Form D · Other Investment Fund

A&Q ACTIVIST FUND LLC

Stamford, CT · CIK 0001387101

Offering snapshot reported May 2, 2014 · SEC filing

Reported sold: $360M
Investors reported: 472
Minimum accepted: $250K
First sale: Jan 1, 2007

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.

No comparable changes in the displayed metrics.

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
May 2, 2014	Amendment	$360,284,361	No comparison	472	SEC filing
May 3, 2013	Amendment	$360,284,361	No comparison	472	SEC filing
Nov 30, 2012	Amendment	$369,713,861	No comparison	475	SEC filing
Dec 1, 2011	Amendment	$369,713,861	No comparison	475	SEC filing
Dec 2, 2010	Amendment	$358,653,361	$1,075,000vs Dec 2, 2009	472	SEC filing
Dec 2, 2009	Amendment	$357,578,361	$300,000vs Mar 11, 2009	467	SEC filing
Mar 11, 2009	Amendment	$357,278,361	No comparison	Not reported	SEC filing
Jan 16, 2007	Paper	Not reported	No comparison	Not reported	SEC filing

Offering details

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

Sales commissions: $3.24M (estimated)
Finders' fees: $0
Form D file number: 021-99021

Includes sales commission paid to all placement agents listed on this Form D.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
UBS Financial Services Inc.	8174

Source: Form D, filed May 2, 2014. 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&Q ACTIVIST LLC

Investment adviser: UBS HEDGE FUND SOLUTIONS LLC

Gross asset value: $6.8M
Beneficial owners: 106
ADV minimum commitment: $250K

Reported in Form ADV on Feb 21, 2017. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator BNY MELLON INVESTMENT SERVICING (US) INC. WILMINGTON, Delaware, United States Investor statements: No (provided to no investors) Related to adviser: No

Auditor ERNST & YOUNG NEW YORK, New York, United States

Custodian THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Related to adviser: No

Marketer UBS FINANCIAL SERVICES INC. WEEHAWKEN, New Jersey, United States Related to adviser: Yes

Provider details

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

UBS FINANCIAL SERVICES INC.
CRD 8174 · SEC 801-7163

Filing source

Form ADV 1068169 · Feb 21, 2017 · Schedule D 7.B.(1), fund 805-2530182625

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
Robert Francis Aufenanger	Director, Executive
Eric Brotman	Director, Executive
William J. Ferri	Director
Craig K. Goos	Executive
James M. Hnilo	Executive
Cassandra Powell	Director
Stephen Roussin	Director
N/A Ubs Alternative And Quantitative Investments Llc	Executive
N/A Ubs Fund Advisor, L.L.C.	Promoter
Nicholas J. Vagra	Executive
William E.J. Walmsley	Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

Ubs A&Q Investments Llc 677 Washington Boulevard, 4th Floor
Stamford, CT, 06901