Form D · Hedge Fund

ASCEND CN FUND LP

Orinda, CA · CIK 0001595957

Offering snapshot reported Jan 12, 2018 · SEC filing

Reported sold: $91.8M
Investors reported: 2
Minimum accepted: $0
First sale: Jan 1, 2014

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
Jan 12, 2018	Amendment	$91,832,045	$0vs Jan 12, 2017	2	SEC filing
Jan 12, 2017	Amendment	$91,832,045	$0vs Jan 12, 2016	2	SEC filing
Jan 12, 2016	Amendment	$91,832,045	$0vs Jan 12, 2015	2	SEC filing
Jan 12, 2015	Amendment	$91,832,045	$1,281,401vs Jan 10, 2014	2	SEC filing
Jan 10, 2014	Initial	$90,550,644	No comparison	1	SEC filing

Offering details

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

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-209795

Source: Form D, filed Jan 12, 2018. 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

ASCEND CN FUND LP

Investment adviser: ASCEND CAPITAL LIMITED PARTNERSHIP

Gross asset value: $204M
Beneficial owners: 2
ADV minimum commitment: $10M

Reported in Form ADV on Mar 28, 2018. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator STONE COAST SERVICES LLC PORTLAND, Maine, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG, LLP SAN FRANCISCO, California, United States

Custodian BARCLAYS CAPITAL INC. NEW YORK, New York, United States Related to adviser: No

Custodian DEUTSCHE BANK SECURITIES INC. SAN FRANCISCO, California, United States Related to adviser: No

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

Custodian MORGAN STANLEY & CO. LLC SAN FRANCISCO, California, United States Related to adviser: No

Custodian STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Related to adviser: No

Marketer SUMMERWOOD CAPITAL CORP. TORONTO, Canada Related to adviser: No

Prime broker BARCLAYS CAPITAL INC. NEW YORK, New York, United States

Prime broker DEUTSCHE BANK SECURITIES INC. SAN FRANCISCO, California, United States

Prime broker MERRILL LYNCH PROFESSIONAL CLEARING CORP. NEW YORK, New York, United States

Prime broker MORGAN STANLEY & CO. LLC SAN FRANCISCO, California, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

KPMG, LLP
PCAOB 185

BARCLAYS CAPITAL INC.
SEC 8-41342

DEUTSCHE BANK SECURITIES INC.
SEC 8-17822

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
SEC 8-33359

MORGAN STANLEY & CO. LLC
SEC 8-15869

BARCLAYS CAPITAL INC.
CRD 19714 · SEC 8-41342

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 8-17822

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
CRD 16139 · SEC 8-33359

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Filing source

Form ADV 1201184 · Mar 28, 2018 · Schedule D 7.B.(1), fund 805-3716076767

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
Malcolm Fairbairn	Executive
Benjamin D. Slavet	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

4 Orinda Way, Suite 200 C
Orinda, CA, 94563