Form D · Hedge Fund

ASCEND PLAZA FUND, LTD.

Grand Cayman, E9 · CIK 0001646346

Offering snapshot reported Jun 22, 2018 · SEC filing

Reported sold
$125M
Indefinite offering
Investors reported
1
Form D · investor count
Minimum accepted
$100K
Reported outside-investor minimum
First sale
Jun 9, 2015
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$62.5M$125MJun 25, 2015: $125,000,000.00Jun 25, 2015Jun 24, 2016: $125,000,000.00Jun 24, 2016Jun 23, 2017: $125,000,000.00Jun 23, 2017Jun 22, 2018: $125,000,000.00Jun 22, 2018

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

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jun 22, 2018Amendment$125,000,000$0vs Jun 23, 20171SEC filing
Jun 23, 2017Amendment$125,000,000$0vs Jun 24, 20161SEC filing
Jun 24, 2016Amendment$125,000,000$0vs Jun 25, 20151SEC filing
Jun 25, 2015Initial$125,000,000No comparison1SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-242513

Source: Form D, filed Jun 22, 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 PLAZA FUND, LTD.

Investment adviser: ASCEND CAPITAL LLC

Gross asset value
$164M
Beneficial owners
1
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 FUND SERVICES LTD GRAND CAYMAN, Cayman Islands 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 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
Prime broker BARCLAYS CAPITAL INC. NEW YORK, New York, 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
No

KPMG, LLP
PCAOB 1323

BARCLAYS CAPITAL INC.
SEC 8-41342

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
SEC 8-33359

MORGAN STANLEY & CO. LLC
SEC 8-15869

BARCLAYS CAPITAL INC.
CRD 19714 · SEC 8-41342

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

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

Filing source

Form ADV 1201162 · Mar 28, 2018 · Schedule D 7.B.(1), fund 805-5040277285

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
NameReported role
David Bree Director
Malcolm P. Fairbairn Director
Allison Nolan Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
20 Genesis Close
Grand Cayman, E9, KY1-1108