Form D · Other Investment Fund

D. E. Shaw U.S. Broad Market Core Alpha Plus Special Fund, L.P.

New York, NY · CIK 0001472060

Offering snapshot reported Mar 16, 2020 · SEC filing

Reported sold
$1.36B
Indefinite offering
Investors reported
1
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$681M$1.36BSep 25, 2009Mar 27, 2015: $901,000,000.00Mar 15, 2016: $901,000,000.00Mar 15, 2017: $901,000,000.00Mar 15, 2018: $1,361,000,000.00Mar 15, 2019: $1,361,000,000.00Nov 14, 2019: $1,361,000,000.00Mar 16, 2020: $1,361,000,000.00Mar 16, 2020

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
Mar 16, 2020Amendment$1,361,000,000$0vs Nov 14, 20191SEC filing
Nov 14, 2019Amendment$1,361,000,000$0vs Mar 15, 20191SEC filing
Mar 15, 2019Amendment$1,361,000,000$0vs Mar 15, 20181SEC filing
Mar 15, 2018Amendment$1,361,000,000$460,000,000vs Mar 15, 20171SEC filing
Mar 15, 2017Amendment$901,000,000$0vs Mar 15, 20161SEC filing
Mar 15, 2016Amendment$901,000,000$0vs Mar 27, 20151SEC filing
Mar 27, 2015Amendment$901,000,000No comparison1SEC filing
Sep 25, 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
021-134723

Source: Form D, filed Mar 16, 2020. 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 PLUS SPECIAL FUND, L.P.

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

Gross asset value
$1.77M
Beneficial owners
0
ADV minimum commitment
$1M

Reported in Form ADV on Nov 16, 2023. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator CITCO FUND SERVICES (CAYMAN ISLANDS) LTD JERSEY CITY, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ERNST & YOUNG LLP NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
No
Administrator other than the adviser
Yes
External marketing
No

ERNST & YOUNG LLP
PCAOB 42

Filing source

Form ADV 1798047 · Nov 16, 2023 · Schedule D 7.B.(1), fund 805-4767938502

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 Bmcae Special Fund Gp, L.L.C. Director
N/A D. E. Shaw Investment Management, L.L.C. Director
N/A N/A D. E. Shaw U.S. Broad Market Core Alpha Plus Special Fund Gp, 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