Form D · Hedge Fund

BALESTRA SPECTRUM PARTNERS LLC

New York, NY · CIK 0001056036

Offering snapshot reported Nov 14, 2016 · SEC filing

Reported sold
$5.69M
Indefinite offering
Investors reported
4
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Dec 31, 2014
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$2.84M$5.69MNov 18, 2015: $5,687,700.00Nov 18, 2015Nov 14, 2016: $5,687,700.00Nov 14, 2016

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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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Nov 14, 2016Amendment$5,687,700$0vs Nov 18, 20154SEC filing
Nov 18, 2015Initial$5,687,700No comparison4SEC filing
Nov 19, 2012Amendment$72,745,144$3,950,000vs Nov 19, 201092SEC filing
Nov 18, 2011Amendment$72,745,144$3,950,000vs Nov 19, 201092SEC filing
Nov 19, 2010Amendment$68,795,144$22,866,205vs Nov 20, 200987SEC filing
Nov 20, 2009Amendment$45,928,939No comparison70SEC filing
Mar 18, 2009PaperNot reportedNo comparisonNot reportedSEC filing
Mar 16, 2009PaperNot reportedNo comparisonNot reportedSEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.1
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$5.89K (estimated)
Form D file number
021-251495
As directed in the instructions, Items 12 and 15 include a historical aggregate listing, and may include names of and amounts for persons with which the Issuer no longer has any relationship.

Sales compensation recipients

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

Source: Form D, filed Nov 14, 2016. 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 L.L.C.

Investment adviser: BALESTRA CAPITAL, LTD.

Gross asset value
$31M
Beneficial owners
24
ADV minimum commitment
$500K

Reported in Form ADV on Mar 27, 2017. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator DB FUND SERVICES LLC NEW YORK, New York, 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 1085011 · Mar 27, 2017 · Schedule D 7.B.(1), fund 805-2642777377

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