SC TO-I/A 1 fp0033994_sctoia.htm

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

 

 

SCHEDULE TO

(Rule 13e-4)

 

TENDER OFFER STATEMENT PURSUANT TO SECTION 14(D)(1) OR 13(E)(1)

OF THE SECURITIES EXCHANGE ACT OF 1934

 

FINAL AMENDMENT

 

 

 

Pomona Investment Fund

(Name of Issuer)

 

Pomona Investment Fund

(Name of Person(s) Filing Statement)

 

Shares of Beneficial Interest—Class A Shares and Class M2 Shares

(Title of Class of Securities)

 

Class A Shares – 732125109

 

Class M2 Shares - 732125406

(CUSIP Number of class of securities)

 

Michael D. Granoff

Pomona Management LLC

780 Third Avenue, 46th Floor

New York, NY 10017

(212) 593-3639

(Name, Address and Telephone No. of Person Authorized to Receive Notices and Communications on Behalf of the Person(s) Filing Statement)

 

With a copy to:

 

Jeffrey S. Puretz Esq.

William J. Bielefeld, Esq.

Dechert LLP

1900 K Street, N.W.

Washington, DC 20006

 

December 21, 2017

(Date Tender Offer First Published, Sent or Given to Security Holders)

 

 

 

 

 

CALCULATION OF FILING FEE

 

Transaction Valuation: $3,660,350 (a) Amount of Filing Fee: $455.71 (b)

 

(a)Calculated as the aggregate maximum purchase price for Shares.

 

(b)Calculated at $124.50 per $1,000,000 of the Transaction Valuation.

 

[X]Check the box if any part of the fee is offset as provided by Rule 0-11(a)(2) and identify the filing with which the offsetting fee was previously paid. Identify the previous filing by registration statement number, or the Form or Schedule and the date of its filing.

 

Amount Previously Paid: $455.71

 

Form or Registration No.: SC TO-I

 

Filing Party: Pomona Investment Fund

 

Date Filed: December 21, 2017

 

[  ]Check the box if the filing relates solely to preliminary communications made before the commencement of a tender offer.

 

Check the appropriate boxes below to designate any transactions to which the statement relates:

 

[  ]third-party tender offer subject to Rule 14d-1.

 

[X]issuer tender offer subject to Rule 13e-4.

 

[  ]going-private transaction subject to Rule 13e-3.

 

[  ]amendment to Schedule 13D under Rule 13d-2.

 

Check the following box if the filing is a final amendment reporting the results of the tender offer: [X]

 

This final amendment relates to the Issuer Tender Offer Statement on Schedule TO (the "Statement") originally filed with the Securities and Exchange Commission on December 21, 2017 by Pomona Investment Fund (the "Fund") in connection with an offer (the “Offer”) by the Fund to purchase up to $3,660,350 of shares of beneficial interest ("Shares") in the Fund on the terms and subject to the conditions set forth in the Offer to Purchase and the related Letter of Transmittal. Copies of the Offer to Purchase and Letter of Transmittal were previously filed as Exhibits (a)(1)(i) and (a)(1)(ii) to the Statement on December 21, 2017.

 

 

 

This is the final amendment to the Statement and is being filed to report the results of the Offer. The following information is furnished pursuant to Rule 13e-4(c)(4):

 

1.Holders of Shares in the Fund (“Shareholders”) that desired to tender Shares or a portion thereof, for purchase were required to submit their tenders by 11:59 p.m., Eastern Time, on January 15, 2018.

 

2.Valuation Date of the Shares tendered pursuant to the Offer was March 31, 2018.

 

3.No Class A or M2 Shares were tendered pursuant to the Offer.

 

 

 

SIGNATURE

 

After due inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

  POMONA INVESTMENT FUND  
         
  By: /s/ Michael D. Granoff  
         
    Name: Michael D. Granoff  
         
    Title: President & Principal Executive Officer  

 

June 14, 2018