# THB SMALLCAP FUND, LLC — Form D

THB SMALLCAP FUND, LLC of NORWALK, CT, a pooled investment fund, filed a Form D exempt-offering notice with the SEC on 2010-09-10. $59.7M was reported sold. Industry: Pooled Investment Fund.

## Offering

- Filed: 2010-09-10
- Form: D
- Accession: 0001500700-10-000002
- Industry: Pooled Investment Fund
- Exemptions: 06, 3C, 3C.7
- Amount sold: $59.7M
- Investors: 11
- Date of first sale: 2010-08-26
- Security types: fund interests
- SEC file number: 021-147565

## Issuer

- Name: THB SMALLCAP FUND, LLC
- CIK: 0001500700
- Entity type: Limited Liability Company
- Jurisdiction: DELAWARE
- Incorporated: 2010
- Address: C/O THOMSON HORSTMANN & BRYANT, INC. 501 MERRITT 7, NORWALK, CT, 06851
- Phone: 203-653-7060

## Officers, directors & promoters (18)

| Name | Role | Location |
| --- | --- | --- |
| David Brown | Executive Officer | Buffalo, NY |
| n/a Victory Capital Management Inc. | Promoter | San Antonio, TX |
| Nina Gupta | Executive Officer | San Antonio, TX |
| Michael Policarpo | Executive Officer | Brooklyn, OH |
| William Bryant | Related Person | NORWALK, CT |
| Kelly Cliff | Executive Officer | San Antonio, TX |
| Chad Michael Nelson | Executive Officer | Ridgefield, CT |
| JAMES MICHAEL KENNEDY | Executive Officer | NORWALK, CT |
| JAMES MICHAEL KENNEDY | Related Person | NORWALK, CT |
| CHRISTOPHER NICHOLAS CUESTA | Executive Officer | NORWALK, CT |
| CHRISTOPHER NICHOLAS CUESTA | Related Person | NORWALK, CT |
| WILLIAM EDWARD BRYANT | Executive Officer | NORWALK, CT |
| KEITH EDWARD DICKINSON | Executive Officer | NORWALK, CT |
| KEITH EDWARD DICKINSON | Related Person | NORWALK, CT |
| WILLIAM WHITSEL BRYANT | Executive Officer | NORWALK, CT |
| WILLIAM WHITSEL BRYANT | Related Person | NORWALK, CT |
| WILLIAM GORDON BRYANT | Executive Officer | NORWALK, CT |
| JOHN GORDON BENNETT | Executive Officer | NORWALK, CT |

## Other filings by this issuer (14)

| Filed | Form | Offering | Sold |
| --- | --- | --- | --- |
| [2024-10-02](https://search.stillhousedata.com/formd/0001500700-24-000001) | D | — | $72.6M |
| [2023-10-11](https://search.stillhousedata.com/formd/0001879812-23-000003) | D/A | — | $58.0M |
| [2022-10-11](https://search.stillhousedata.com/formd/0001879812-22-000002) | D/A | — | $49.0M |
| [2021-10-12](https://search.stillhousedata.com/formd/0001500700-21-000005) | D/A | — | $62.3M |
| [2020-04-22](https://search.stillhousedata.com/formd/0001500700-20-000001) | D/A | — | $162.9M |
| [2019-04-23](https://search.stillhousedata.com/formd/0001500700-19-000001) | D/A | — | $162.9M |
| [2018-04-23](https://search.stillhousedata.com/formd/0001500700-18-000002) | D/A | — | $162.9M |
| [2017-05-09](https://search.stillhousedata.com/formd/0001500700-17-000001) | D/A | — | $399.9M |
| [2016-05-09](https://search.stillhousedata.com/formd/0001500700-16-000003) | D/A | — | $357.6M |
| [2015-03-11](https://search.stillhousedata.com/formd/0001500700-15-000001) | D/A | — | $81.2M |
| [2013-12-18](https://search.stillhousedata.com/formd/0001593947-13-000003) | D/A | — | $81.2M |
| [2012-12-18](https://search.stillhousedata.com/formd/0001551333-12-000045) | D/A | — | $81.1M |
| [2011-10-27](https://search.stillhousedata.com/formd/0001532934-11-000009) | D/A | — | $78.4M |
| [2010-10-26](https://search.stillhousedata.com/formd/0001500701-10-000006) | D/A | — | $59.7M |

## More

- [CIK 1500700 on SEC EDGAR (source of record)](https://www.sec.gov/cgi-bin/browse-edgar?action=getcompany&CIK=1500700&type=&dateb=&owner=include&count=40)
- [This page as markdown (for LLM agents)](https://search.stillhousedata.com/formd/0001500700-10-000002.md)
- [Search all SEC filings, advisers and people on Adviser Search](https://search.stillhousedata.com/)

---

Source: public SEC filing data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.