Form D/A
View Original Filing
Notice of Exempt Offering of Securities
Item 1. Issuer's Identity
Name of Issuer:
BELDORE CAPITAL FUND LLC
Jurisdiction of Incorporation/Organization
DE
Year of Incorporation/Organization
Over Five Years Ago
Entity Type
LIMITED LIABILITY COMPANY
Item 2 Issuer Principal Place of Business and Contact Information
TWO INTERNATIONAL PLACE
BOSTON, MA 02110
Phone Number:
subscription required
Item 3. Related Persons
Name
MANAGEMENT EATON VANCE
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
THOMAS E. FAUST JR.
Address
subscription required
Relationship(s)
Clarification of Response
EXECUTIVE OFFICER OF THE MANAGER
Item 3. Related Persons
Name
FREDERICK S. MARIUS
Address
subscription required
Relationship(s)
Clarification of Response
EXECUTIVE OFFICER OF THE MANAGER
Item 3. Related Persons
Name
A. JOHN MURPHY
Address
subscription required
Relationship(s)
Clarification of Response
VICE PRESIDENT OF THE MANAGER
Item 3. Related Persons
Name
LAURIE G. HYLTON
Address
subscription required
Relationship(s)
Clarification of Response
EXECUTIVE OFFICER OF THE MANAGER
Item 4. Industry Group
POOLED INVESTMENT FUND
- PRIVATE EQUITY FUND
Item 5. Issuer Size
Revenue Range (for issuer not specifying "hedge" or "other investment" fund in Item 4 above)
DECLINE TO DISCLOSE
Item 6. Federal Exemptions and Exclusions Claimed
Item 7. Type of Filing
Amendment
Date of First Sale in this Offering:
08/21/2007
Item 8. Duration of Offering
Does the issuer intend this offering to last more than one year?
Yes
Item 9. Type(s) of Securities Offered
Item 10. Business Combination Transaction
Is this offering being made in connection with a business combination
transaction, such as a merger, acquisition or exchange offer?
No
Clarification of Response
Item 11. Minimum Investment
Minimum Investment accepted from any outside investor
1000000
Item 12. Sales Compensation
Recipient
EATON VANCE DISTRIBUTORS, INC.
Recipient CRD Number
NONE
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
TWO INTERNATIONAL PLACE
BOSTON, MA 02110
States of Solicitation
Item 12. Sales Compensation
Recipient
NATIONAL FINANCIAL SERVICES LLC
Recipient CRD Number
13041
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
200 SEAPORT BOULEVARD
MAIL ZONE Z2M
BOSTON, MA 02110
States of Solicitation
Item 12. Sales Compensation
Recipient
CHARLES SCHWAB CO,, INC.
Recipient CRD Number
5393
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
211 MAIN STREET
SAN FRANCISCO, CA 94105
States of Solicitation
- AL
- AK
- AZ
- AR
- CA
- CO
- CT
- DE
- DC
- FL
- GA
- HI
- ID
- IL
- IN
- IA
- KS
- KY
- LA
- ME
- MD
- MA
- MI
- MN
- MS
- MO
- MT
- NE
- NV
- NH
- NJ
- NM
- NY
- ND
- OH
- OK
- OR
- PA
- PR
- RI
- SD
- TN
- TX
- UT
- VT
- VA
- WA
- WV
- WI
- WY
Item 12. Sales Compensation
Recipient
CITIGROUP GLOBAL MARKETS INC.
Recipient CRD Number
7059
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
388 GREENWICH STREET
NEW YORK, NY 10013
States of Solicitation
- AL
- AK
- AZ
- AR
- CA
- CO
- CT
- DE
- DC
- FL
- GA
- HI
- ID
- IL
- IN
- IA
- KS
- KY
- LA
- ME
- MD
- MA
- MI
- MN
- MS
- MO
- MT
- NE
- NV
- NH
- NJ
- NM
- NY
- ND
- OH
- OK
- OR
- PA
- PR
- RI
- SD
- TN
- TX
- UT
- VT
- VA
- WA
- WV
- WI
- WY
Item 12. Sales Compensation
Recipient
CREDIT SUISSE SECURITIES (USA) LLC
Recipient CRD Number
816
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
11 MADISON AVENUE
7TH FLOOR
NEW YORK, NY 10010
States of Solicitation
- AL
- AK
- AZ
- AR
- CA
- CO
- CT
- DE
- DC
- FL
- GA
- HI
- ID
- IL
- IN
- IA
- KS
- KY
- LA
- ME
- MD
- MA
- MI
- MN
- MS
- MO
- MT
- NE
- NV
- NH
- NJ
- NM
- NY
- ND
- OH
- OK
- OR
- PA
- PR
- RI
- SD
- TN
- TX
- UT
- VT
- VA
- WA
- WV
- WI
- WY
Item 12. Sales Compensation
Recipient
DEUTSCHE BANK SECURITIES, INC.
Recipient CRD Number
2525
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
60 WALL STREET
NEW YORK, NY 10005
States of Solicitation
- AL
- AK
- AZ
- AR
- CA
- CO
- CT
- DE
- DC
- FL
- GA
- HI
- ID
- IL
- IN
- IA
- KS
- KY
- LA
- ME
- MD
- MA
- MI
- MN
- MS
- MO
- MT
- NE
- NV
- NH
- NJ
- NM
- NY
- OH
- OK
- OR
- PA
- PR
- RI
- SD
- TN
- TX
- UT
- VT
- VA
- WA
- WV
- WI
- WY
Item 12. Sales Compensation
Recipient
FIFTH THIRD BANK, N.A.
Recipient CRD Number
NONE
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
38 FOUNTAIN SQUARE PLAZA
CINCINNATI, OH 45202
States of Solicitation
- AL
- AK
- AZ
- AR
- CA
- CO
- CT
- DE
- DC
- FL
- GA
- HI
- ID
- IL
- IN
- IA
- KS
- KY
- LA
- ME
- MD
- MA
- MI
- MN
- MS
- MO
- MT
- NE
- NV
- NH
- NJ
- NM
- NY
- ND
- OH
- OK
- OR
- PA
- PR
- RI
- SD
- TN
- TX
- UT
- VT
- VA
- WA
- WV
- WI
- WY
Item 12. Sales Compensation
Recipient
LPL FINANICAL CORPORATION
Recipient CRD Number
6413
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
ONE BEACON STREET
22ND FLOOR
BOSTON, MA 02108-3106
States of Solicitation
Item 12. Sales Compensation
Recipient
MERRILL LYNCH, PIERCE, FENNER SMITH INCORPORATED
Recipient CRD Number
7691
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
ONE BRYANT PARK
NEW YORK, NY 10036
States of Solicitation
- AL
- AK
- AZ
- AR
- CA
- CO
- CT
- DE
- DC
- FL
- GA
- HI
- ID
- IL
- IN
- IA
- KS
- KY
- LA
- ME
- MD
- MA
- MI
- MN
- MS
- MO
- MT
- NE
- NV
- NH
- NJ
- NM
- NY
- ND
- OH
- OK
- OR
- PA
- PR
- RI
- SD
- TN
- TX
- UT
- VT
- VA
- WA
- WV
- WI
- WY
Item 12. Sales Compensation
Recipient
MORGAN KEEGAN COMPANY, INC.
Recipient CRD Number
4161
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
50 FRONT STREET
MORGAN KEEGAN TOWER
MEMPHIS, TN 38103-9980
States of Solicitation
- AL
- AK
- AZ
- AR
- CA
- CO
- CT
- DE
- DC
- FL
- GA
- HI
- ID
- IL
- IN
- IA
- KS
- KY
- LA
- ME
- MD
- MA
- MI
- MN
- MS
- MO
- MT
- NE
- NV
- NH
- NJ
- NM
- NY
- ND
- OH
- OK
- OR
- PA
- PR
- RI
- SD
- TN
- TX
- UT
- VT
- VA
- WA
- WV
- WI
- WY
Item 12. Sales Compensation
Recipient
MORGAN STANLEY CO., INCORPORATED
Recipient CRD Number
8209
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
1585 BROADWAY
NEW YORK, NY 10036-8293
States of Solicitation
- AL
- AK
- AZ
- AR
- CA
- CO
- CT
- DE
- DC
- FL
- GA
- HI
- ID
- IL
- IN
- IA
- KS
- KY
- LA
- ME
- MD
- MA
- MI
- MN
- MS
- MO
- MT
- NE
- NV
- NH
- NJ
- NM
- NY
- ND
- OH
- OK
- OR
- PA
- PR
- RI
- SD
- TN
- TX
- UT
- VT
- VA
- WA
- WV
- WI
- WY
Item 12. Sales Compensation
Recipient
COMERICA SECURITIES, LLC
Recipient CRD Number
17079
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
201 W. FORT STREET
DETROIT, MI 48226-3230
States of Solicitation
- AL
- AK
- AZ
- AR
- CA
- CO
- CT
- DE
- DC
- FL
- GA
- HI
- ID
- IL
- IN
- IA
- KS
- KY
- LA
- ME
- MD
- MA
- MI
- MN
- MS
- MO
- MT
- NE
- NV
- NH
- NJ
- NM
- NY
- ND
- OH
- OK
- OR
- PA
- PR
- RI
- SD
- TN
- TX
- UT
- VT
- VA
- WA
- WV
- WI
- WY
Item 12. Sales Compensation
Recipient
NORTHERN TRUST SECURITIES, INC.
Recipient CRD Number
7927
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
50 S. LASALLE STREET
BB-12
CHICAGO, IL 60603
States of Solicitation
- AL
- AK
- AZ
- AR
- CA
- CO
- CT
- DE
- DC
- FL
- GA
- HI
- ID
- IL
- IN
- IA
- KS
- KY
- LA
- ME
- MD
- MA
- MI
- MN
- MS
- MO
- MT
- NE
- NV
- NH
- NJ
- NM
- NY
- ND
- OH
- OK
- OR
- PA
- PR
- RI
- SD
- TN
- TX
- UT
- VT
- VA
- WA
- WV
- WI
- WY
Item 12. Sales Compensation
Recipient
OPPENHEIMER CO., INC.
Recipient CRD Number
249
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
125 BROAD STREET
16TH FLOOR
NEW YORK, NY 10004
States of Solicitation
- AL
- AK
- AZ
- AR
- CA
- CO
- CT
- DE
- DC
- FL
- GA
- HI
- ID
- IL
- IN
- IA
- KS
- KY
- LA
- ME
- MD
- MA
- MI
- MN
- MS
- MO
- MT
- NE
- NV
- NH
- NJ
- NM
- NY
- ND
- OH
- OK
- OR
- PA
- PR
- RI
- SD
- TN
- TX
- UT
- VT
- VA
- WA
- WV
- WI
- WY
Item 12. Sales Compensation
Recipient
RAYMOND JAMES ASSOCIATES, INC.
Recipient CRD Number
705
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
880 CARILLON PARKWAY
ST. PETERSBURG, FL 33716
States of Solicitation
- AL
- AK
- AZ
- AR
- CA
- CO
- CT
- DE
- DC
- FL
- GA
- HI
- ID
- IL
- IN
- IA
- KS
- KY
- LA
- ME
- MD
- MA
- MI
- MN
- MS
- MO
- MT
- NE
- NV
- NH
- NJ
- NM
- NY
- ND
- OH
- OK
- OR
- PA
- PR
- RI
- SD
- TN
- TX
- UT
- VT
- VA
- WA
- WV
- WI
- WY
Item 12. Sales Compensation
Recipient
RAYMOND JAMES FINANCIAL SERVICES, INC.
Recipient CRD Number
6694
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
880 CARILLON PARKWAY
ST. PETERSBURG, FL 33716
States of Solicitation
- AL
- AK
- AZ
- AR
- CA
- CO
- CT
- DE
- DC
- FL
- GA
- HI
- ID
- IL
- IN
- IA
- KS
- KY
- LA
- ME
- MD
- MA
- MI
- MN
- MS
- MO
- MT
- NE
- NV
- NH
- NJ
- NM
- NY
- ND
- OH
- OK
- OR
- PA
- PR
- RI
- SD
- TN
- TX
- UT
- VT
- VA
- WA
- WV
- WI
- WY
Item 12. Sales Compensation
Recipient
ROBERT W. BAIRD CO. INCORPORATED
Recipient CRD Number
8158
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
777 EAST WISCONSIN AVENUE
MILWAUKEE, WI 53202
States of Solicitation
Item 12. Sales Compensation
Recipient
SUNTRUST BANK, N.A.
Recipient CRD Number
NONE
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
ATTN: SPECIAL PROCESSING GA-ATL-3133
303 PEACHTREE STREET
ATLANTA, GA 30308
States of Solicitation
- AL
- AK
- AZ
- AR
- CA
- CO
- CT
- DE
- DC
- FL
- GA
- HI
- ID
- IL
- IN
- IA
- KS
- KY
- LA
- ME
- MD
- MA
- MI
- MN
- MS
- MO
- MT
- NE
- NV
- NH
- NJ
- NM
- NY
- ND
- OH
- OK
- OR
- PA
- PR
- RI
- SD
- TN
- TX
- UT
- VT
- VA
- WA
- WV
- WI
- WY
Item 12. Sales Compensation
Recipient
SUNTRUST INVESTMENT SERVICES, INC.
Recipient CRD Number
17499
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
303 PEACHTREE CENTER AVENUE
SUITE 140
ATLANTA, GA 30303
States of Solicitation
- AL
- AK
- AZ
- AR
- CA
- CO
- CT
- DE
- DC
- FL
- GA
- HI
- ID
- IL
- IN
- IA
- KS
- KY
- LA
- ME
- MD
- MA
- MI
- MN
- MS
- MO
- MT
- NE
- NV
- NH
- NJ
- NM
- NY
- ND
- OH
- OK
- OR
- PA
- PR
- RI
- SD
- TN
- TX
- UT
- VT
- VA
- WA
- WV
- WI
- WY
Item 12. Sales Compensation
Recipient
UBS FINANCIAL SERVICES, INC.
Recipient CRD Number
8174
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
1200 HARBOR BOULEVARD
WEEHAWKEN, NJ 07086
States of Solicitation
Item 12. Sales Compensation
Recipient
RBC CAPITAL MARKETS CORPORATION
Recipient CRD Number
31194
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
ONE LIBERTY PLAZA
165 BROADWAY
NEW YORK, NY 10006-1404
States of Solicitation
Item 12. Sales Compensation
Recipient
WELLS FARGO ADVISORS, LLC
Recipient CRD Number
19616
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
ONE NORTH JEFFERSON
H0003-041
ST. LOUIS, MO 63103
States of Solicitation
Item 12. Sales Compensation
Recipient
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
Recipient CRD Number
11025
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
ONE NORTH JEFFERSON
ST. LOUIS, MO 63103
States of Solicitation
- AL
- AK
- AZ
- AR
- CA
- CO
- CT
- DE
- DC
- FL
- GA
- HI
- ID
- IL
- IN
- IA
- KS
- KY
- LA
- ME
- MD
- MA
- MI
- MN
- MS
- MO
- MT
- NE
- NV
- NH
- NJ
- NM
- NY
- ND
- OH
- OK
- OR
- PA
- PR
- RI
- SD
- TN
- TX
- UT
- VT
- VA
- WA
- WV
- WI
- WY
Item 12. Sales Compensation
Recipient
MORGAN STANLEY SMITH BARNEY LLC
Recipient CRD Number
149777
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
2000 WESTCHESTER AVENUE
PURCHASE, NY 10577-2530
States of Solicitation
- AL
- AK
- AZ
- AR
- CA
- CO
- CT
- DE
- DC
- FL
- GA
- HI
- ID
- IL
- IN
- IA
- KS
- KY
- LA
- ME
- MD
- MA
- MI
- MN
- MS
- MO
- MT
- NE
- NV
- NH
- NJ
- NM
- NY
- ND
- OH
- OK
- OR
- PA
- PR
- RI
- SD
- TN
- TX
- UT
- VT
- VA
- WA
- WV
- WI
- WY
Item 12. Sales Compensation
Recipient
J.P MORGAN SECURITIES
Recipient CRD Number
79
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
383 MADISON AVENUE
NEW YORK, NY 10179
States of Solicitation
- AL
- AK
- AZ
- AR
- CA
- CO
- CT
- DE
- DC
- FL
- GA
- HI
- ID
- IL
- IN
- IA
- KS
- KY
- LA
- ME
- MD
- MA
- MI
- MN
- MS
- MO
- MT
- NE
- NV
- NH
- NJ
- NM
- NY
- ND
- OH
- OK
- OR
- PA
- PR
- RI
- SD
- TN
- TX
- UT
- VT
- VA
- WA
- WV
- WI
- WY
Item 12. Sales Compensation
Recipient
DEUTSCHE BANK TRUST COMPANY AMERICAS N.A.
Recipient CRD Number
NONE
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
60 WALL STREET
NEW YORK, NY 10005
States of Solicitation
- AL
- AK
- AZ
- AR
- CA
- CO
- CT
- DE
- DC
- FL
- GA
- HI
- ID
- IL
- IN
- IA
- KS
- KY
- LA
- ME
- MD
- MA
- MI
- MN
- MS
- MO
- MT
- NE
- NV
- NH
- NJ
- NM
- NY
- ND
- OH
- OK
- OR
- PA
- PR
- RI
- SD
- TN
- TX
- UT
- VT
- VA
- WA
- WV
- WI
- WY
Item 12. Sales Compensation
Recipient
JANNEY MONTGOMERY SCOTT LLC
Recipient CRD Number
463
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
1801 MARKET STREET
PHILADELPHIA, PA 19103-1675
States of Solicitation
Item 12. Sales Compensation
Recipient
US BANK, N.A.
Recipient CRD Number
NONE
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
800 NICOLLET MALL
MINNEAPOLIS, MN 55402
States of Solicitation
- AL
- AK
- AZ
- AR
- CA
- CO
- CT
- DE
- DC
- FL
- GA
- HI
- ID
- IL
- IN
- IA
- KS
- KY
- LA
- ME
- MD
- MA
- MI
- MN
- MS
- MO
- MT
- NE
- NV
- NH
- NJ
- NM
- NY
- ND
- OH
- OK
- OR
- PA
- PR
- RI
- SD
- TN
- TX
- UT
- VT
- VA
- WA
- WV
- WI
- WY
Item 12. Sales Compensation
Recipient
ATLANTIC TRUST COMPANY, N.A.
Recipient CRD Number
NONE
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
1555 PEACHTREE STREET NE
SUITE 1100
ATLANTA, GA 30309
States of Solicitation
- AL
- AK
- AZ
- AR
- CA
- CO
- CT
- DE
- DC
- FL
- GA
- HI
- ID
- IL
- IN
- IA
- KS
- KY
- LA
- ME
- MD
- MA
- MI
- MN
- MS
- MO
- MT
- NE
- NV
- NH
- NJ
- NM
- NY
- ND
- OH
- OK
- OR
- PA
- PR
- RI
- SD
- TN
- TX
- UT
- VT
- VA
- WA
- WV
- WI
- WY
Item 12. Sales Compensation
Recipient
US TRUST COMPANY, N.A.
Recipient CRD Number
NONE
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
114 WEST 47TH STREET
NEW YORK, NY 10036-1510
States of Solicitation
- AL
- AK
- AZ
- AR
- CA
- CO
- CT
- DE
- DC
- FL
- GA
- HI
- ID
- IL
- IN
- IA
- KS
- KY
- LA
- ME
- MD
- MA
- MI
- MN
- MS
- MO
- MT
- NE
- NV
- NH
- NJ
- NM
- NY
- ND
- OH
- OK
- OR
- PA
- PR
- RI
- SD
- TN
- TX
- UT
- VT
- VA
- WA
- WV
- WI
- WY
Item 12. Sales Compensation
Recipient
WELLS FARGO BANK N.A.
Recipient CRD Number
NONE
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
420 MONTGOMERY STREET
SAN FRANCISCO, CA 94104
States of Solicitation
- AL
- AK
- AZ
- AR
- CA
- CO
- CT
- DE
- DC
- FL
- GA
- HI
- ID
- IL
- IN
- IA
- KS
- KY
- LA
- ME
- MD
- MA
- MI
- MN
- MS
- MO
- MT
- NE
- NV
- NH
- NJ
- NM
- NY
- ND
- OH
- OK
- OR
- PA
- PR
- RI
- SD
- TN
- TX
- UT
- VT
- VA
- WA
- WV
- WI
- WY
Item 13. Offering and Sales Amounts
Total Offering Amount
INDEFINITE
Total Amount Sold
875158231
Total Remaining to be Sold
INDEFINITE
Clarification of Response
Item 14. Investors
Securities in the offering have been or may be sold to persons
who do not qualify as accredited investors,
Number of non-accredited investors who already have invested in the offering:
Total number of investors who already have invested in the offering:
346
Item 15. Sales Commissions and Finders' Fees Expenses
Sales Commissions:
15000000.0 Is an estimate
Finders' Fees
0.0
Clarification of Response
Item 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,directors or promoters in response to Item 3 above.
0.0
Clarification of Response
Signature and Submission
Issuer Name
BELDORE CAPITAL FUND LLC
Issuer Signature
/S/ A. JOHN MURPHY
Signer Name
A. JOHN MURPHY
Signer Title
VICE PRESIDENT OF MANAGER
Signature Date
11/05/2013