Form D · Hedge Fund

303 Equity Trading Group, LLC

Chicago, IL · CIK 0001292512

Offering snapshot reported Jan 19, 2011 · SEC filing

Reported sold: $202M
Investors reported: 300
Minimum accepted: $250K
First sale: Apr 1, 2004

Fundraising history

Reported sold

Dates are filing dates, not cash receipt dates. Decreases are reported revisions, not evidence of withdrawals. Separate offering histories are not added together.

What changed?

Latest filing versus its linked predecessor, where available.

Reported sold$194,180,651 → $202,028,672
Reported investors224 → 300

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Jan 19, 2011	Amendment	$202,028,672	$7,848,021vs Jan 22, 2010	300	SEC filing
Jan 22, 2010	Amendment	$194,180,651	No comparison	224	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06, 3C, 3C.7
Duration over one year: Yes
Business combination: No

Sales commissions: $748K
Finders' fees: $0
Form D file number: 021-66012

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Daniel B. Stern	1769600	Brewer Financial Services, LLC · CRD 132558
Hamilton Miller Investments, LLC	41896
Hedgeco Securities , LLC	142498
Neal T. Berger	2079049	KJM Securities, Inc. · CRD 20277
Theodore C. Bogard	5153321	Lamon & Stern, Inc. · CRD 10839
Thomas McDonald Partners, LLC	135414
TJM Investments, LLC	46300

Source: Form D, filed Jan 19, 2011. Minimum accepted may differ from a standard advertised minimum.

Fund connections

The linked fund shows its most recently reported ADV details.

Matched by reported Form D file number

303 EQUITY TRADING GROUP, LLC

Investment adviser: THREE ZERO THREE CAPITAL PARTNERS, LLC

Gross asset value: $9.17M
Beneficial owners: 38
ADV minimum commitment: $250K

Reported in Form ADV on Jun 5, 2012. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Auditor KPMG CHICAGO, Illinois, United States

Custodian J.P. MORGAN CHASE NEW YORK, New York, United States Related to adviser: No

Custodian MERRILL LYNCH PROFESSIONAL CLEARING CORP. NEW YORK, New York, United States Related to adviser: No

Marketer KAL-EL INVESTMENTS, LLC DEERFIELD, Illinois, United States Related to adviser: No

Marketer TJM INSTITUTIONAL LLC CHICAGO, Illinois, United States Related to adviser: No

Marketer TJM INVESTMENTS, LLC CHICAGO, Illinois, United States Related to adviser: No

Marketer TRADINGBLOCK CHICAGO, Illinois, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
SEC 8-33359

TJM INVESTMENTS, LLC
CRD 46300 · SEC 8-51370

TRADINGBLOCK
CRD 128605 · SEC 8-66163

Filing source

Form ADV 651110 · Jun 5, 2012 · Schedule D 7.B.(1), fund 805-7633335958

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

People & organizations

Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.

People and organizations reported in Form D filings
Name	Reported role
Steven Amiel	Executive
Steven Beitler	Executive
John Burke	Executive
Jeffery Kaplan	Executive
N/A Mars Asset Management, Llc	Executive
Thomas Murphy	Executive
Michael Rane	Executive
N/A Three Zero Three Capital Partners, Llc	Director, Promoter
N/A Tsj Holdings, Llc	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

318 West Adams Street 10 Th Floor
Chicago, IL, 60606