Form D Raw Data - Electronic Filing Depository

EFDID: 93985EFD: Raw Data

Issuer: Polunin Emerging Markets Small Cap Fund, LLC (0001605885) - D/A

Accession: 0001192482-20-000306 () (EDGAR Files) (Form D)

Edgar Posted: Apr. 30, 2020
EFD Posted: Apr. 30, 2020

- < edgarSubmission >

< schemaVersion > X0708 </ schemaVersion >

< submissionType > D/A </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001605885 </ cik >

< entityName > Polunin Emerging Markets Small Cap Fund, LLC </ entityName >

- < issuerAddress >

< street1 > VICTORIA PLACE </ street1 >

< street2 > 31 VICTORIA STREET </ street2 >

< city > HAMILTON </ city >

< stateOrCountry > D0 </ stateOrCountry >

< stateOrCountryDescription > BERMUDA </ stateOrCountryDescription >

< zipCode > HM 10 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > 44 (0) 20 7824 8800 </ issuerPhoneNumber >

< jurisdictionOfInc > DELAWARE </ jurisdictionOfInc >

- < issuerPreviousNameList >

< value > None </ value >

</ issuerPreviousNameList >

- < edgarPreviousNameList >

< value > None </ value >

</ edgarPreviousNameList >

< entityType > Limited Liability Company </ entityType >

- < yearOfInc >

< overFiveYears > true </ overFiveYears >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Aditya </ firstName >

< lastName > Mehta </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > c/o Polunin Capital Patners Pte Ltd. </ street1 >

< street2 > 137 Amoy Street, 03-06 Far East Square </ street2 >

< city > Singapore </ city >

< stateOrCountry > U0 </ stateOrCountry >

< stateOrCountryDescription > SINGAPORE </ stateOrCountryDescription >

< zipCode > 049965 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > President and Manager of the Managing Member of the Issuer </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Nicholas </ firstName >

< lastName > Hoskins </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > c/o Wakefield Quin Limited </ street1 >

< street2 > Victoria Place, 31 Victoria Street </ street2 >

< city > Hamilton </ city >

< stateOrCountry > D0 </ stateOrCountry >

< stateOrCountryDescription > BERMUDA </ stateOrCountryDescription >

< zipCode > HM 10 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Secretary, Treasurer and Manager of the Managing Member of the Issuer </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Evandro </ firstName >

< lastName > Pereira </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > Rua Das Jabuticabeira, 498 </ street1 >

< city > San Paulo (SP) </ city >

< stateOrCountry > D5 </ stateOrCountry >

< stateOrCountryDescription > BRAZIL </ stateOrCountryDescription >

< zipCode > 05674-011 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Manager of the Managing Member of the Issuer </ relationshipClarification >

</ relatedPersonInfo >

</ relatedPersonsList >

- < offeringData >

- < industryGroup >

< industryGroupType > Pooled Investment Fund </ industryGroupType >

- < investmentFundInfo >

< investmentFundType > Other Investment Fund </ investmentFundType >

< is40Act > false </ is40Act >

</ investmentFundInfo >

</ industryGroup >

- < issuerSize >

< aggregateNetAssetValueRange > Decline to Disclose </ aggregateNetAssetValueRange >

</ issuerSize >

- < federalExemptionsExclusions >

< item > 06b </ item >

< item > 3C </ item >

< item > 3C.7 </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > true </ isAmendment >

< previousAccessionNumber > 0001192482-19-000200 </ previousAccessionNumber >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2014-07-08 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > true </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isEquityType > true </ isEquityType >

< isPooledInvestmentFundType > true </ isPooledInvestmentFundType >

< isOtherType > true </ isOtherType >

< descriptionOfOtherType > Limited Liability Company Interests </ descriptionOfOtherType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 0 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > Robin Pierce Armour </ recipientName >

< recipientCRDNumber > 2581987 </ recipientCRDNumber >

< associatedBDName > AMD Capital, LLC </ associatedBDName >

< associatedBDCRDNumber > 121539 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 100 Tri-State International </ street1 >

< street2 > Suite 138 </ street2 >

< city > Lincolnshire </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60069 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > David Foree Nyren </ recipientName >

< recipientCRDNumber > 2636909 </ recipientCRDNumber >

< associatedBDName > AMD Capital, LLC </ associatedBDName >

< associatedBDCRDNumber > 121539 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 100 Tri-State International </ street1 >

< street2 > Suite 138 </ street2 >

< city > Lincolnshire </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60069 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Daniel Adrian Weiss </ recipientName >

< recipientCRDNumber > 1707436 </ recipientCRDNumber >

< associatedBDName > AMD Capital, LLC </ associatedBDName >

< associatedBDCRDNumber > 121539 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 100 Tri-State International </ street1 >

< street2 > Suite 138 </ street2 >

< city > Lincolnshire </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60069 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > Indefinite </ totalOfferingAmount >

< totalAmountSold > 446171597 </ totalAmountSold >

< totalRemaining > Indefinite </ totalRemaining >

< clarificationOfResponse />

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 19 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 4153302 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

< clarificationOfResponse > Polunin Capital Partners Limited, the Managing Member of the Issuer, is responsible for the payment of any sales commissions. The Issuer does not pay any sales commissions. Sales commissions reported as of December 31, 2019. </ clarificationOfResponse >

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 0 </ dollarAmount >

</ grossProceedsUsed >

< clarificationOfResponse />

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > Polunin Emerging Markets Small Cap Fund, LLC </ issuerName >

< signatureName > /s/ Nicholas Hoskins </ signatureName >

< nameOfSigner > Nicholas Hoskins </ nameOfSigner >

< signatureTitle > Manager of the Managing Member </ signatureTitle >

< signatureDate > 2020-04-30 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >