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| Whippoorwill Associates Inc
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|---|---|
| CRD # | 107497 |
| SEC # | 801-43158 |
| CIK # | 0001197259 |
| AUM | 31.2 M (2026-03-27) |
| Employees | 1 (100% Investors, 0% Brokers) |
| Phone | 914-683-1002 |
| Address | 50 Main Street White Plains, NY 10606 |
| Source | [IAPD] [EDGAR] [Website] |
| Total AUM ($M) |
|---|
| Type | Form D Funds | Date | Sold | AUM |
|---|---|---|---|---|
| HF | Whippoorwill Credit Opportunity Fund LP | [2014-03-28] | 7.5 M | 1.4 M |
| Filed 2015-01-20 (D/A) · Exemption 506(b), 3(c), 3(c)(1), 3(c)(7) · Remaining Indefinite · Duration More than one year · Commission $500,000 · Net Assets Decline to Disclose | ||||
| HF | Whippoorwill Loan Opportunity Fund LP | [2014-03-28] | 1.0 M | 1.0 M |
| Filed 2015-01-20 (D/A) · Exemption 506(b), 3(c), 3(c)(1), 3(c)(7) · Remaining Indefinite · Duration More than one year · Commission $500,000 · Net Assets Decline to Disclose | ||||
| PE | Whippoorwill Distressed Opportunity Fund LP | [2012-03-28] | 977.1 M | 17.5 M |
| Filed 2013-09-10 (D/A) · Exemption 506, 3(c), 3(c)(1), 3(c)(7) · Remaining Indefinite · Duration More than one year · Commission $13,614,000 · Net Assets Decline to Disclose | ||||
| PE | Whippoorwill Institutional Partners LP | [2012-03-28] | 55.0 M | 6.1 M |
| Filed 2011-07-19 (D/A) · Exemption 506, 3(c), 3(c)(1), 3(c)(7) · Remaining Indefinite · Duration More than one year · Commission $5,000,000 · Net Assets Decline to Disclose | ||||
| PE | Whippoorwill Offshore Distressed Opportunity Fund Ltd | [2012-03-28] | 977.1 M | 7.6 M |
| Filed 2013-09-10 (D/A) · Exemption 506, 3(c), 3(c)(1), 3(c)(7) · Remaining Indefinite · Duration More than one year · Commission $13,614,000 · Net Assets Decline to Disclose | ||||
| AUM Breakdown | Accounts | AUM ($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 | 3 | 31.2 |
| (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 | 3 | 31.2 |
| By Discretionary | ||
| Discretionary | 3 | 31.2 |
| Non-Discretionary | 0 | 0.0 |
| Total | 3 | 31.2 |
| By Non-United States Persons | ||
| Non-United States Persons | 25.0 | |
| United States Persons | 6.2 | |
| Total | 3 | 31.2 |
| Form D Directors | Role | # Filings | # Firms | 2011 - 2026 |
|---|---|---|---|---|
| Steven Gendal | Executive Officer | 8 | 2 | |
| Shelley Greenhaus | Executive Officer | 5 | 2 |
| EDGAR Form | CIK | 2011 - 2026 |
|---|---|---|
| 13F-HR | [0001197259] | |
| 3 | [0001197259] | |
| 4 | [0001197259] | |
| SC 13D | [0001197259] | |
| SC 13G | [0001197259] |
| Form 13D/13G Filer | Form 13D/13G Subject | Filed |
|---|---|---|
| Whippoorwill Associates Inc | US Concrete Inc | [2015-03-02] |
| Whippoorwill Associates Inc | YRC Worldwide Inc | [2013-11-08] |
| Whippoorwill Associates Inc | Casella Waste Systems Inc | [2013-09-09] |
| Whippoorwill Associates Inc | US Concrete Inc | [2012-01-03] |
| Firm Profile (Form ADV) | |
|---|---|
| Discretionary AUM | $0.7B |
| Serves | Institutional |
| Fund Types | Hedge Fund, Private Equity |
| Form 3/4/5 Subject | 2011 - 2026 |
|---|---|
| Whippoorwill Associates Inc | |
| Greenhaus Shelley F | |
| Gendal Steven K | |
| US Concrete Inc |
| Insider Transaction (Form 3/4/5) | Date | Action | Shares | Price | Value ($) |
|---|---|---|---|---|---|
|
US Concrete Inc USCR
Common Stock, par value $0.001 per share
|
2015-02-27 | Sell | 19,408 | $31.12 | 603,977 |
|
US Concrete Inc USCR
Common Stock, par value $0.001 per share
|
2015-02-26 | Sell | 87,714 | $31.24 | 2,740,185 |
|
US Concrete Inc USCR
Common Stock, par value $0.001 per share
|
2015-02-25 | Sell | 12,803 | $31.05 | 397,533 |
|
US Concrete Inc USCR
Common Stock, par value $0.001 per share
|
2015-02-24 | Sell | 70,208 | $30.34 | 2,130,111 |
|
US Concrete Inc USCR
Common Stock, par value $0.001 per share
|
2015-02-23 | Sell | 11,996 | $29.83 | 357,841 |
|
US Concrete Inc USCR
Common Stock, par value $0.001 per share
|
2015-02-23 | Sell | 50,000 | $29.84 | 1,492,000 |
|
US Concrete Inc USCR
Common Stock, par value $0.001 per share
|
2015-02-20 | Sell | 86,000 | $29.50 | 2,537,000 |
|
US Concrete Inc USCR
Common Stock, par value $0.001 per share
|
2015-02-20 | Sell | 43,881 | $29.78 | 1,306,776 |
|
US Concrete Inc USCR
Common Stock, par value $0.001 per share
|
2015-02-13 | Sell | 82,500 | $28.25 | 2,330,625 |
|
US Concrete Inc USCR
Common Stock, par value $0.001 per share
|
2015-02-11 | Sell | 200,000 | $27.50 | 5,500,000 |
|
US Concrete Inc USCR
Common Stock, par value $0.001 per share
|
2015-01-09 | Sell | 4,600 | $29.16 | 134,136 |
|
US Concrete Inc USCR
Common Stock, par value $0.001 per share
|
2014-11-07 | Sell | 100,000 | $27.40 | 2,740,000 |
|
US Concrete Inc USCR
Common Stock, par value $0.001 per share
|
2014-09-12 | Sell | 162,400 | $26.00 | 4,222,400 |
|
US Concrete Inc USCR
Common Stock, par value $0.001 per share
|
2014-09-11 | Sell | 100,000 | $26.00 | 2,600,000 |
|
US Concrete Inc USCR
Common Stock, par value $0.001 per share
|
2014-06-19 | Sell | 350,000 | $24.25 | 8,487,500 |
|
US Concrete Inc USCR
Common Stock, par value $0.001 per share
|
2014-05-20 | Sell | 200,000 | $24.12 | 4,824,000 |
|
US Concrete Inc USCR
Common Stock, par value $0.001 per share
|
2013-10-16 | Buy | 49,800 | $20.20 | 1,005,960 |
|
US Concrete Inc USCR
Common Stock, par value $0.001 per share
|
2013-10-15 | Buy | 12,000 | $20.00 | 240,000 |
|
US Concrete Inc USCR
Common Stock, par value $0.001 per share
|
2013-10-15 | Buy | 42,165 | $19.90 | 839,083 |
|
US Concrete Inc USCR
Common Stock, par value $0.001 per share
|
2013-10-10 | Buy | 19,552 | $19.24 | 376,180 |
| showing 20 of 40 most recent transactions | |||||
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