# EDGAR Filing Document

**Accession Number:** 0001616203
**File Stem:** 0001398344-23-006493
**Filing Date:** 2023-3
**Character Count:** 8225
**Document Hash:** 451afe85aee00de2f681efbac39b8563
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001398344-23-006493.hdr.sgml**: 20230322

**ACCESSION NUMBER**: 0001398344-23-006493

**CONFORMED SUBMISSION TYPE**: SC TO-I/A

**PUBLIC DOCUMENT COUNT**: 2

**FILED AS OF DATE**: 20230322

**DATE AS OF CHANGE**: 20230322

**SUBJECT COMPANY**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Pomona Investment Fund
- **CENTRAL INDEX KEY:** 0001616203
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** DE

**FILING VALUES:**
- **FORM TYPE:** SC TO-I/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 005-89919
- **FILM NUMBER:** 23752624

**BUSINESS ADDRESS:**
- **STREET 1:** 780 THIRD AVENUE, 46TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10017
- **BUSINESS PHONE:** (212) 593-3639

**MAIL ADDRESS:**
- **STREET 1:** 780 THIRD AVENUE, 46TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10017

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Pomona Private Equity Fund
- **DATE OF NAME CHANGE:** 20140807
**FILED BY**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Pomona Investment Fund
- **CENTRAL INDEX KEY:** 0001616203
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** DE

**FILING VALUES:**
- **FORM TYPE:** SC TO-I/A

**BUSINESS ADDRESS:**
- **STREET 1:** 780 THIRD AVENUE, 46TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10017
- **BUSINESS PHONE:** (212) 593-3639

**MAIL ADDRESS:**
- **STREET 1:** 780 THIRD AVENUE, 46TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10017

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Pomona Private Equity Fund
- **DATE OF NAME CHANGE:** 20140807

**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, Class I Shares and Class M2 Shares**

**(Title of Class of Securities)** 

**Class A Shares – 732125109**

**Class I Shares - 732125208**

**Class M2 Shares - 732125406**

**(CUSIP Number of class of securities)** 

**Michael D. Granoff**

**Pomona Management LLC**

**780 Third Avenue, 46<sup>th</sup> 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:***

**William J. Bielefeld, Esq.**

**Dechert LLP**

**1900 K Street, N.W.**

**Washington, DC 20006**

**September 22, 2022**

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

[ ] 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 September 22, 2022 by Pomona Investment Fund (the "Fund") in connection with an offer (the "Offer") by the Fund to purchase up to $29,261,698 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 and . Copies of Supplement No. 1 to the Offer to Purchase and Letter of Transmittal were previously filed as Exhibits (a)(1)(vii) and (a)(1)(viii) to the Statement on October 21, 2022. The original purchase amount of $29,261,698 was adjusted to $41,558,739 based on the net asset value at December 31, 2022.

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):

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;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 November 7, 2022.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;2. Valuation Date of the Shares tendered pursuant to the Offer was December 31, 2022.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;3. The net asset value of the Shares tendered pursuant to the Offer were calculated as of December 31, 2022 in the amount of $13.91 for Class A Shares, $14.57 for Class I Shares and $14.57 for Class M2 Shares.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;4. The payment of the purchase price of the Shares or portions of Shares tendered was made in the form of promissory notes issued to each of the Shareholders whose tenders were accepted for purchase by the Fund in accordance with the terms of the Offer. The promissory notes were held by DST Asset Manager Solutions, Inc., the Fund's transfer agent, on behalf of such Shareholders, in accordance with the terms of the Offer. Fifty (50) Class I Shareholders and Six (6) Class A Shareholders whose tenders were accepted for purchase by the Fund, did not tender their entire Shares. Twenty-nine (29) Class A Shareholders and Seven (7) Class I Shareholders whose tenders were accepted for purchase by the Fund, tendered all of their Shares held in the Fund; therefore, pursuant to the promissory note issued to the Shareholders, the Fund paid to each Shareholder 100% of the Shareholder's unaudited net asset value of the Shares tendered. The payments were wired to the account designated by each Shareholder in their Letter of Transmittal on March 6, 2023.

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

---

March 22, 2023

## Ex-Filing

**Calculation of Filing Fee Tables**

**Schedule TO-I/A**

**Pomona Investment Fund**

(Exact Name of Registrant as Specified in its Charter)

<u>Table 1: Transaction Valuation</u>

---

| | | |
|:---|:---|:---|
|  | &nbsp;&nbsp;<u>Fee Rate</u> | &nbsp;&nbsp;<u>Amount of Filing Fee</u> |
| &nbsp;&nbsp;Fee to Be Paid&nbsp;&nbsp;$41558739.10 <sup>(1)</sup> | &nbsp;&nbsp;0.01102% | &nbsp;&nbsp;$4579.77 <sup>(2)</sup> |
| &nbsp;&nbsp;Fees Previously Paid&nbsp;&nbsp;$29261698.48 <sup>(3)</sup> | &nbsp;&nbsp;0.00927% | &nbsp;&nbsp;$2712.56 <sup>(4)</sup> |
| &nbsp;&nbsp;**Total Transaction Valuation**&nbsp;&nbsp;$41558739.10 <sup>(1)</sup> | &nbsp;&nbsp; -- | &nbsp;&nbsp;-- |
| &nbsp;&nbsp;**Total Fees Due for Filing** |  | &nbsp;&nbsp;$4579.77 <sup>(2)</sup> |
| &nbsp;&nbsp;**Total Fees Previously Paid** |  | &nbsp;&nbsp;$2712.56 <sup>(4)</sup> |
| &nbsp;&nbsp;**Total Fee Offsets** |  | &nbsp;&nbsp;-- |
| &nbsp;&nbsp;**Net Fee Due** |  | &nbsp;&nbsp;$1867.21 |

---

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(1) Calculated as the aggregate maximum purchase price
 for Shares that could be purchased, based upon the net asset value of the Fund as of December 31, 2022.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(2) Calculated at $92.70 per $1,000,000 of the Transaction
 Valuation of 5% of the net asset value at June 30, 2022 and $110.20 per $1,000,000 on the additional transaction value adjusted for
 the December 31, 2022 net asset value.

(3) Calculated as the aggregate maximum purchase price for
 Shares that could be purchased, based upon the net asset value of the Fund as of June 30, 2022

(4) Calculated at $92.70 per $1,000,000 of the Transaction
 Valuation of 5% of the net asset value at June 30, 2022.