Form D · Other Investment Fund

D. E. Shaw U.S. Broad Market Core Alpha Extension Special Fund II (MA), L.L.C.

New York, NY · CIK 0001475474

Offering snapshot reported Mar 15, 2019 · SEC filing

Reported sold
$119M
Indefinite offering
Investors reported
3
Form D · investor count
Minimum accepted
$1M
Reported outside-investor minimum
First sale
Nov 1, 2009
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$59.3M$119MOct 30, 2009Mar 17, 2010: $75,004,000.00Mar 17, 2011: $112,791,809.00Mar 19, 2012: $108,661,186.00Mar 18, 2013: $108,661,186.00Mar 14, 2014: $108,661,186.00Mar 13, 2015: $108,661,186.00Mar 15, 2016: $108,661,186.00Mar 15, 2017: $108,661,186.00Mar 15, 2018: $108,661,186.00Mar 15, 2019: $118,661,186.00Mar 15, 2019

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$108,661,186 → $118,661,186

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Mar 15, 2019Amendment$118,661,186$10,000,000vs Mar 15, 20183SEC filing
Mar 15, 2018Amendment$108,661,186$0vs Mar 15, 20173SEC filing
Mar 15, 2017Amendment$108,661,186$0vs Mar 15, 20163SEC filing
Mar 15, 2016Amendment$108,661,186$0vs Mar 13, 20153SEC filing
Mar 13, 2015Amendment$108,661,186$0vs Mar 14, 20143SEC filing
Mar 14, 2014Amendment$108,661,186$0vs Mar 18, 20132SEC filing
Mar 18, 2013Amendment$108,661,186$0vs Mar 19, 20122SEC filing
Mar 19, 2012Amendment$108,661,186-$4,130,623vs Mar 17, 20112SEC filing
Mar 17, 2011Amendment$112,791,809$37,787,809vs Mar 17, 20102SEC filing
Mar 17, 2010Amendment$75,004,000No comparison1SEC filing
Oct 30, 2009InitialYet to sellNo comparison0SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06c, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-135717
D. E. Shaw Securities, L.L.C. received an upfront placement agent fee of $2,500.00 in connection with this offering. This fee was paid by the issuer's investment adviser and did not reduce Total Amount Sold.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
D. E. Shaw Securities, L.L.C.24332

Source: Form D, filed Mar 15, 2019. 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

D. E. SHAW U.S. BROAD MARKET CORE ALPHA EXTENSION SPECIAL FUND II (MA), L.L.C.

Investment adviser: D. E. SHAW INVESTMENT MANAGEMENT, L.L.C.

Gross asset value
$32.4K
Beneficial owners
0
ADV minimum commitment
$1M

Reported in Form ADV on Mar 31, 2021. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Custodian HSBC BANK USA, N.A. NEW YORK, New York, United States Related to adviser: No
Provider details
Annual audit
No
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

HSBC BANK USA, N.A.
LEI 1IE8VN30JCEQV1H4R804

Filing source

Form ADV 1513393 · Mar 31, 2021 · Schedule D 7.B.(1), fund 805-9865486010

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
N/A N/A D. E. Shaw Investment Management, L.L.C. Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
1166 Avenue Of The Americas Ninth Floor
New York, NY, 10036