Form D · Other Investment Fund

CAPRICORN AIP - ASIAN STRATEGIES I LP

Palo Alto, CA · CIK 0001427082

Offering snapshot reported Aug 4, 2010 · SEC filing

Reported sold: $8.17M
Investors reported: 7
Minimum accepted: $25K
First sale: Jan 29, 2008

Fundraising history

Reported sold

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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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Aug 4, 2010	Amendment	$8,172,532	$0vs Jul 26, 2010	7	SEC filing
Jul 26, 2010	Amendment	$8,172,532	$3,237,189vs Jul 28, 2009	7	SEC filing
Jul 28, 2009	Amendment	$4,935,343	No comparison	7	SEC filing
Mar 14, 2008	Paper	Not reported	No comparison	Not reported	SEC filing
Feb 12, 2008	Paper	Not reported	No comparison	Not reported	SEC filing

Offering details

Securities: Equity, Pooled investment fund
Exemptions: 06, 3C, 3C.7
Duration over one year: Yes
Business combination: No

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-114649

Source: Form D, filed Aug 4, 2010. 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

CAPRICORN AIP - ASIAN STRATEGIES, L.P.

Investment adviser: CAPRICORN INVESTMENT GROUP LLC

Gross asset value: $4.15M
Beneficial owners: 2
ADV minimum commitment: $1M

Reported in Form ADV on Sep 30, 2015. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Auditor KPMG LLP SAN FRANCISCO, California, United States

Custodian BNY MELLON EVERETT, Massachusetts, United States Related to adviser: No

Custodian GOLDMAN, SACHS & CO. SAN FRANCISCO, California, United States Related to adviser: No

Prime broker GOLDMAN, SACHS & CO. NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: No
External marketing: No

GOLDMAN, SACHS & CO.
SEC 8-129

GOLDMAN, SACHS & CO.
CRD 361 · SEC 8-129

Filing source

Form ADV 949465 · Sep 30, 2015 · Schedule D 7.B.(1), fund 805-6293758621

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
Name	Reported role
Capricorn Investment Group, Llc	Executive
James G.B. De Martini	Director
Stephen George	Director, Executive
John Jonson	Executive
Neil Kuyper	Executive
Barry Uphoff	Executive
Ion Yadigaroglu	Director, Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

Capricorn Investment Group, Llc 250 University Avenue, Suite 300
Palo Alto, CA, 94301