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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:40 AM ET

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Kimberly Hocker

Named as an officer, director or promoter on SEC Form D filings · PA · Oct 15, 2009 → Mar 11, 2016

15deals (issuers)
$1.31Breported sold
1,095investors
92Form D filings
2009–2016years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:20 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Kimberly Hocker is listed as a director on 92 SEC Form D filings by 15 issuers between Oct 2009 and Mar 2016. Largest by amount reported sold: Penn Capital Defensive High Yield Fund, L.P. (Philadelphia, PA — pooled investment fund — 2010–2016; $535.6M reported sold to 109 investors), PENN CORE HIGH YIELD BOND FUND LP (Philadelphia, PA — pooled investment fund — 2010–2016; $168.5M reported sold to 203 investors), Penn Institutional Loan Common Master Fund, LP (Philadelphia, PA — pooled investment fund — 2013–2016; $131M reported sold to 14 investors), PENN CORE OPPORTUNISTIC HIGH YIELD BOND FUND LP (Philadelphia, PA — pooled investment fund — 2010–2015; $125M reported sold to 119 investors), PENN SMALL TO MID CAP EQUITY FUND LP (Philadelphia, PA — pooled investment fund — 2010–2015; $82M reported sold to 101 investors) and 10 more (all listed below).

What this means That is a lot of deals — 15 separate companies raised money with this person listed as director, over about 7 years. Across those companies the filings report $1.31B sold in total.

Listed alongside Christian M. Noyes (92 shared filings), Eric J. Green (92 shared filings), Gerald McBride (92 shared filings), Marcia Hocker (92 shared filings), Richard A. Hocker (92 shared filings) and 8 others.

What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Kimberly. Each name links to their own page.

All 15 issuers belong to the sponsor group Penn (16 issuers, $1.29B reported sold, 2009–2021).

What this means A sponsor group is one team that sets up a new company for each deal. Penn has 16 companies on file and $1.29B reported sold in total — the group page shows the whole track record in one place.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CO, CT, DC, DE, FINRA, FL, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, WA, WI, WV, WY) — none found.

What this means Nothing turned up where we looked (3 sources). That does not prove there is nothing — it means none was found in those sources on that date.

We compared the newest 50 of 92 public filings for Kimberly Hocker and found 9 differences, 4 worth asking the sponsor about: Amount sold went down between filings; 8 paid sellers are listed without a CRD number; and more below.

What this means These are differences between the sponsor's own SEC filings — both values, dates and sources are listed in Key records, section 4. Most have ordinary explanations; ask the sponsor.

What the community is saying

Community search for Kimberly Hocker has not run yet — it is joining a line of 58,567 names; searches run around the clock at the hosts' allowed rate. Searched so far: 660 names.

Community comments are quoted as written by their authors. Sources searched: Bing (site:reddit.com / site:biggerpockets.com) and Reddit's own search, plus DuckDuckGo/Brave/BiggerPockets search when they are answering.

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

None found in sources searched — federal courts (CourtListener / RECAP), checked Oct 24, 2026

What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:20 AM ET.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

2. Regulatory actions

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: 48 regulators (FINRA, NASAA, 37 states) — crawled Oct 24, 2026, 8:48 AM ET

What was searched

SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — Searched SEC litigation releases and administrative proceedings (1995→ / 2007→) (30,205 records as of Oct 24, 2026, 2:50 AM ET) — nothing matched Kimberly Hocker..

State securities regulators: Securities regulators searched (64,910 actions): FINRA (38,350 actions, 1995–2026), NASAA (31 actions, 2000–2026; listing starts 1997), AK Division of Banking and Securities (273 actions, 1971–2025), AL Securities Commission (880 actions, 2001–2026), AR Securities Department (1,305 actions, 1998–2026), AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002 — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), CO Division of Securities (731 actions, 2001–2026; older years from the Internet Archive (snapshot of 2026-05-02)), CT Department of Banking Securities Division (940 actions, 2006–2026; older years from the Internet Archive (snapshot of 2026-04-22)), DC DISB Securities Bureau (25 actions, 2012–2026), DE DOJ Investor Protection Unit (257 actions, 1987–2026), FL Office of Financial Regulation (49 actions, 2018–2026), GA Secretary of State Securities Division (65 actions, 2015–2026; listing starts 2012), HI DCCA Securities Enforcement Branch (26 actions, 2012–2026), ID Department of Finance Securities Bureau (663 actions, 1994–2026), IL Secretary of State Securities Department (4,122 actions, 2003–2023), KS Insurance Department Securities Division (58 actions), KY Department of Financial Institutions (342 actions, 2005–2026), LA Office of Financial Institutions Securities Division (13 actions, 2010–2025; listing starts 2008), MA Secretary of the Commonwealth Securities Division (125 actions, 2012–2025; live site blocks automated access — loaded from the Internet Archive snapshot of 2026-02-04), MD Attorney General Securities Division (1,054 actions, 2004–2026), ME Office of Securities (539 actions, 2000–2026), MI LARA Corporations, Securities & Commercial Licensing Bureau (201 actions), MO Secretary of State Securities Division (919 actions, 1998–2026), MS Secretary of State Securities Division (209 actions, 1995–2026), MT Commissioner of Securities and Insurance (597 actions, 2000–2026), NC Secretary of State Securities Division (265 actions, 2004–2024), ND Securities Department (711 actions, 1990–2026; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2026-01-06), NH Bureau of Securities Regulation (402 actions, 2002–2026), NM Regulation and Licensing Department Securities Division (90 actions, 2010–2025), NV Secretary of State Securities Division (118 actions, 2018–2026), NY Attorney General Investor Protection Bureau (44 actions, 2012–2026), OH Division of Securities (327 actions, 1993–2006), OK Department of Securities (2,531 actions, 1998–2026), OR Division of Financial Regulation (589 actions, 1988–2026), PA Department of Banking and Securities (1,448 actions, 2008–2024; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2024-08-09), RI DBR Securities Division (98 actions, 2005–2025), SC Attorney General Securities Division (540 actions, 2006–2026), SD Division of Insurance – Securities Regulation (106 actions, 2017–2026), TN Department of Commerce and Insurance Securities Division (405 actions, 1992–2026), TX State Securities Board (936 actions, 1999–2026), UT Division of Securities (772 actions, 2000–2026; older years from the Internet Archive (snapshot of 2010-05-27)), VT DFR Securities Division (137 actions, 2010–2026), WA DFI (2,039 actions, 2001–2026), WI DFI Division of Securities (1,072 actions, 1998–2026), WV Securities Commission (State Auditor) (64 actions), WY Secretary of State Compliance Division (6 actions, 2016–2024) — last crawled Oct 24, 2026, 8:48 AM ET. No machine-readable public listing today for IA, IN, MN, NE, NJ, VA (see docs/state-regulators.md).

3. Bankruptcies

None found in sources searched — federal bankruptcy courts (CourtListener / RECAP), checked Oct 24, 2026

What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:20 AM ET.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

4. Differences between public sources

Comparisons cover issuers and sponsor groups — see the issuer pages under Deals

9 differences found between the filings for Kimberly Hocker — 4 worth asking about (compared the newest 50 of 92 filings on Oct 24, 2026; older filings not covered)

Note · Dec 29, 2010 – Apr 4, 2011

Bankruptcy case: Spinosa v. Penn Liberty Bank — filed Dec 29, 2010

United States Bankruptcy Court, E.D. Pennsylvania docket "Spinosa v. Penn Liberty Bank" filed Dec 29, 2010, closed Apr 4, 2011. Penn Capital Structure Total Return Fund, L.P. (related issuer) is listed as Party ("Spinosa v. Penn Liberty Bank"). Our match estimate: 60%.

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Docket · United States Bankruptcy Court, E.D. Pennsylvania ↗Penn Capital Structure Total Return Fund, L.P. — PartnerFacts page ↗
Sources
Worth asking · Mar 10, 2016 – Dec 27, 2016

Amount sold went down between filings — PENN CONVERTIBLE FUND LP

The Mar 10, 2016 filing says $16,720,598 sold; the Dec 27, 2016 Form D/A says $9,466,476 sold — $7,254,122 less.

What this means Amounts sold normally only go up as a raise continues. A drop can mean investors were refunded, a figure was corrected, or an earlier number was wrong. Ask the sponsor which it was.

Form D/A (earlier) · Mar 10, 2016 ↗Form D/A (later) · Dec 27, 2016 ↗PENN CONVERTIBLE FUND LP — PartnerFacts page ↗
Sources
Worth asking · Mar 17, 2014 – Mar 16, 2015

Amount sold went down between filings — Penn Mid Cap Equity Fund, L.P.

The Mar 17, 2014 filing says $24,876,200 sold; the Mar 16, 2015 Form D/A says $24,165,025 sold — $711,175 less.

What this means Amounts sold normally only go up as a raise continues. A drop can mean investors were refunded, a figure was corrected, or an earlier number was wrong. Ask the sponsor which it was.

Form D/A (earlier) · Mar 17, 2014 ↗Form D/A (later) · Mar 16, 2015 ↗Penn Mid Cap Equity Fund, L.P. — PartnerFacts page ↗
Sources
Worth asking · Mar 12, 2010 – Apr 26, 2021

8 paid sellers are listed without a CRD number

Paid seller listed without a CRD number: Carol Lefcourt — Penn Capital Defensive High Yield Fund, L.P. · Paid seller listed without a CRD number: Christianson Investment Partners — PENN CORE HIGH YIELD BOND FUND LP · Paid seller listed without a CRD number: Carol Lefcourt — PENN CORE HIGH YIELD BOND FUND LP · Paid seller listed without a CRD number: Carlyle Wealth Management — PENN CORE HIGH YIELD BOND FUND LP · Paid seller listed without a CRD number: Christianson Investment Partners — Penn Capital Defensive High Yield Fund, L.P. · and 3 more

What this means Without a CRD number we cannot look a seller up on BrokerCheck. Ask who they are and whether they are registered.

Form D/A · Apr 26, 2021 ↗BrokerCheck search: Carol Lefcourt ↗Penn Capital Defensive High Yield Fund, L.P. — PartnerFacts page ↗Form D/A · Dec 9, 2019 ↗
Sources
Note · Feb 21, 1993 – Mar 16, 2015

No amendment in the last 12 months on an offering that may still be open — PENN SMALL TO MID CAP EQUITY FUND LP (latest filing Mar 16, 2015)

The latest filing for this offering is dated Mar 16, 2015 (first sale Feb 21, 1993). It reports $81,954,118 sold of an indefinite amount offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Form D/A · Mar 16, 2015 ↗PENN SMALL TO MID CAP EQUITY FUND LP — PartnerFacts page ↗
Sources
Note · Jul 3, 2000 – Mar 16, 2015

No amendment in the last 12 months on an offering that may still be open — PENN SMALL CAPITALIZATION FUND LP (latest filing Mar 16, 2015)

The latest filing for this offering is dated Mar 16, 2015 (first sale Jul 3, 2000). It reports $53,731,666 sold of an indefinite amount offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Form D/A · Mar 16, 2015 ↗PENN SMALL CAPITALIZATION FUND LP — PartnerFacts page ↗
Sources
Note · Jan 2, 2004 – Mar 16, 2015

No amendment in the last 12 months on an offering that may still be open — PENN CORE OPPORTUNISTIC HIGH YIELD BOND FUND LP (latest filing Mar 16, 2015)

The latest filing for this offering is dated Mar 16, 2015 (first sale Jan 2, 2004). It reports $124,971,126 sold of an indefinite amount offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Form D/A · Mar 16, 2015 ↗PENN CORE OPPORTUNISTIC HIGH YIELD BOND FUND LP — PartnerFacts page ↗
Sources
Worth asking · Mar 10, 2016 – Dec 27, 2016

10 people are no longer listed on a later amendment

Kimberly Hocker is no longer listed on the Dec 27, 2016 amendment — Penn Institutional Loan Common Master Fund, LP · Kimberly Hocker is no longer listed on the Dec 27, 2016 amendment — PENN SHORT DURATION HIGH YIELD FUND, L.P. · Kimberly Hocker is no longer listed on the Dec 27, 2016 amendment — Penn Mid Cap Equity Fund, L.P. · Kimberly Hocker is no longer listed on the Dec 27, 2016 amendment — PENN DIVERSIFIED MICRO CAP EQUITY FUND LP · Kimberly Hocker is no longer listed on the Dec 27, 2016 amendment — PENN DISTRESSED FUND L P · and 5 more

What this means People leave; the issuer lists only current officers, directors and promoters. Ask why and who replaced them.

Form D/A · Mar 11, 2016 ↗Form D/A · Dec 27, 2016 ↗Kimberly Hocker — PartnerFacts page ↗Penn Institutional Loan Common Master Fund, LP — PartnerFacts page ↗
Sources
Note · Oct 15, 2009 – Jan 22, 2010

Kimberly Hocker is written 2 different ways on the filings

listed as "Kimberly Hocker" on 81 filings (from Oct 15, 2009), and "Kimberly A. Hocker" on 8 filings (from Jan 22, 2010).

What this means Same person, written differently — a middle name or suffix left off, or spelled another way. It is normal, but check that the full legal name matches your subscription documents.

Form D · Oct 15, 2009 ↗Form D · Jan 22, 2010 ↗Kimberly Hocker — PartnerFacts page ↗
Sources
What is compared

What is compared: every Form D and D/A we hold for this subject, side by side — filing dates vs. first-sale dates (the 15-day rule), amendment timing on open offerings (the yearly-amendment expectation), amounts sold, investor counts, offering amounts and minimums across amendments, industry and size bands, addresses, how each person's name and role is written, paid sellers' CRD numbers, and (for groups) where the member companies were formed and sit. Everything is as filed by the issuer; the SEC does not check it. Differences are common and usually have ordinary explanations — we show both values, the dates, and the source so you can ask. We compared the newest 50 of 92 filings (work cap); older filings are not covered here. As of Oct 24, 2026.

5. Money to insiders

0 of 15 offerings report sales commissions; 11 report finder's fees totalling $3,104,887; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Mar 11, 2016 D/A
Penn Mid Cap Equity Fund, L.P.
File 021-138066
$0$5,868 (est.)$0SMH Capital Inc. BrokerCheck CRD 20580 ↗
Christenson Investment Partners no CRD number reported
VSR Financial Services Incorporated BrokerCheck CRD 14503 ↗		EDGAR ↗
Mar 11, 2016 D/A
PENN DIVERSIFIED MICRO CAP EQUITY FUND LP
File 021-129743
$0$7,536 (est.)$0SMH Capital Inc. BrokerCheck CRD 20580 ↗
VSR Financial Services Incorporated BrokerCheck CRD 14503 ↗		EDGAR ↗
Mar 11, 2016 D/A
PENN SHORT DURATION HIGH YIELD FUND, L.P.
File 021-158196
$0$44,915$0Christianson Investment Partners no CRD number reportedEDGAR ↗
Mar 11, 2016 D/A
Penn Institutional Loan Common Master Fund, LP
File 021-194923
$0$0$0None listed on this filingEDGAR ↗
Mar 10, 2016 D/A
PENN Capital Pioneer Energy Fund, L.P.
File 021-135327
$0$0$0None listed on this filingEDGAR ↗
Mar 10, 2016 D/A
Penn Capital Structure Total Return Fund, L.P.
File 021-68730
$0$486,154 (est.)$0SMH Capital Inc. BrokerCheck CRD 20580 ↗
VSR Financial Services Incorporated BrokerCheck CRD 14503 ↗		EDGAR ↗
Mar 10, 2016 D/A
PENN CONVERTIBLE FUND LP
File 021-129776
$0$110,761 (est.)$0SMH Capital Inc. BrokerCheck CRD 20580 ↗
VSR Financial Services Incorporated BrokerCheck CRD 14503 ↗		EDGAR ↗
Mar 10, 2016 D/A
PENN CORE HIGH YIELD BOND FUND LP
File 021-52250
$0$796,886 (est.)$0SMH Capital Inc. BrokerCheck CRD 20580 ↗
Christianson Investment Partners no CRD number reported
Carol Lefcourt no CRD number reported
Brinker Capital BrokerCheck CRD 38123 ↗
Carlyle Wealth Management no CRD number reported
VSRFinancial Services Incorporated BrokerCheck CRD 14503 ↗		EDGAR ↗
Mar 10, 2016 D/A
Penn Capital Defensive High Yield Fund, L.P.
File 021-69509
$0$1,328,640 (est.)$0SMH Capital Inc. BrokerCheck CRD 20580 ↗
Christianson Investment Partners no CRD number reported
Carol Lefcourt no CRD number reported
Brinker Capital BrokerCheck CRD 38123 ↗
VSR Financial Services Incorporated BrokerCheck CRD 14503 ↗		EDGAR ↗
Mar 10, 2016 D/A
PENN DISTRESSED FUND L P
File 021-54998
$0$161,029 (est.)$0SMH Capital Inc. BrokerCheck CRD 20580 ↗
Arete Wealth Management, LLC BrokerCheck CRD 44856 ↗
Phillips & Company BrokerCheck CRD 35800 ↗
VSR Financial Services Incorporated BrokerCheck CRD 14503 ↗		EDGAR ↗
Mar 16, 2015 D/A
PENN CORE OPPORTUNISTIC HIGH YIELD BOND FUND LP
File 021-64331
$0$60,461 (est.)$0SMH Capital Inc. BrokerCheck CRD 20580 ↗
VSR Financial Services Incorporated BrokerCheck CRD 14503 ↗		EDGAR ↗
Mar 16, 2015 D/A
PENN SMALL CAPITALIZATION FUND LP
File 021-129897
$0$52,686 (est.)$0SMH Capital Inc. BrokerCheck CRD 20580 ↗
VSR Financial Services Incorporated BrokerCheck CRD 14503 ↗		EDGAR ↗
Mar 16, 2015 D/A
PENN SMALL TO MID CAP EQUITY FUND LP
File 021-129880
$0$49,951 (est.)$0Christenson Investment Partners no CRD number reported
SMH Capital Inc. BrokerCheck CRD 20580 ↗
VSR Financial Services Incorporated BrokerCheck CRD 14503 ↗		EDGAR ↗
Mar 16, 2015 D/A
Penn Institutional Bank Loan Fund, LP
File 021-194922
$0$0$0None listed on this filingEDGAR ↗
Mar 15, 2012 D/A
PENN FINANCIAL SERVICES FUND LP
File 021-129825
$0$0$0None listed on this filingEDGAR ↗
How this is counted

Counts come from Form D Items 12–15 on the filings in our index (latest filing per offering; one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.

Counted across every filing this person is listed on (latest filing per offering, per issuer).

Deals 15

Every issuer that named Kimberly Hocker on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

PI
Pooled Investment Fund · group: Penn

Penn Institutional Loan Common Master Fund, LP

Philadelphia, PA · Apr 12, 2013 → Mar 11, 2016 · 4 filings
  • Mar 11, 2016 · D/A · $102,135,220 sold of Indefinite · 13 investors · min. No minimum reported · role: Director (of the General Partner of the Issuer) EDGAR ↗
  • Mar 16, 2015 · D/A · $90,033,685 sold of Indefinite · 11 investors · min. No minimum reported · role: Director (of the General Partner of the Issuer) EDGAR ↗
  • Mar 17, 2014 · D/A · $54,886,000 sold of Indefinite · 4 investors · min. No minimum reported · role: Director (of the General Partner of the Issuer) EDGAR ↗
  • Apr 12, 2013 · D · $22,000,000 sold of Indefinite · 2 investors · min. No minimum reported · role: Director (of the General Partner of the Issuer) EDGAR ↗

Raised $131M from 14 investors as of the latest filing. Kimberly is listed as director on 4 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

PS
Pooled Investment Fund · group: Penn

PENN SHORT DURATION HIGH YIELD FUND, L.P.

Philadelphia, PA · Apr 12, 2011 → Mar 11, 2016 · 6 filings
  • Mar 11, 2016 · D/A · $41,843,312 sold of Indefinite · 33 investors · min. No minimum reported · role: Director (of Penn Capital Management Company, Inc., the Sole Member of Penn Capital Funds Group, LLC, the General Partner of the Issuer.) EDGAR ↗
  • Mar 16, 2015 · D/A · $33,718,647 sold of Indefinite · 31 investors · min. No minimum reported · role: Director (of Penn Capital Management Company, Inc., the Sole Member of Penn Capital Funds Group, LLC, the General Partner of the Issuer.) EDGAR ↗
  • Mar 17, 2014 · D/A · $33,668,647 sold of Indefinite · 30 investors · min. No minimum reported · role: Director (of Penn Capital Management Company, Inc., the Sole Member of Penn Capital Funds Group, LLC, the General Partner of the Issuer.) EDGAR ↗
  • Mar 15, 2013 · D/A · $21,853,647 sold of Indefinite · 24 investors · min. No minimum reported · role: Director (of Penn Capital Management Company, Inc., the Sole Member of Penn Capital Funds Group, LLC, the General Partner of the Issuer.) EDGAR ↗
  • Mar 15, 2012 · D/A · $3,792,081 sold of Indefinite · 13 investors · min. No minimum reported · role: Director (of Penn Capital Management Company, Inc., the Sole Member of Penn Capital Funds Group, LLC, the General Partner of the Issuer.) EDGAR ↗
  • Apr 12, 2011 · D · $3,757,000 sold of Indefinite · 12 investors · min. No minimum reported · role: Director (of Penn Capital Management Company, Inc., the Sole Member of Penn Capital Funds Group, LLC, the General Partner of the Issuer.) EDGAR ↗

Raised $52.1M from 34 investors as of the latest filing. Kimberly is listed as director on 6 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

PM
Pooled Investment Fund · group: Penn

Penn Mid Cap Equity Fund, L.P.

Philadelphia, PA · Jan 22, 2010 → Mar 11, 2016 · 8 filings
  • Mar 11, 2016 · D/A · $25,165,025 sold of Indefinite · 50 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 16, 2015 · D/A · $24,165,025 sold of Indefinite · 50 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 17, 2014 · D/A · $24,876,200 sold of Indefinite · 48 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 15, 2013 · D/A · $24,531,200 sold of Indefinite · 46 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 15, 2012 · D/A · $24,066,650 sold of Indefinite · 42 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 14, 2011 · D/A · $23,836,650 sold of Indefinite · 41 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 12, 2010 · D/A · $23,836,650 sold of Indefinite · 41 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Jan 22, 2010 · D · $24,100,000 sold of Indefinite · 49 investors · min. No minimum reported · role: Director (of the General Partner) EDGAR ↗

Raised $25.2M from 50 investors as of the latest filing. Kimberly is listed as director on 8 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

PD
Pooled Investment Fund · group: Penn

PENN DIVERSIFIED MICRO CAP EQUITY FUND LP

Philadelphia, PA · Mar 12, 2010 → Mar 11, 2016 · 7 filings
  • Mar 11, 2016 · D/A · $7,877,124 sold of Indefinite · 41 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 16, 2015 · D/A · $7,877,124 sold of Indefinite · 41 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 17, 2014 · D/A · $7,577,124 sold of Indefinite · 40 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 15, 2013 · D/A · $7,044,511 sold of Indefinite · 38 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 15, 2012 · D/A · $4,933,000 sold of Indefinite · 34 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 14, 2011 · D/A · $4,639,365 sold of Indefinite · 34 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 12, 2010 · D/A · $4,527,605 sold of Indefinite · 31 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗

Raised $9.41M from 41 investors as of the latest filing. Kimberly is listed as director on 7 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

PD
Pooled Investment Fund · group: Penn

PENN DISTRESSED FUND L P

Philadelphia, PA · Mar 12, 2010 → Mar 10, 2016 · 7 filings
  • Mar 10, 2016 · D/A · $14,808,845 sold of Indefinite · 82 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 16, 2015 · D/A · $14,808,845 sold of Indefinite · 82 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 17, 2014 · D/A · $14,808,845 sold of Indefinite · 82 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 15, 2013 · D/A · $14,658,845 sold of Indefinite · 81 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 15, 2012 · D/A · $14,437,845 sold of Indefinite · 77 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 14, 2011 · D/A · $38,752,845 sold of Indefinite · 71 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 12, 2010 · D/A · $14,187,845 sold of Indefinite · 30 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗

Raised $38.8M from 82 investors as of the latest filing. Kimberly is listed as director on 7 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

PC
Pooled Investment Fund · group: Penn

PENN CONVERTIBLE FUND LP

Philadelphia, PA · Mar 12, 2010 → Mar 10, 2016 · 7 filings
  • Mar 10, 2016 · D/A · $16,720,598 sold of Indefinite · 46 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 16, 2015 · D/A · $16,614,471 sold of Indefinite · 46 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 17, 2014 · D/A · $15,118,262 sold of Indefinite · 40 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 15, 2013 · D/A · $13,017,541 sold of Indefinite · 29 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 15, 2012 · D/A · $12,309,666 sold of Indefinite · 24 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 14, 2011 · D/A · $4,265,356 sold of Indefinite · 23 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 12, 2010 · D/A · $2,449,650 sold of Indefinite · 18 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗

Raised $16.7M from 46 investors as of the latest filing. Kimberly is listed as director on 7 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

PC
Pooled Investment Fund · group: Penn

Penn Capital Defensive High Yield Fund, L.P.

Philadelphia, PA · Mar 12, 2010 → Mar 10, 2016 · 7 filings
  • Mar 10, 2016 · D/A · $375,422,611 sold of Indefinite · 102 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 16, 2015 · D/A · $362,992,454 sold of Indefinite · 102 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 17, 2014 · D/A · $357,292,454 sold of Indefinite · 99 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 15, 2013 · D/A · $314,685,076 sold of Indefinite · 97 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 15, 2012 · D/A · $245,584,311 sold of Indefinite · 91 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 14, 2011 · D/A · $204,300,990 sold of Indefinite · 84 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 12, 2010 · D/A · $189,219,472 sold of Indefinite · 72 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗

Raised $535.6M from 109 investors as of the latest filing. Kimberly is listed as director on 7 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

PC
Pooled Investment Fund · group: Penn

PENN CORE HIGH YIELD BOND FUND LP

Philadelphia, PA · Mar 12, 2010 → Mar 10, 2016 · 7 filings
  • Mar 10, 2016 · D/A · $164,126,664 sold of Indefinite · 203 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 16, 2015 · D/A · $163,590,651 sold of Indefinite · 203 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 17, 2014 · D/A · $163,490,651 sold of Indefinite · 201 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 15, 2013 · D/A · $140,936,531 sold of Indefinite · 200 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 15, 2012 · D/A · $85,844,245 sold of Indefinite · 184 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 14, 2011 · D/A · $81,761,540 sold of Indefinite · 173 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 12, 2010 · D/A · $77,717,105 sold of Indefinite · 160 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗

Raised $168.5M from 203 investors as of the latest filing. Kimberly is listed as director on 7 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

PC
Pooled Investment Fund · group: Penn

PENN Capital Pioneer Energy Fund, L.P.

Philadelphia, PA · Oct 15, 2009 → Mar 10, 2016 · 8 filings
  • Mar 10, 2016 · D/A · $4,273,407 sold of Indefinite · 28 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 16, 2015 · D/A · $2,873,407 sold of Indefinite · 28 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 17, 2014 · D/A · $524,407 sold of Indefinite · 13 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 15, 2013 · D/A · $524,407 sold of Indefinite · 13 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 15, 2012 · D/A · $524,407 sold of Indefinite · 13 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 14, 2011 · D/A · $407,807 sold of Indefinite · 13 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 12, 2010 · D/A · $407,807 sold of Indefinite · 13 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Oct 15, 2009 · D · $339,854 sold of Indefinite · 12 investors · min. $4,900 · role: Director (Ms. Hocker is a director of the General Partner.) EDGAR ↗

Raised $8.89M from 28 investors as of the latest filing. Kimberly is listed as director on 8 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

PC
Pooled Investment Fund · group: Penn

Penn Capital Structure Total Return Fund, L.P.

Philadelphia, PA · Mar 12, 2010 → Mar 10, 2016 · 7 filings
  • Mar 10, 2016 · D/A · $55,981,285 sold of Indefinite · 152 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 16, 2015 · D/A · $55,830,000 sold of Indefinite · 152 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 17, 2014 · D/A · $47,631,407 sold of Indefinite · 143 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 15, 2013 · D/A · $38,009,671 sold of Indefinite · 123 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 15, 2012 · D/A · $35,791,661 sold of Indefinite · 111 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 14, 2011 · D/A · $29,807,278 sold of Indefinite · 110 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 12, 2010 · D/A · $28,883,438 sold of Indefinite · 104 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗

Raised $59.3M from 152 investors as of the latest filing. Kimberly is listed as director on 7 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

PS
Pooled Investment Fund · group: Penn

PENN SMALL TO MID CAP EQUITY FUND LP

Philadelphia, PA · Mar 12, 2010 → Mar 16, 2015 · 6 filings
  • Mar 16, 2015 · D/A · $81,954,118 sold of Indefinite · 101 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 17, 2014 · D/A · $81,926,118 sold of Indefinite · 98 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 15, 2013 · D/A · $80,198,118 sold of Indefinite · 93 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 15, 2012 · D/A · $76,571,357 sold of Indefinite · 93 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 14, 2011 · D/A · $72,811,807 sold of Indefinite · 89 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 12, 2010 · D/A · $71,703,280 sold of Indefinite · 87 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗

Raised $82M from 101 investors as of the latest filing. Kimberly is listed as director on 6 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

PS
Pooled Investment Fund · group: Penn

PENN SMALL CAPITALIZATION FUND LP

Philadelphia, PA · Mar 12, 2010 → Mar 16, 2015 · 6 filings
  • Mar 16, 2015 · D/A · $53,731,666 sold of Indefinite · 101 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 17, 2014 · D/A · $53,716,666 sold of Indefinite · 100 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 15, 2013 · D/A · $51,642,318 sold of Indefinite · 91 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 15, 2012 · D/A · $48,850,257 sold of Indefinite · 82 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 14, 2011 · D/A · $48,207,549 sold of Indefinite · 78 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 12, 2010 · D/A · $47,419,929 sold of Indefinite · 72 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗

Raised $53.7M from 101 investors as of the latest filing. Kimberly is listed as director on 6 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

PI
Pooled Investment Fund · group: Penn

Penn Institutional Bank Loan Fund, LP

Philadelphia, PA · Apr 12, 2013 → Mar 16, 2015 · 3 filings
  • Mar 16, 2015 · D/A · $5,500,000 sold of Indefinite · 2 investors · min. No minimum reported · role: Director (of the General Partner of the Issuer) EDGAR ↗
  • Mar 17, 2014 · D/A · $5,000,000 sold of Indefinite · 1 investors · min. No minimum reported · role: Director (of the General Partner of the Issuer) EDGAR ↗
  • Apr 12, 2013 · D · $0 sold of Indefinite · 0 investors · min. No minimum reported · role: Director (of the General Partner of the Issuer) EDGAR ↗

Raised $5.5M from 2 investors as of the latest filing. Kimberly is listed as director on 3 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

PC
Pooled Investment Fund · group: Penn

PENN CORE OPPORTUNISTIC HIGH YIELD BOND FUND LP

Philadelphia, PA · Mar 12, 2010 → Mar 16, 2015 · 6 filings
  • Mar 16, 2015 · D/A · $124,971,126 sold of Indefinite · 119 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 17, 2014 · D/A · $122,037,478 sold of Indefinite · 112 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 15, 2013 · D/A · $117,736,032 sold of Indefinite · 108 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 15, 2012 · D/A · $105,996,430 sold of Indefinite · 104 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 14, 2011 · D/A · $89,034,710 sold of Indefinite · 94 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗
  • Mar 12, 2010 · D/A · $78,290,710 sold of Indefinite · 79 investors · min. No minimum reported · role: Director (of the General Partner.) EDGAR ↗

Raised $125M from 119 investors as of the latest filing. Kimberly is listed as director on 6 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

PF
Pooled Investment Fund · group: Penn

PENN FINANCIAL SERVICES FUND LP

Philadelphia, PA · Mar 12, 2010 → Mar 15, 2012 · 3 filings
  • Mar 15, 2012 · D/A · $3,042,357 sold of Indefinite · 13 investors · min. No minimum reported · role: Director (Ms. Hocker is a Director of the General Partner.) EDGAR ↗
  • Mar 14, 2011 · D/A · $2,951,532 sold of Indefinite · 13 investors · min. No minimum reported · role: Director (Ms. Hocker is a Director of the General Partner.) EDGAR ↗
  • Mar 12, 2010 · D/A · $2,700,857 sold of Indefinite · 6 investors · min. No minimum reported · role: Director (Ms. Hocker is a Director of the General Partner.) EDGAR ↗

Raised $3.04M from 13 investors as of the latest filing. Kimberly is listed as director on 3 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.

People around Kimberly 13

Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.

MH
No photo found yet (own website and image search run after this page is viewed)
Person

Marcia Hocker

Executive Officer, Director · 92 shared filings (15 issuers)

Marcia Hocker is on 15 issuers in total — a repeat sponsor. Their page lists every one.

CN
No photo found yet (own website and image search run after this page is viewed)
Person

Christian M. Noyes

Executive Officer · 92 shared filings (15 issuers) · also on 1 other issuer

Christian M. Noyes is on 16 issuers in total — a repeat sponsor. Their page lists every one.

GM
No photo found yet (own website and image search run after this page is viewed)
Person

Gerald McBride

Executive Officer · 92 shared filings (15 issuers) · also on 1 other issuer

Gerald McBride is on 16 issuers in total — a repeat sponsor. Their page lists every one.

RH
No photo found yet (own website and image search run after this page is viewed)
Person

Richard A. Hocker

Executive Officer, Director · 92 shared filings (15 issuers)

Richard A. Hocker is on 15 issuers in total — a repeat sponsor. Their page lists every one.

EG
No photo found yet (own website and image search run after this page is viewed)
Person

Eric J. Green

Executive Officer · 92 shared filings (15 issuers)

Eric J. Green is on 15 issuers in total — a repeat sponsor. Their page lists every one.

SS
No photo found yet (own website and image search run after this page is viewed)
Person

Scott D. Schumacher, Sr.

Executive Officer · 79 shared filings (12 issuers)

Scott D. Schumacher, Sr. is on 12 issuers in total — a repeat sponsor. Their page lists every one.

KH
No photo found yet (own website and image search run after this page is viewed)
Person

Kirsten Hocker

Director · 63 shared filings (10 issuers) · also on 4 other issuers

Kirsten Hocker is on 14 issuers in total — a repeat sponsor. Their page lists every one.

KH
No photo found yet (own website and image search run after this page is viewed)
Person

Kirstin Hocker

Director, Executive Officer · 21 shared filings (4 issuers)

Listed on the same filings as Kimberly Hocker. Their page shows their other deals.

PM
No photo found yet (own website and image search run after this page is viewed)
Person

Peter Moran

Executive Officer, Director · 10 shared filings (10 issuers)

Peter Moran is on 10 issuers in total — a repeat sponsor. Their page lists every one.

KH
No photo found yet (own website and image search run after this page is viewed)
Person

Kristin Hocker

Director · 7 shared filings (2 issuers)

Listed on the same filings as Kimberly Hocker. Their page shows their other deals.

SS
No photo found yet (own website and image search run after this page is viewed)
Person

Scott Schumacher

Executive Officer · 7 shared filings (2 issuers)

Listed on the same filings as Kimberly Hocker. Their page shows their other deals.

SS
No photo found yet (own website and image search run after this page is viewed)
Person

Scott S. Schumacher, Sr.

Executive Officer · 6 shared filings (1 issuer)

Listed on the same filings as Kimberly Hocker. Their page shows their other deals.

KH
No photo found yet (own website and image search run after this page is viewed)
Person

Kristen Hocker

Director · 1 shared filing (1 issuer)

Listed on the same filings as Kimberly Hocker. Their page shows their other deals.

The team behind the deals

P
Sponsor group

Penn

16 issuers · 128 filings · $1.29B reported sold · 2009–2021

One team, 16 deal companies. Kimberly Hocker is listed on 15 of them.

Sources

Issuers are grouped when their Form D filings share related persons, a management entity or a business address (automatic match from the filings). "Listed" marks the issuers that name Kimberly Hocker.

Registrations and other filings

Business registration (state registry / Secretary of State)

Individuals are not matched to business registrations — registries list companies, and a name alone is not enough to tie a person to one. Officers and managers appear by name inside each matched company's record on the issuer pages. Registries searched: AL (Alabama Secretary of State — Business Entity Records (arc-sos.state.al.us), searched by issuer name, data as of Oct 24, 2026); CO (Colorado Secretary of State — Business Entities in Colorado (data.colorado.gov), data as of Oct 23, 2026); CT (Connecticut Secretary of the State — Business Registry (data.ct.gov), data as of Oct 24, 2026); FL (Florida Department of State, Division of Corporations — quarterly corporate data file (Sunbiz), data as of Oct 7, 2026); KY (Kentucky Secretary of State — Business Entity Search (sosbes.sos.ky.gov), searched by issuer name, data as of Oct 24, 2026); NY (New York Department of State — Corporations and Other Entities (data.ny.gov: All Filings + Active Corporations), data as of Oct 20, 2026); OR (Oregon Secretary of State — Active Businesses, All (data.oregon.gov), data as of Oct 20, 2026); PA (Pennsylvania Department of State — Registered Businesses, Current (data.pa.gov), data as of Oct 6, 2026); TX (Texas Comptroller — Active Franchise Taxpayers incl. Secretary of State file data (data.texas.gov), data as of Oct 24, 2026). Registries of other states have not been searched: many publish no bulk file and require a CAPTCHA or bot challenge on their search page, which we do not bypass (Delaware, for example, offers no public bulk file).

Adviser registration (Form ADV)

None of the 15 issuers this person is listed on appears in Form ADV (searched 24,962 advisers as of Oct 2, 2026). A person is never an adviser firm; Form ADV is checked for the issuers and the management companies they are listed with.

Other offering types (Regulation A and Regulation Crowdfunding)

Searched SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 (51,358 records as of Oct 23, 2026, 8:41 PM ET) — nothing matched this name.

Property records none — individuals are not matched

Property records are matched to companies only, never to individuals, so none are matched to Kimberly Hocker by design. Searched property records in Hillsborough County FL (Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026 + FL DOR 2026 ownership roll), Miami-Dade County FL (FL DOR 2026 ownership roll), Harris County TX (HCAD 2026 ownership roll), Dallas County TX (DCAD 2026 ownership roll), New York City ACRIS documents and PLUTO ownership rows already retrieved for other issuers, Cook County IL sale and ownership rows already retrieved for other issuers (814,874 records as of Oct 23, 2026, 8:59 PM ET) for the 15 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Kimberly Hocker is listed on: none on file. No website or social profile named in Penn Capital Defensive High Yield Fund, L.P.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #193,141 of 374,652 in line (1,386 issuers searched so far). One-tap searches: Look further ↓

Look further

One-tap searches on sites we do not index ourselves, with the name pre-filled (Philadelphia, PA). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Social and web

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Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗Pennsylvania UJS portal case search ↗

Securities regulators

SEC EDGAR full-text search ↗SEC action look-up ↗FINRA BrokerCheck ↗SEC IAPD adviser search ↗

Business registries

Pennsylvania Secretary of State business search ↗OpenCorporates ↗

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