Form D · Hedge Fund

DALTON HIGH YIELD OPPORTUNITIES (OFFSHORE FEEDER) FUND LTD.

Santa Monica, CA · CIK 0001488633

Offering snapshot reported Mar 9, 2018 · SEC filing

Reported sold: $48.8M
Investors reported: 47
Minimum accepted: $1M
First sale: Jun 1, 2017

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$48,096,010 → $48,812,010
Reported investors44 → 47

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Mar 9, 2018	Amendment	$48,812,010	$716,000vs Nov 1, 2017	47	SEC filing
Nov 1, 2017	Amendment	$48,096,010	$36,096,010vs Jan 3, 2014	44	SEC filing
Jan 19, 2016	Amendment	$38,344,415	$26,344,415vs Jan 3, 2014	18	SEC filing
Jan 16, 2015	Amendment	$24,133,500	$12,133,500vs Jan 3, 2014	14	SEC filing
Jan 3, 2014	Amendment	$12,000,000	$474,809vs Jan 2, 2013	9	SEC filing
Jan 2, 2013	Amendment	$11,525,191	$0vs Jan 4, 2012	8	SEC filing
Jan 4, 2012	Amendment	$11,525,191	$0vs Apr 29, 2011	8	SEC filing
Apr 29, 2011	Amendment	$11,525,191	No comparison	8	SEC filing
Apr 12, 2010	Initial	Yet to sell	No comparison	0	SEC filing

Offering details

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

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-140397

Rounded figure.

The new broker-dealer, Stonehaven LLC, will be receiving commissions, however, they have not sold any Units as of this date

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Stonehaven LLC	118913	Stonehaven LLC · CRD 118913

Source: Form D, filed Mar 9, 2018. 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

DALTON HIGH YIELD MORTGAGE (OFFSHORE FEEDER) FUND LTD.

Investment adviser: DALTON INVESTMENTS LLC

Gross asset value: $11.4M
Beneficial owners: 6
ADV minimum commitment: $1M

Reported in Form ADV on Jul 24, 2013. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator NORTHERN TRUST HEDGE FUND SERVICES LLC CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS GEORGE TOWN, Cayman Islands

Marketer CAPSTONE INVESTMENTS PALOS VERDES ESTATES, California, United States Related to adviser: No

Marketer FIG PARTNERS, LLC ATLANTA, Georgia, United States Related to adviser: No

Prime broker PERSHING PRIME SERVICES LOS ANGELES, California, United States

Provider details

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

FIG PARTNERS, LLC
CRD 41554 · SEC 801-72273

Filing source

Form ADV 748341 · Jul 24, 2013 · Schedule D 7.B.(1), fund 805-7243009805

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
Eric Clauson	Director
Gifford Combs	Promoter
David Haynie	Executive
Ryan Hetherington	Executive
Dalton Investments Llc	Promoter
Kyle Kazan	Director
High Yield Gp Llc	Promoter
Dalton Investments Llc	Promoter
Belita Ong	Promoter
Steven D. Persky	Director
David Robinson	Director
James B Rosenwald	Director
James B. Rosenwald Iii	Promoter
Todd Sherer	Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

C/O Dalton Investments Llc 1601 Cloverfield Blvd., Suite 5050 N
Santa Monica, CA, 90404