Form D · Hedge Fund

ALPHAGEN VOLANTIS FUND LTD

George Town, Grand Cayman, E9 · CIK 0001439827

Offering snapshot reported Oct 16, 2012 · SEC filing

Reported sold: $50M
Investors reported: 8
Minimum accepted: $100K
First sale: May 1, 2005

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$38,087,600 → $49,987,600

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Oct 16, 2012	Amendment	$49,987,600	$11,900,000vs Aug 9, 2011	8	SEC filing
Aug 9, 2011	Amendment	$38,087,600	$0vs Jul 28, 2010	8	SEC filing
Jul 28, 2010	Amendment	$38,087,600	$16,350,000vs Jul 31, 2009	8	SEC filing
Jul 31, 2009	Amendment	$21,737,600	No comparison	6	SEC filing
Jul 10, 2008	Paper	Not reported	No comparison	Not reported	SEC filing

Offering details

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

Sales commissions: $500K (estimated)
Finders' fees: $0
Form D file number: 021-120208

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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Recipient	CRD	Associated broker-dealer
JOHN A. EARLY III	2726671	GARTMORE DISTRIBUTION SERVICES, INC. · CRD 143032
CORINNE T. LAMBERT	2348439	GARTMORE DISTRIBUTION SERVICES, INC. · CRD 143032
MARTIN J. PHIPPS	5267004	GARTMORE DISTRIBUTION SERVICES, INC. · CRD 143032
JAMES P. MACMILLAN	1609239	GARTMORE DISTRIBUTION SERVICES, INC. · CRD 143032
NATIONWIDE FUND DISTRIBUTORS LLC	25910	NATIONWIDE FUND DISTRIBUTORS LLC · CRD 25910
HENDERSON GLOBAL INVESTORS EQUITY PLANNING, INC.	101640	HENDERSON 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

The linked fund shows its most recently reported ADV details.

Matched by reported Form D file number

THE ALPHAGEN VOLANTIS FUND LIMITED

Investment adviser: ALPHAGEN CAPITAL LIMITED

Gross asset value: $325M
Beneficial owners: 57
ADV minimum commitment: $100K

Reported in Form ADV on May 31, 2016. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator JPMORGAN HEDGE FUND SERVICES (IRELAND) LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS GEORGE TOWN, Cayman Islands

Custodian BARCLAYS BANK PLC LONDON, United Kingdom Related to adviser: No

Custodian UBS AG LONDON, United Kingdom Related to adviser: No

Prime broker BARCLAYS BANK PLC LONDON, United Kingdom

Prime broker UBS AG LONDON, United Kingdom

Provider details

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

Filing source

Form ADV 1021297 · May 31, 2016 · Schedule D 7.B.(1), fund 805-4782110292

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
Les Aitkenhead	Director
Robert Bovet	Director
Neil Honebon	Director
Arno Kitts	Director
Harry Romney	Director
Andrew Steward	Director
Hugh Ward	Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

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