Form D · Hedge Fund

AlphaGen RhoCas Fund Ltd

George Town, Grand Cayman, E9 · CIK 0001440576

Offering snapshot reported Oct 16, 2012 · SEC filing

Reported sold
$341M
Indefinite offering
Investors reported
25
Form D · investor count
Minimum accepted
$100K
Reported outside-investor minimum
First sale
Jan 1, 2006
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$171M$341MJul 16, 2008Jul 31, 2009: $142,557,411.00Jul 31, 2009Jul 28, 2010: $197,032,411.00Jul 28, 2010Aug 9, 2011: $199,732,411.00Aug 9, 2011Oct 16, 2012: $341,293,316.00Oct 16, 2012

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$199,732,411 → $341,293,316
  • Reported investors16 → 25

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Oct 16, 2012Amendment$341,293,316$141,560,905vs Aug 9, 201125SEC filing
Aug 9, 2011Amendment$199,732,411$2,700,000vs Jul 28, 201016SEC filing
Jul 28, 2010Amendment$197,032,411$54,475,000vs Jul 31, 200916SEC filing
Jul 31, 2009Amendment$142,557,411No comparison14SEC filing
Jul 16, 2008PaperNot reportedNo comparisonNot reportedSEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$6M (estimated)
Finders' fees
$0
Form D file number
021-120537
The Issuer's Investment Manager compensates the placement agents, which may include a portion of the Investment Manager's management fee while the investor remains invested. This estimate is based on the expected fees over the life of the offering.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
CORINNE T. LAMBERT2348439GARTMORE DISTRIBUTION SERVICES, INC. · CRD 143032
MARTIN J. PHIPPS5267004GARTMORE DISTRIBUTION SERVICES, INC. · CRD 143032
JOHN A. EARLY III2726671GARTMORE DISTRIBUTION SERVICES, INC. · CRD 143032
JAMES P. MACMILLAN1609239GARTMORE DISTRIBUTION SERVICES, INC. · CRD 143032
NATIONWIDE FUND DISTRIBUTORS LLC25910NATIONWIDE FUND DISTRIBUTORS LLC · CRD 25910
HENDERSON GLOBAL INVESTORS EQUITY PLANNING, INC.101640HENDERSON GLOBAL INVESTORS EQUITY PLANNING, INC. · CRD 101640

Source: Form D, filed Oct 16, 2012. Minimum accepted may differ from a standard advertised minimum.

Fund connections

No confirmed ADV fund connection is available for this issuer.

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
NameReported role
Les Aitkenhead Director
Robert Bovet Director
Arno Kitts Director
Ken Lubbock Director
Kenneth Lubbock Director
Heinz Riehl Director
Andrew Steward Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
Ugland House South Church Street
George Town, Grand Cayman, E9, KY1-1104