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| Pacific Grove Capital LP
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|---|---|
| CRD # | 172659 |
| SEC # | 801-80325 |
| CIK # | 0001637187, 0001714262 |
| AUM | |
| Employees | 4 (50% Investors, 0% Brokers) |
| Phone | 415-635-0160 |
| Address | 580 California Street San Francisco, CA 94104 |
| Source | [IAPD] [EDGAR] [Website] |
| Total AUM ($M) |
|---|
| Type | Form D Funds | Date | Sold | AUM |
|---|---|---|---|---|
| HF | Pacific Grove Opportunities Fund I LP | [2017-10-17] | 47.5 M | |
| Filed 2018-07-20 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $10,000,000 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose | ||||
| HF | Pacific Grove Master Fund LP | [2014-09-04] | 119.6 M | 199.6 M |
| Filed 2018-09-20 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $1,000,000 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose | ||||
| AUM Breakdown | Accounts | AUM ($M) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 0 | 0.0 |
| (b) Individuals (high net worth individuals) | 0 | 0.0 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 5 | 247.1 |
| (g) Pension and profit sharing plans | 0 | 0.0 |
| (h) Charitable organizations | 0 | 0.0 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 0 | 0.0 |
| (n) Other | 0 | 0.0 |
| Total | 5 | 247.1 |
| By Discretionary | ||
| Discretionary | 5 | 247.1 |
| Non-Discretionary | 0 | 0.0 |
| Total | 5 | 247.1 |
| By Non-United States Persons | ||
| Non-United States Persons | 247.1 | |
| United States Persons | 0.0 | |
| Total | 5 | 247.1 |
| Form D Directors | Role | # Filings | # Firms | 2011 - 2026 |
|---|---|---|---|---|
| Mark Simmons | Executive Officer | 13 | 4 | |
| Robert Mendola Jr | Executive Officer | 4 | 2 | |
| Pacific Grove Capital GP LLC | Executive Officer | 3 | 2 | |
| Richard van Doren | Executive Officer | 2 | 2 |
| EDGAR Form | CIK | 2011 - 2026 |
|---|---|---|
| 13F-HR | [0001637187] | |
| 3 | [0001637187] | |
| 4 | [0001637187] | |
| SC 13D | [0001637187] | |
| SC 13G | [0001637187] | |
| 3 | [0001714262] | |
| 4 | [0001714262] |
| Form 13D/13G Filer | Form 13D/13G Subject | Filed |
|---|---|---|
| Pacific Grove Capital LP | Monaker Group Inc | [2017-08-10] |
| Pacific Grove Capital LP | Jamba Inc | [2015-04-06] |
| Firm Profile (Form ADV) | |
|---|---|
| Serves | Institutional |
| Fund Types | Hedge Fund |
| Form 3/4/5 Subject | 2011 - 2026 |
|---|---|
| Pacific Grove Capital LP | |
| Mendola Robert James Jr | |
| Pacific Grove Capital GP LLC | |
| NextPlay Technologies Inc | |
| Pacific Grove Master Fund LP | |
| Pacific Grove Capital LLC |
| Insider Transaction (Form 3/4/5) | Date | Action | Shares | Price | Value ($) |
|---|---|---|---|---|---|
|
NextPlay Technologies Inc MKGI
Common Stock
|
2019-06-28 | Other | 785,555 | $0.00 | |
|
NextPlay Technologies Inc MKGI
Common Stock
|
2018-08-01 | Other | 168,093 | $0.00 | |
|
NextPlay Technologies Inc MKGI
Common Stock
|
2018-04-24 | Other | 44,825 | $0.00 | |
|
NextPlay Technologies Inc MKGI
Common Stock
|
2018-03-01 | Option exercise | 147,000 | $2.63 | 386,610 |
|
NextPlay Technologies Inc MKGI
Warrants · derivative
|
2018-03-01 | Option exercise | 147,000 | $0.00 | |
|
NextPlay Technologies Inc MKGI
Warrants · derivative
|
2018-02-28 | Other | 73,500 | $0.00 | |
|
NextPlay Technologies Inc MKGI
Warrants · derivative
|
2018-01-31 | Option exercise | 192,500 | $0.00 | |
|
NextPlay Technologies Inc MKGI
Common Stock
|
2018-01-29 | Option exercise | 1,800 | $0.00 | |
|
NextPlay Technologies Inc MKGI
Common Stock
|
2018-01-10 | Buy | 20,636 | $0.00 | |
|
NextPlay Technologies Inc MKGI
Warrants · derivative
|
2018-01-10 | Option exercise | 271,250 | $0.00 |