0001315863-18-000123.txt : 20180206 0001315863-18-000123.hdr.sgml : 20180206 20180206163813 ACCESSION NUMBER: 0001315863-18-000123 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: 20180206 DATE AS OF CHANGE: 20180206 EFFECTIVENESS DATE: 20180206 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Octagon CLO Opportunity Fund III (US) LP CENTRAL INDEX KEY: 0001728343 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: D SEC ACT: 1933 Act SEC FILE NUMBER: 021-304953 FILM NUMBER: 18578091 BUSINESS ADDRESS: STREET 1: 250 PARK AVENUE STREET 2: 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10177 BUSINESS PHONE: 212-400-8440 MAIL ADDRESS: STREET 1: 250 PARK AVENUE STREET 2: 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10177 D 1 primary_doc.xml X0708 D LIVE 0001728343 Octagon CLO Opportunity Fund III (US) LP c/o Octagon Credit Investors, LLC 250 Park Avenue, 15th Floor NEW YORK NY NEW YORK 10177 212-400-8440 DELAWARE None None Limited Partnership true 2017 N/A Octagon Funds GP LLC c/o Octagon Credit Investors, LLC 250 Park Avenue, 15th Floor New York NY NEW YORK 10177 Promoter General Partner to the Issuer. Andrew D. Gordon c/o Octagon Credit Investors, LLC 250 Park Avenue, 15th Floor New York NY NEW YORK 10177 Executive Officer Chief Executive Officer and Co-Chief Investment Officer of the Investment Manager. Thomas A. Connors c/o Octagon Credit Investors, LLC 250 Park Avenue, 15th Floor New York NY NEW YORK 10177 Executive Officer Chief Financial Officer of the Investment Manager. Michael B. Nechamkin c/o Octagon Credit Investors, LLC 250 Park Avenue, 15th Floor New York NY NEW YORK 10177 Executive Officer Co-Chief Investment Officer of the Investment Manager. Pooled Investment Fund Private Equity Fund false Decline to Disclose 06b 3C 3C.7 false true false true true false 0 Conning Investment Products, Inc. 120387 None None One Financial Plaza, 755 Main Street Hartford CT CONNECTICUT 06103-2627 All States false 500000000 0 500000000 false 0 0 true 0 The investment manager may pay the affiliated broker dealer between 0 and 33 1/3% of the management fees it receives. Among other considerations, the amount is contingent on the total amount of securities the broker dealer sells annually. 0 The Issuer pays the Investment Manager a quarterly management fee equal to a percentage of the net asset value of the Issuer. false Octagon CLO Opportunity Fund III (US) LP /s/Thomas A. Connors Thomas A. Connors Chief Financial Officer to the Issuer's Investment Manager 2018-02-06