Form D · Hedge Fund

dbX-Convertible Arbitrage 13 Fund

St. Helier, Y9 · CIK 0001540706

Offering snapshot reported Feb 15, 2013 · SEC filing

Reported sold
$8.45M
Offering amount: $150M
Investors reported
1
Form D · investor count
Minimum accepted
$250K
Reported outside-investor minimum
First sale
Jan 3, 2012
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$4.22M$8.45MJan 30, 2012: $5,852,967.00Jan 30, 2012Feb 15, 2013: $8,447,967.00Feb 15, 2013

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$5,852,967 → $8,447,967

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Feb 15, 2013Amendment$8,447,967$2,595,000vs Jan 30, 20121SEC filing
Jan 30, 2012Initial$5,852,967No comparison1SEC 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
021-172598
A placement fee of up to 5% of the relevant subscription amount may be charged to an investor

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Deutsche Bank AGNone
Deutsche Bank Securities Inc.2525

Source: Form D, filed Feb 15, 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

DBX-CONVERTIBLE ARBITRAGE 13 FUND

Investment adviser: DB INVESTMENT MANAGERS, INC

Gross asset value
$35.8M
Beneficial owners
7
ADV minimum commitment
$250K

Reported in Form ADV on Jul 11, 2014. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator DB HEDGEWORKS, LLC SANTA ANA, California, United States Investor statements: No (provided to no investors) Related to adviser: Yes
Auditor KPMG DUBLIN, Ireland
Custodian DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: Yes
Custodian DEUTSCHE BANK TRUST COMPANY AMERICAS NEW YORK, New York, United States Related to adviser: Yes
Marketer DEUTSCHE BANK AG, LONDON BRANCH LONDON, United Kingdom Related to adviser: Yes
Marketer DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: Yes
Prime broker DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

DEUTSCHE BANK SECURITIES INC.
SEC 8-17822

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 801-9638

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 8-17822

Filing source

Form ADV 834050 · Jul 11, 2014 · Schedule D 7.B.(1), fund 805-6842496044

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
Peter Becker Director
Alan Booth Director
Paul Cope Director
N/A Deutsche International Corporate Services Limited Promoter
N/A Deutsche International Custodial Services Limited Promoter
Ed Fletcher Director
Niall Gorman Director
Darren Mc Cue Director
David Mc Guinness Director
Jonathan Peake Director
Tina Saunders Director
N/A Waterstone Capital Management, L.P. Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
Deutsche International Corp Services Ltd St. Paul's Gate, New Street
St. Helier, Y9, JE4 8ZB