Form D · Hedge Fund
Caxton HAWK (Diversified) LLC
New York, NY · CIK 0001471506
Offering snapshot reported Aug 13, 2013 · SEC filing
- Reported sold
- $37.7M Indefinite offering
- Investors reported
- 7 Form D · investor count
- Minimum accepted
- $5M Reported outside-investor minimum
- First sale
- Sep 1, 2009 As reported in this filing
Fundraising history
Reported soldDates 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$8,150,000 → $37,650,000
- Reported investors6 → 7
- Minimum accepted$200,000 → $5,000,000
Filing history
Scroll to see all columns →
| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Aug 13, 2013 | Amendment | $37,650,000 | $29,500,000vs Aug 17, 2012 | 7 | SEC filing |
| Aug 17, 2012 | Amendment | $8,150,000 | $0vs Sep 6, 2011 | 6 | SEC filing |
| Sep 6, 2011 | Amendment | $8,150,000 | $4,150,000vs Aug 30, 2010 | 6 | SEC filing |
| Aug 30, 2010 | Amendment | $4,000,000 | $2,000,000vs Sep 4, 2009 | 4 | SEC filing |
| Sep 4, 2009 | Initial | $2,000,000 | No comparison | 1 | SEC filing |
Offering details
- Securities
- 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
- 021-134192
This is a clarification for item 11: the minimum investment amount set forth in item 11 may be waived in the discretion of the Managing Member of the Issuer.
Source: Form D, filed Aug 13, 2013. 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
CAXTON HAWK (DIVERSIFIED) LLC
Investment adviser: HAWK QUANTITATIVE STRATEGIES, LLC
- Gross asset value
- Not reported
- Beneficial owners
- Not reported
- ADV minimum commitment
- Not reported
Reported in Form ADV on Mar 27, 2013. 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 711996 · Mar 27, 2013 · Schedule D 7.B.(1), fund 805-6503081015
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.
| Name | Reported role |
|---|---|
| Jeffrey Enslin | Executive |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:New York, NY, 10022