Form D · Hedge Fund

BATTERY PARK HIGH YIELD OPPORTUNITY OFFSHORE FUND LTD

Camana Bay, NY · CIK 0001236321

Offering snapshot reported Mar 2, 2016 · SEC filing

Reported sold
$64M
Indefinite offering
Investors reported
4
Form D · investor count
Minimum accepted
$50K
Reported outside-investor minimum
First sale
Aug 1, 2002
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$443M$886MMar 16, 2009: $886,281,071.00Mar 16, 2009Feb 25, 2010: $758,514,192.00Feb 22, 2011: $815,090,141.00Feb 27, 2012: $62,000,000.00Feb 27, 2013: $62,000,000.00Feb 28, 2014: $62,000,000.00Mar 2, 2015: $64,000,000.00Mar 2, 2016: $64,000,000.00Mar 2, 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.

  • Minimum accepted$1,000,000 → $50,000

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Mar 2, 2016Amendment$64,000,000$0vs Mar 2, 20154SEC filing
Mar 2, 2015Amendment$64,000,000$2,000,000vs Feb 28, 20144SEC filing
Feb 28, 2014Amendment$62,000,000$0vs Feb 27, 20133SEC filing
Feb 27, 2013Amendment$62,000,000$0vs Feb 27, 20123SEC filing
Feb 27, 2012Amendment$62,000,000-$753,090,141vs Feb 22, 20113SEC filing
Feb 22, 2011Amendment$815,090,141$56,575,949vs Feb 25, 2010112SEC filing
Feb 25, 2010Amendment$758,514,192-$127,766,879vs Mar 16, 2009112SEC filing
Mar 16, 2009Amendment$886,281,071No comparisonNot reportedSEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$0 (estimated)
Finders' fees
$0 (estimated)
Form D file number
021-55599
The recipient listed in Item 12 is paid an amount equal to a percentage of the management fee paid to the Investment Manager (or its affiliate) attributable to certain assets under management and/or the incentive allocation.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Nomura Securities International, Inc.4297

Source: Form D, filed Mar 2, 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

BATTERYPARK HIGH YIELD OPPORTUNITY OFFSHORE FUND, LTD.

Investment adviser: NOMURA CORPORATE RESEARCH AND ASSET MANAGEMENT INC

Gross asset value
Not reported
Beneficial owners
Not reported
ADV minimum commitment
Not reported

Reported in Form ADV on Apr 18, 2017. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

No provider names available in this fund's imported disclosure.

Provider details
Annual audit
Not reported
Prime brokers
Not reported
Custodians
Not reported
Administrator other than the adviser
Not reported
External marketing
Not reported
Filing source

Form ADV 1108036 · Apr 18, 2017 · Schedule D 7.B.(1), fund 805-6149304833

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
Brad Cowdroy Director
David Crall Executive
Ian Goodall Director
Robert Levine Executive
Gregory Link Director
Nomura Corporate Research And Asset Management Inc. Executive
Steven Rosenthal Executive
Tim Woolaver Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
Elian Fiduciary Services (Cayman) Ltd. 89 Nexus Way
Camana Bay, NY, KY1-9007