AG Energy Credit Opportunities Offshore Holdings
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SECURITIES AND EXCHANGE COMMISSION FORM D/A Official notice of an offering of securities that is made without registration under the Securities Act in reliance on an exemption provided by Regulation D and Section 4(6) under the Act. [amend] Filing Date: 2021-04-06 SEC Accession No. 0001776674-21-000002 (HTML Version on secdatabase.com) FILER AG Energy Credit Opportunities Offshore Holdings IV, L.P.Mailing Address Business Address C/O ANGELO, GORDON & C/O ANGELO, GORDON & CIK:1776674| IRS No.: 000000000 | State of Incorp.:E9 | Fiscal Year End: 1231 CO., L.P. CO., L.P. Type: D/A | Act: 33 | File No.: 021-348123 | Film No.: 21808371 245 PARK AVENUE, 26TH 245 PARK AVENUE, 26TH FLOOR FLOOR NEW YORK NY 10167 NEW YORK NY 10167 212 692 2000 Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL OMB Number: 3235-0076 Washington, D.C. 20549 June 30, Expires: FORM D 2012 Estimated average burden hours per 4.00 Notice of Exempt Offering of Securities response: 1. Issuer's Identity CIK (Filer ID Number) Previous Name(s) ☒ None Entity Type 0001776674 ☐Corporation Name of Issuer ☐ Limited Partnership AG Energy Credit Opportunities ☐ Limited Liability Company Offshore Holdings IV, L.P. Jurisdiction of Incorporation/ ☐ General Partnership Organization ☐ Business Trust CAYMAN ISLANDS ☒Other Year of Incorporation/Organization Cayman Islands Exempted Limited ☐ Over Five Years Ago Partnership ☒ Within Last Five Years (Specify Year) 2019 ☐ Yet to Be Formed 2. Principal Place of Business and Contact Information Name of Issuer AG Energy Credit Opportunities Offshore Holdings IV, L.P. Street Address 1 Street Address 2 C/O ANGELO, GORDON & CO., L.P. 245 PARK AVENUE, 26TH FLOOR City State/Province/Country ZIP/Postal Code Phone No. of Issuer NEW YORK NEW YORK 10167 212 692 2000 3. Related Persons Last Name First Name Middle Name Gordon Michael L. Street Address 1 Street Address 2 245 Park Avenue 26th Floor City State/Province/Country ZIP/Postal Code New York NEW YORK 10167 Relationship: ☒ Executive Officer ☐ Director ☐ Promoter Clarification of Response (if Necessary) Mr. Gordon is an executive officer of Angelo, Gordon & Co., L.P., the manager of Angelo, Gordon ECO Fund IV GP, LLC the general partner of the Issuer. Last Name First Name Middle Name Stadelmaier Frank Street Address 1 Street Address 2 245 Park Avenue 26th Floor Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document City State/Province/Country ZIP/Postal Code New York NEW YORK 10167 Relationship: ☒ Executive Officer ☐ Director ☐ Promoter Clarification of Response (if Necessary) Mr. Stadelmaier is an executive officer of Angelo, Gordon & Co., L.P., the manager of Angelo, Gordon ECO Fund IV GP, LLC the general partner of the Issuer. Last Name First Name Middle Name Wickman Kirk Street Address 1 Street Address 2 245 Park Avenue 26th Floor City State/Province/Country ZIP/Postal Code New York NEW YORK 10167 Relationship: ☒ Executive Officer ☐ Director ☐ Promoter Clarification of Response (if Necessary) Mr. Wickman is an executive officer of Angelo, Gordon & Co., L.P., the manager of Angelo, Gordon ECO Fund IV GP, LLC the general partner of the Issuer. Last Name First Name Middle Name Moore Christopher Street Address 1 Street Address 2 245 Park Avenue 26th Floor City State/Province/Country ZIP/Postal Code New York NEW YORK 10167 Relationship: ☒ Executive Officer ☐ Director ☐ Promoter Clarification of Response (if Necessary) Mr. Moore is an executive officer of Angelo, Gordon & Co., L.P., the manager of Angelo, Gordon ECO Fund IV GP, LLC the general partner of the Issuer. Last Name First Name Middle Name Schwartz Adam Street Address 1 Street Address 2 245 Park Avenue 26th Floor City State/Province/Country ZIP/Postal Code New York NEW YORK 10167 Relationship: ☒ Executive Officer ☐ Director ☐ Promoter Clarification of Response (if Necessary) Mr. Schwartz is an executive officer of Angelo, Gordon & Co., L.P., the manager of Angelo, Gordon ECO Fund IV GP, LLC the general partner of the Issuer. Last Name First Name Middle Name Baumgarten Josh Street Address 1 Street Address 2 245 Park Avenue 26th Floor City State/Province/Country ZIP/Postal Code New York NEW YORK 10167 Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document Relationship: ☒ Executive Officer ☐ Director ☐ Promoter Clarification of Response (if Necessary) Mr. Baumgarten is an executive officer of Angelo, Gordon & Co., L.P., the manager of Angelo, Gordon ECO Fund IV GP, LLC the general partner of the Issuer. 4. Industry Group ☐ Agriculture Health Care ☐ Retailing Banking & Financial Services ☐ Biotechnology ☐ Restaurants ☐ Commercial Banking ☐ Health Insurance Technology ☐ Insurance ☐ Hospitals & Physicians ☐ Computers ☐ Investing ☐ Pharmaceuticals ☐ Telecommunications ☐ Investment Banking ☐ Other Health Care ☐ Other Technology ☒ Pooled Investment Fund ☐ Manufacturing ☐ Hedge Fund Real Estate Travel ☒ Private Equity Fund ☐ Commercial ☐ Airlines & Airports ☐ Venture Capital Fund ☐ Construction ☐ Lodging & Conventions ☐ Other Investment Fund ☐ REITS & Finance ☐ Tourism & Travel Services *Is the issuer registered as an ☐ Residential ☐ Other Travel investment company under the ☐ Other Real Estate ☐ Other Investment Company Act of 1940? ☐ Yes ☒No ☐ Other Banking & Financial Services ☐ Business Services Energy ☐ Coal Mining ☐ Electric Utilities ☐ Energy Conservation ☐ Environmental Services ☐ Oil & Gas ☐ Other Energy 5. Issuer Size Revenue Range Aggregate Net Asset Value Range ☐ No Revenues ☐ No Aggregate Net Asset Value $1 - $1,000,000 ☐ $1 - $5,000,000 ☐ $1,000,001 - $5,000,000 ☐ $5,000,001 - $25,000,000 ☐ $5,000,001 - $25,000,000 ☐ $25,000,001 - $50,000,000 ☐ $25,000,001 - $100,000,000 ☐ $50,000,001 - $100,000,000 ☐ Over $100,000,000 ☐ Over $100,000,000 ☒ Decline to Disclose ☐ Decline to Disclose ☐ Not Applicable ☐ Not Applicable 6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply) ☐ Rule 504(b)(1) (not (i), (ii) or (iii)) ☐Rule 505 ☐ Rule 504 (b)(1)(i) ☐Rule 506 Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document ☐ Rule 504 (b)(1)(ii) ☐Securities Act Section 4(6) ☐ Rule 504 (b)(1)(iii) ☒Investment Company Act Section 3(c) ☐Section 3(c)(1) ☐Section 3(c)(9) ☐Section 3(c)(2) ☐Section 3(c)(10) ☐Section 3(c)(3) ☐Section 3(c)(11) ☐Section 3(c)(4) ☐Section 3(c)(12) ☐Section 3(c)(5) ☐Section 3(c)(13) ☐Section 3(c)(6) ☐Section 3(c)(14) ☒Section 3(c)(7) 7. Type of Filing ☐ New Notice Date of First Sale 2019-08-22 ☐ First Sale Yet to Occur ☒ Amendment 8. Duration of Offering Does the Issuer intend this offering to last more than one year? ☒ Yes ☐ No 9. Type(s) of Securities Offered (select all that apply) ☒ Pooled Investment Fund Interests ☐ Equity ☐ Tenant-in-Common Securities ☐ Debt Option, Warrant or Other Right to Acquire Mineral Property Securities ☐ ☐ Another Security Security to be Acquired Upon Exercise of Option, Warrant or Other Other (describe) ☐ Right to Acquire Security ☐ 10. Business Combination Transaction Is this offering being made in connection with a business combination transaction, such as a merger, Yes No acquisition or exchange offer? ☐ ☒ Clarification of Response (if Necessary) 11. Minimum Investment Minimum investment accepted from any outside investor $ 5,000,000 USD 12. Sales Compensation Recipient Recipient CRD Number ☐ None UBS Financial Services Inc. 8174 (Associated) Broker or Dealer ☒ None (Associated) Broker or Dealer CRD Number ☒ None None None Street Address 1 Street Address 2 1285 Avenue of the Americas City State/Province/Country ZIP/Postal Code New York NEW YORK 10019 Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document State(s) of Solicitation ☒ All States ☒ Foreign/Non-US Recipient Recipient CRD Number ☐ None Champlain Advisors, LLC 129560 (Associated) Broker or Dealer ☒ None (Associated) Broker or Dealer CRD Number ☒ None None None Street Address 1 Street Address 2 Galeria De Artes Y Ciencias 875 Carretera 693, Suite 102 City State/Province/Country ZIP/Postal Code Dorado PUERTO RICO 00646 State(s) of Solicitation ☒ All States ☒ Foreign/Non-US 13. Offering and Sales Amounts Total Offering Amount $ USD or ☒ Indefinite Total Amount Sold $ 260,256,000 USD Total Remaining to be Sold $ USD or ☒ Indefinite Clarification of Response (if Necessary) 14. Investors ☐ Select 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 265 accredited investors, enter the total number of investors who already have invested in the offering: 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 $ 182,573 USD ☐ Estimate Finders' Fees $ 0 USD ☐ Estimate Clarification of Response (if Necessary) 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,