0000945621-14-000214.txt : 20140804 0000945621-14-000214.hdr.sgml : 20140804 20140804111424 ACCESSION NUMBER: 0000945621-14-000214 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)(7) FILED AS OF DATE: 20140804 DATE AS OF CHANGE: 20140804 EFFECTIVENESS DATE: 20140804 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Candlewood Financial Opportunities Fund, LLC CENTRAL INDEX KEY: 0001583022 IRS NUMBER: 371737390 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: D/A SEC ACT: 1933 Act SEC FILE NUMBER: 021-200707 FILM NUMBER: 141011888 BUSINESS ADDRESS: STREET 1: 777 THIRD AVENUE STREET 2: SUITE 19B CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212.493.4495 MAIL ADDRESS: STREET 1: 777 THIRD AVENUE STREET 2: SUITE 19B CITY: NEW YORK STATE: NY ZIP: 10017 D/A 1 primary_doc.xml X0707 D/A LIVE 0001583022 Candlewood Financial Opportunities Fund, LLC 777 THIRD AVENUE SUITE 19B NEW YORK NY NEW YORK 10017 212.493.4495 DELAWARE None None Limited Liability Company true 2013 N/A Candlewood Financial Opportunities General, LLC 777 Third Avenue Suite 19B New York NY NEW YORK 10017 Executive Officer Managing Member Michael Lau 777 Third Avenue Suite 19B New York NY NEW YORK 10017 Executive Officer Managing Member and Class A Member of the Managing Member to the Issuer N/A Candlewood Investment Group Financial Advisors, LLC 777 Third Avenue Suite 19B New York NY NEW YORK 10017 Executive Officer Investment Manager Pooled Investment Fund Other Investment Fund false Decline to Disclose 06b 3C 3C.7 true 0001583022-13-000001 2013-07-19 true true true false 500000 Indefinite 11345000 Indefinite false 18 0 0 0 Managing Member receives an incentive allocation on a qtrly basis from the Issuer calculated as a percentage of Issuer's income and subject to a hurdle and a cap. Investment Manager receives a mgmt fee calculated as a percentage of assets of Issuer. false Candlewood Financial Opportunities Fund, LLC /s/ Janet Miller Janet Miller Authorized Person 2014-08-04