Form D · Hedge Fund

Castlerigg Merger Arbitrage & Equity Event Fund, L.P.

New York, NY · CIK 0001479085

Offering snapshot reported Aug 1, 2017 · SEC filing

Reported sold
$1M
Indefinite offering
Investors reported
1
Form D · investor count
Minimum accepted
$50K
Reported outside-investor minimum
First sale
May 1, 2011
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$500K$1MMar 15, 2012: $1,000,000.00Mar 15, 2012Jul 31, 2013: $1,000,000.00Jul 31, 2013Jul 30, 2014: $1,000,000.00Jul 30, 2014Jul 30, 2015: $1,000,000.00Jul 30, 2015Aug 1, 2016: $1,000,000.00Aug 1, 2016Aug 1, 2017: $1,000,000.00Aug 1, 2017

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

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Aug 1, 2017Amendment$1,000,000$0vs Aug 1, 20161SEC filing
Aug 1, 2016Amendment$1,000,000$0vs Jul 30, 20151SEC filing
Jul 30, 2015Amendment$1,000,000$0vs Jul 30, 20141SEC filing
Jul 30, 2014Amendment$1,000,000$0vs Jul 31, 20131SEC filing
Jul 31, 2013Amendment$1,000,000$0vs Mar 15, 20121SEC filing
Mar 15, 2012Initial$1,000,000No comparison1SEC 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
Form D file number
021-175041
Sales commission is equal to 20% of the management and performance fees received by the Investment Manager

Sales compensation recipients

Scroll to see all columns →

RecipientCRDAssociated broker-dealer
Anton Katz1221289Saxony Securities, Inc · CRD 115547

Source: Form D, filed Aug 1, 2017. 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

CASTLERIGG MERGER ARBITRAGE AND EQUITY EVENT FUND, L.P.

Investment adviser: SANDELL ASSET MANAGEMENT CORP.

Gross asset value
$12M
Beneficial owners
2
ADV minimum commitment
$1M

Reported in Form ADV on Mar 7, 2013. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator CITCO FUND SERVICES (CURACAO) B.V. CURACAO, Netherlands Antilles Investor statements: No (provided to no investors) Related to adviser: No
Auditor PRICEWATERHOUSECOOPERS LLP NEW YORK, New York, United States
Marketer GLOBAL INVESTMENT RESOURCES, LLC BLOOMFIELD HILLS, Michigan, United States Related to adviser: No
Marketer PROVESTIA AB STOCKHOLM, Sweden Related to adviser: No
Marketer VIVIEN DE GUNZBURG PARIS, France Related to adviser: No
Prime broker CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
No
Administrator other than the adviser
Yes
External marketing
Yes

CREDIT SUISSE SECURITIES (USA) LLC
CRD 816 · SEC 8-422

Filing source

Form ADV 710533 · Mar 7, 2013 · Schedule D 7.B.(1), fund 805-1276898872

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
Anthony Bavaro Executive
Daniel Borenstein Executive
Adam Hoffman Executive
Triet Leminh Executive
Melvin Alejandro Mazier Executive
Thomas Eric Sandell Executive, Promoter
L.L.C. Sandell Advisors Director
L.L.C. Sandell Advisors, Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
540 Madison Avenue, 36 Th Floor
New York, NY, 10022