Form D · Hedge Fund

A.P. Opportunities Fund, Ltd.

Grand Cayman, E9 · CIK 0001508651

Offering snapshot reported Jan 22, 2015 · SEC filing

Reported sold: $32.8M
Investors reported: 11
Minimum accepted: $100K
First sale: Jan 1, 2011

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 investors8 → 11

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Jan 22, 2015	Amendment	$32,800,369	$0vs Jan 24, 2014	11	SEC filing
Jan 24, 2014	Amendment	$32,800,369	$0vs Feb 6, 2013	8	SEC filing
Feb 6, 2013	Amendment	$32,800,369	$0vs Dec 21, 2012	4	SEC filing
Dec 21, 2012	Amendment	$32,800,369	$2,000,000vs Jan 9, 2012	4	SEC filing
Jan 9, 2012	Amendment	$30,800,369	No comparison	11	SEC filing
Jan 12, 2011	Initial	Yet to sell	No comparison	3	SEC filing

Offering details

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

Sales commissions: $115K (estimated)
Finders' fees: $0
Form D file number: 021-153527

Responses in Items #13 and #14 are estimates.

Estimated fees are based upon the receipt of a percentage of the portion of the AUM contributed as a result of placement agent services, starting from the inception of the Fund and projected through the next 12 months.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Morgan Keegan and Company, Inc. ("MK&C")	4161	Morgan Keegan and Company, Inc. ("MK&C") · CRD 4161
RAYMOND JAMES & ASSOCIATES, INC. ("RJ&A")	705	RAYMOND JAMES & ASSOCIATES, INC. ("RJ&A") · CRD 705

Source: Form D, filed Jan 22, 2015. 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

A.P. OPPORTUNITIES FUND, LTD.

Investment adviser: A.P. MANAGEMENT COMPANY, LLC

Gross asset value: $15.5M
Beneficial owners: 0
ADV minimum commitment: $1M

Reported in Form ADV on Mar 30, 2016. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator SS&C TECHNOLOGIES, INC. WINDSOR, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Fund administrator SS&C TECHNOLOGIES, INC. NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LTD. GRAND CAYMAN, Cayman Islands

Custodian BANK OF NEW YORK MELLON, THROUGH ITS AGENT AND SUBSIDIARY CHARLES FREDERIC & CO. NEW YORK, New York, United States Related to adviser: No

Custodian THE NORTHERN TRUST INTERNATIONAL BANKING CORPORTATION, NJ JERSEY CITY, New Jersey, United States Related to adviser: No

Provider details

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

Filing source

Form ADV 1005216 · Mar 30, 2016 · Schedule D 7.B.(1), fund 805-6027865201

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
David Bree	Director
Joseph Pignatelli, Jr	Director
Joseph Pignatelli, Jr.	Director
Alfred Shuman	Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

C/O Dms Corporate Services Ltd. 20 Genesis Close Dms House
Grand Cayman, E9, KY1-1108