Form D · Private Equity Fund

Cathay Capital North American-Sino Fund (A), LP

Grand Cayman, E9 · CIK 0001652487

Offering snapshot reported Sep 8, 2017 · SEC filing

Reported sold: $114M
Investors reported: 8
Minimum accepted: $0
First sale: Sep 17, 2015

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.

Reported sold$89,280,000 → $113,500,000
Reported investors5 → 8

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Sep 8, 2017	Amendment	$113,500,000	$24,220,000vs Sep 9, 2016	8	SEC filing
Sep 9, 2016	Amendment	$89,280,000	No comparison	5	SEC filing
Sep 9, 2015	Amendment	Yet to sell	No comparison	0	SEC filing
Sep 9, 2015	Amendment	Yet to sell	No comparison	0	SEC filing
Sep 4, 2015	Initial	Yet to sell	No comparison	0	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06b, 3C, 3C.1, 3C.7
Duration over one year: Yes
Business combination: No

Sales commissions: $100K (estimated)
Finders' fees: $0 (estimated)
Form D file number: 021-247116

Cathay Capital North American-Sino Fund (A), LP is one of two parallel vehicles in this offering.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Sagent Advisors, LLC	129919

Source: Form D, filed Sep 8, 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

CATHAY CAPITAL NORTH AMERICAN-SINO FUND (A) LP

Investment adviser: CATHAY CAPITAL NA, LLC

Gross asset value: $4.38M
Beneficial owners: 6
ADV minimum commitment: $0

Reported in Form ADV on Nov 23, 2015. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator SS&C NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG BOSTON, Massachusetts, United States

Custodian FIRST REPUBLIC BANK NEW YORK, New York, United States Related to adviser: No

Marketer SAGENT ADVISORS, LLC NEW YORK, New York, United States Related to adviser: No

Provider details

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

SAGENT ADVISORS, LLC
CRD 129919 · SEC 8-66273

Filing source

Form ADV 958079 · Nov 23, 2015 · Schedule D 7.B.(1), fund 805-9657529397

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
N/A Cathay Capital North American Sino Fund Gp, Lp	Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

C/O Mourant Corporate Services 94 Solaris Avenue, Camana Bay, Box 1348
Grand Cayman, E9, KY1-1108