Form D · Hedge Fund

Ashmore SICAV in respect of Ashmore SICAV Emerging Markets Global Equity Fund

Senningenberg, N4 · CIK 0001582460

Offering snapshot reported Dec 11, 2015 · SEC filing

Reported sold
$71.4K
Indefinite offering
Investors reported
2
Form D · investor count
Minimum accepted
$5K
Reported outside-investor minimum
First sale
Mar 10, 2011
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$5.58M$11.2MSep 9, 2013: $82,085.00Sep 9, 2013Dec 8, 2014: $11,163,635.00Dec 8, 2014Dec 11, 2015: $71,359.00Dec 11, 2015

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$11,163,635 → $71,359

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Dec 11, 2015Amendment$71,359-$11,092,276vs Dec 8, 20142SEC filing
Dec 8, 2014Amendment$11,163,635$11,081,550vs Sep 9, 20132SEC filing
Sep 9, 2013Initial$82,085No comparison1SEC filing

Offering details

Securities
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
021-202534
OFFERS AND SALES OF THE FUND WILL BE MADE BY AND THROUGH ASHMORE INVESTMENT MANAGEMENT (US) CORPORATION. HOWEVER, ASHMORE INVESTMENT MANAGEMENT (US) CORPORATION WILL NOT RECEIVE ANY SALES COMMISSIONS FOR ITS SERVICES.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
ASHMORE INVESTMENT MANAGEMENT (US) CORPORATION152920

Source: Form D, filed Dec 11, 2015. 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

ASHMORE SICAV EMERGING MARKETS GLOBAL EQUITY FUND

Investment adviser: ASHMORE INVESTMENT MANAGEMENT LTD

Gross asset value
$3.57M
Beneficial owners
11
ADV minimum commitment
$1M

Reported in Form ADV on Feb 15, 2017. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator NORTHERN TRUST LUXEMBOURG MANAGEMENT COMPANY LUXEMBOURG, Luxembourg Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG AUDIT LUXEMBOURG, Luxembourg
Custodian NORTHERN TRUST GLOBAL SERVICES LIMITED, LONDON (ROYAUME-UNI) LUXEMBOURG BRANCH LUXEMBOURG, Luxembourg Related to adviser: No
Marketer ASHMORE INVESTMENT MANAGEMENT (US) CORPORATION NEW YORK, New York, 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

ASHMORE INVESTMENT MANAGEMENT (US) CORPORATION
CRD 152920 · SEC 8-68490

Filing source

Form ADV 1073155 · Feb 15, 2017 · Schedule D 7.B.(1), fund 805-6338374680

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
Steve David Director
John Gregory Director
Steve Hicks Director
Claude Kremer Director
Michael Moody Director
Dennis Robertson Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
6 Rue Lou Hemmer
Senningenberg, N4, L-1748