0001632721-15-000001.txt : 20150206 0001632721-15-000001.hdr.sgml : 20150206 20150206112142 ACCESSION NUMBER: 0001632721-15-000001 CONFORMED SUBMISSION TYPE: D 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: 20150206 DATE AS OF CHANGE: 20150206 EFFECTIVENESS DATE: 20150206 FILER: COMPANY DATA: COMPANY CONFORMED NAME: First Principles Income Opportunities Fund, LLC CENTRAL INDEX KEY: 0001632721 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: D SEC ACT: 1933 Act SEC FILE NUMBER: 021-233640 FILM NUMBER: 15582937 BUSINESS ADDRESS: STREET 1: FIRST PRINCIPLES PARTNERS, LLC STREET 2: 140 BROADWAY 21ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: (212) 380-2280 MAIL ADDRESS: STREET 1: FIRST PRINCIPLES PARTNERS, LLC STREET 2: 140 BROADWAY 21ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10005 D 1 primary_doc.xml X0707 D LIVE 0001632721 First Principles Income Opportunities Fund, LLC First Principles Partners, LLC 140 Broadway, 21st Floor New York NY NEW YORK 10005 212-380-2280 DELAWARE None None Limited Liability Company true 2014 n/a First Principles Partners, LLC 140 Broadway, 21st Floor New York NY NEW YORK 10005 Promoter Managing Member n/a First Principles Capital Management, LLC 140 Broadway 21st Floor New York NY NEW YORK 10005 Executive Officer Investment Manager Richard F. Dolan First Principles Capital Management, LLC 140 Broadway, 21st Floor New York NY NEW YORK 10005 Executive Officer James H. Van Epps First Principles Capital Management, LLC 140 Broadway, 21st Floor New York NY NEW YORK 10005 Executive Officer Mark G. Alexandridis First Principles Capital Management, LLC 140 Broadway, 21st Floor New York NY NEW YORK 10005 Executive Officer Michael J. Baek First Principles Capital Management, LLC 140 Broadway, 21st Floor New York NY NEW YORK 10005 Executive Officer Hong Chen First Principles Capital Management, LLC 140 Broadway, 21st Floor New York NY NEW YORK 10005 Executive Officer Richard R. Lewis First Principles Capital Management, LLC 140 Broadway, 21st Floor New York NY NEW YORK 10005 Executive Officer Mark F. Lieberman First Principles Capital Management, LLC 140 Broadway, 21st Floor New York NY NEW YORK 10005 Executive Officer Stephen R. Miller First Principles Capital Management, LLC 140 Broadway, 21st Floor New York NY NEW YORK 10005 Executive Officer David Ho First Principles Capital Management, LLC 140 Broadway, 21st Floor New York NY NEW YORK 10005 Executive Officer Prasad Kadiyala First Principles Capital Management, LLC 140 Broadway, 21st Floor New York NY NEW YORK 10005 Executive Officer Douglas A. Dachille First Principles Capital Management, LLC 140 Broadway, 21st Floor New York NY NEW YORK 10005 Executive Officer Pooled Investment Fund Other Investment Fund false Decline to Disclose 06b 3C 3C.7 false true true true false 500000 Indefinite 0 Indefinite false 0 0 0 0 false First Principles Income Opportunities Fund, LLC Michael Baek Michael Baek Managing Director of the Manager 2015-02-06