Form D · Hedge Fund

Balestra Spectrum Partners II, LLC

New York, NY · CIK 0001474073

Offering snapshot reported Nov 18, 2014 · SEC filing

Reported sold
$78.7M
Indefinite offering
Investors reported
23
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Jan 1, 2010
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$46.6M$93.1MJan 13, 2010: $51,051,940.00Jan 13, 2010Jan 10, 2011: $93,123,861.00Jan 10, 2011Jan 9, 2012: $74,840,158.00Jan 9, 2012Jan 11, 2013: $76,840,158.00Jan 11, 2013Jan 10, 2014: $76,740,158.00Jan 10, 2014Nov 18, 2014: $78,740,158.00Nov 18, 2014

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$76,740,158 → $78,740,158
  • Reported investors22 → 23

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Nov 18, 2014Amendment$78,740,158$2,000,000vs Jan 10, 201423SEC filing
Jan 10, 2014Amendment$76,740,158$25,688,218vs Jan 13, 201022SEC filing
Jan 11, 2013Amendment$76,840,158$25,788,218vs Jan 13, 201021SEC filing
Jan 9, 2012Amendment$74,840,158$23,788,218vs Jan 13, 201019SEC filing
Jan 10, 2011Amendment$93,123,861$42,071,921vs Jan 13, 201017SEC filing
Jan 13, 2010Initial$51,051,940No comparison15SEC 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
$2K (estimated)
Form D file number
021-137763
Amount indicated is sales to U.S. persons only

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Aurora Capital LLC37924Neil K. O'Donnell · CRD 4818174

Source: Form D, filed Nov 18, 2014. 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

BALESTRA SPECTRUM PARTNERS II, LLC

Investment adviser: BALESTRA CAPITAL, LTD.

Gross asset value
$0
Beneficial owners
0
ADV minimum commitment
$2M

Reported in Form ADV on Dec 3, 2015. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator DB FUND SERVICES LLC BOSTON, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor DELOITTE & TOUCHE LLP BOSTON, Massachusetts, United States
Custodian NORTHERN TRUST CHICAGO, Illinois, United States Related to adviser: No
Custodian UBS SECURITIES LLC NEW YORK, New York, United States Related to adviser: No
Prime broker UBS SECURITIES LLC NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

UBS SECURITIES LLC
SEC 8-22651

UBS SECURITIES LLC
CRD 7654 · SEC 8-22651

Filing source

Form ADV 960671 · Dec 3, 2015 · Schedule D 7.B.(1), fund 805-7144655524

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
Norman J. Cerk Executive, Promoter
Matthew J. Luckett Executive, Promoter
James L. Melcher Executive, Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
58 West 40 Th Street 12 Th Floor
New York, NY, 10018