Form D · Hedge Fund

Capstone Income Opportunities II Ltd.

George Town, Grand Cayman, E9 · CIK 0001661391

Offering snapshot reported Dec 23, 2021 · SEC filing

Reported sold
$725M
Indefinite offering
Investors reported
1
Form D · investor count
Minimum accepted
$100K
Reported outside-investor minimum
First sale
Nov 3, 2015
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$362M$725MDec 29, 2015: $200,000,000.00Dec 29, 2015Dec 29, 2016: $300,000,000.00Dec 29, 2017: $724,983,124.00Dec 28, 2018: $724,983,124.00Dec 27, 2019: $724,983,124.00Dec 23, 2020: $724,983,124.00Dec 23, 2021: $724,983,124.00Dec 23, 2021

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
Dec 23, 2021Amendment$724,983,124$0vs Dec 23, 20201SEC filing
Dec 23, 2020Amendment$724,983,124$0vs Dec 27, 20191SEC filing
Dec 27, 2019Amendment$724,983,124$0vs Dec 28, 20181SEC filing
Dec 28, 2018Amendment$724,983,124$0vs Dec 29, 20171SEC filing
Dec 29, 2017Amendment$724,983,124$424,983,124vs Dec 29, 20161SEC filing
Dec 29, 2016Amendment$300,000,000$100,000,000vs Dec 29, 20151SEC filing
Dec 29, 2015Initial$200,000,000No 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
021-254044

Source: Form D, filed Dec 23, 2021. 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

CAPSTONE INCOME OPPORTUNITIES II LTD.

Investment adviser: CAPSTONE INVESTMENT ADVISORS, LLC

Gross asset value
$2.17B
Beneficial owners
1
ADV minimum commitment
$100K

Reported in Form ADV on May 20, 2022. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator NORTHERN TRUST GLOBAL FUND SERVICES CAYMAN LIMITED GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor PRICEWATERHOUSECOOPERS LLP NEW YORK, New York, United States
Custodian BOFA SECURITIES, INC. NEW YORK, New York, United States Related to adviser: No
Custodian MERRILL LYNCH PROFESSIONAL CLEARING CORP. NEW YORK, New York, United States Related to adviser: No
Custodian THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Related to adviser: No
Custodian THE NORTHERN TRUST INTERNATIONAL BANKING CORPORATION JERSEY CITY, New Jersey, United States Related to adviser: No
Prime broker MERRILL LYNCH PROFESSIONAL CLEARING CORP. 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

PRICEWATERHOUSECOOPERS LLP
PCAOB 238

BOFA SECURITIES, INC.
SEC 8-69787

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
SEC 8-33359

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
CRD 16139 · SEC 8-33359

Filing source

Form ADV 1651059 · May 20, 2022 · Schedule D 7.B.(1), fund 805-9652948812

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
Paul M. Britton Director
Capstone Investment Advisors, Llc Promoter
Rick Hanna Director
Ebony Myles Berry Director
Boris Onefater Director
Geoff Ruddick Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
C/O Walkers Corporate Limited Cayman Corporate Centre, 27 Hospital Rd.
George Town, Grand Cayman, E9, KY1-9008