0001888869-22-000001.txt : 20220111 0001888869-22-000001.hdr.sgml : 20220111 20220111135219 ACCESSION NUMBER: 0001888869-22-000001 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: 20220111 DATE AS OF CHANGE: 20220111 EFFECTIVENESS DATE: 20220111 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Octagon CLO Opportunity Fund IV LP CENTRAL INDEX KEY: 0001888869 IRS NUMBER: 000000000 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: D SEC ACT: 1933 Act SEC FILE NUMBER: 021-428824 FILM NUMBER: 22523505 BUSINESS ADDRESS: STREET 1: 250 PARK AVENUE, 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10177 BUSINESS PHONE: 212-400-8440 MAIL ADDRESS: STREET 1: 250 PARK AVENUE, 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10177 D 1 primary_doc.xml X0708 D LIVE 0001888869 Octagon CLO Opportunity Fund IV LP c/o Octagon Credit Investors, LLC 250 PARK AVENUE, 15TH FLOOR NEW YORK NY NEW YORK 10177 212-400-8440 CAYMAN ISLANDS None None Other Cayman Islands Exempted Limited Partnership true 2021 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 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 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 CA CALIFORNIA CT CONNECTICUT IL ILLINOIS MA MASSACHUSETTS NJ NEW JERSEY NY NEW YORK TX TEXAS VA VIRGINIA WI WISCONSIN false Rockefeller Financial LLC 291361 None None 45 Rockefeller Plaza, Floor 5 New York NY NEW YORK 10111 All States false 500000000 0 500000000 false 0 0 true 0 The investment manager may pay Conning between 0 and 33 1/3% of the management fees it receives. The investment manager will also pay Rockefeller a portion of the management fee it receives from investors Rockefeller introduces to the Issuer. 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 IV LP /s/ Thomas A. Connors Thomas A. Connors Chief Financial Officer to the Issuer's Investment Manager 2022-01-11