)
 
 

7. Type of Filing
Checkbox not checked New Notice Date of First Sale 
2010-01-01
Checkbox not checked First Sale Yet to Occur
Checkbox checked Amendment


 
 
8. Duration of Offering
Does the Issuer intend this offering to last more than one year? Radio button checked Yes Radio button not checked No
 
 
9. Type(s) of Securities Offered (select all that apply)
Checkbox checkedPooled Investment Fund InterestsCheckbox not checkedEquity
Checkbox not checkedTenant-in-Common Securities Checkbox not checkedDebt
Checkbox not checkedMineral Property SecuritiesCheckbox not checkedOption, Warrant or Other Right to Acquire Another Security
Checkbox not checkedSecurity to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire SecurityCheckbox not checkedOther (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? Radio button not checked Yes Radio button checked No
Clarification of Response (if Necessary)
 
 
 
11. Minimum Investment
Minimum investment accepted from any outside investor$
 0
USD

12. Sales Compensation
Recipient Recipient CRD NumberCheckbox not checkedNone
 EDGELINE CAPITAL, LLC.
 152774
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
11726 SAN VICENTE BLVD
SUITE 610
City State/Province/CountryZIP/Postal Code
 LOS ANGELES
 CALIFORNIA
 90049
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
ILLINOIS
TEXAS
LOUISIANA
FLORIDA
OHIO
NEW YORK
CALIFORNIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 YOUNG AMERICA CAPITAL, LLC
 150443
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
141 EAST BOSTON POST ROAD
 
City State/Province/CountryZIP/Postal Code
 MAMARONECK
 NEW YORK
 10543
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
DELAWARE
TEXAS
FLORIDA
NEVADA
WASHINGTON
NEW YORK
SOUTH CAROLINA
MASSACHUSETTS
MARYLAND
IOWA
MICHIGAN
OKLAHOMA
CALIFORNIA
UTAH
MISSOURI
ILLINOIS
MONTANA
VIRGINIA
COLORADO
ARKANSAS
CONNECTICUT
PENNSYLVANIA
NORTH CAROLINA
ARIZONA
NEW JERSEY
VERMONT
NEW MEXICO
Recipient Recipient CRD NumberCheckbox not checkedNone
 MISCHLER FINANCIAL GROUP, INC.
 37818
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
1111 BAYSIDE DRIVE
SUITE 100
City State/Province/CountryZIP/Postal Code
 CORONA DEL MAR
 CALIFORNIA
 92625
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
DELAWARE
TEXAS
FLORIDA
NEVADA
WASHINGTON
NEW YORK
SOUTH CAROLINA
WISCONSIN
MASSACHUSETTS
MARYLAND
IOWA
MAINE
OHIO
GEORGIA
IDAHO
MICHIGAN
OKLAHOMA
CALIFORNIA
UTAH
WEST VIRGINIA
MINNESOTA
MISSOURI
ILLINOIS
OREGON
INDIANA
MISSISSIPPI
KANSAS
ALASKA
ALABAMA
VIRGINIA
COLORADO
KENTUCKY
ARKANSAS
CONNECTICUT
PENNSYLVANIA
LOUISIANA
NORTH CAROLINA
NORTH DAKOTA
NEBRASKA
ARIZONA
NEW HAMPSHIRE
TENNESSEE
NEW JERSEY
VERMONT
DISTRICT OF COLUMBIA
NEW MEXICO
Recipient Recipient CRD NumberCheckbox not checkedNone
 MERCURY CAPITAL ADVISORS, LLC
 152338
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
225 LIBERTY STREET
36TH FLOOR
City State/Province/CountryZIP/Postal Code
 NEW YORK
 NEW YORK
 10281
State(s) of SolicitationCheckbox checkedAll StatesCheckbox checkedForeign/Non-US
 



13. Offering and Sales Amounts
 
Total Offering Amount $
 
USDCheckbox checkedIndefinite
Total Amount Sold $
907103829
USD
Total Remaining to be Sold $
 
USDCheckbox checkedIndefinite
Clarification of Response (if Necessary)
  
 
14. Investors

Checkbox not checkedSelect if securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
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:
218
 
15. Sales Commissions & Finders’ 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$
0
USDCheckbox checkedEstimate
Finders' Fees$
0
USDCheckbox checkedEstimate
Clarification of Response (if Necessary)
Item 12 recipients pd amount equal to percentage of mgmt fee pd to Investment Mgr (or affiliate) attributable to certain assets under mgmt &/or incentive allocation. Young America, Mischler & Mercury agmts terminated and no longer offer sales for Issuer.
 

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
USDCheckbox checkedEstimate
Clarification of Response (if Necessary)
Issuer's confidential offering materials fully discuss management fees and incentive allocations

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: 
 
  • Notifying the SEC and/or each State in which this notice is filed of the offering of securities described and undertaking to furnish them, upon written request, the information furnished to offerees.
  • Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator or other legally designated officer of the State in which the Issuer maintains its principal place of business and any State in which this notice is filed, as its agents for service of process, and agreeing that these persons may accept service on its behalf, of any notice, process or pleading, and further agreeing that such service may be made by registered or certified mail, in any Federal or state action, administrative proceeding, or arbitration brought against it in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in connection with the offering of securities that is the subject of this notice, and (b) is founded, directly or indirectly, upon the provisions of:  (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii) the laws of the State in which the issuer maintains its principal place of business or any State in which this notice is filed.
  • Certifying that, if the issuer is claiming a Regulation D exemption for the offering, the issuer is not disqualified from relying on Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) or Rule 506(d).
 
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.
 
IssuerSignatureName of SignerTitleDate
400 Capital Credit Opportunities Fund LP/s/ Chris HentemannChris HentemannManaging Member of the General Partner2021-08-06