Form D · Hedge Fund

EMERGING SOVEREIGN OFFSHORE FUND, LTD.

Grand Cayman, E9 · CIK 0001176352

Offering snapshot reported Nov 8, 2016 · SEC filing

Reported sold: $283M
Investors reported: 48
Minimum accepted: $2M
First sale: Apr 15, 2002

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.

No comparable changes in the displayed metrics.

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Nov 8, 2016	Amendment	$282,578,477	$0vs Jan 26, 2016	48	SEC filing
Jan 26, 2016	Amendment	$282,578,477	$950,000vs Jan 27, 2015	48	SEC filing
Jan 27, 2015	Amendment	$281,628,477	$11,100,000vs Jan 24, 2014	47	SEC filing
Oct 6, 2014	Amendment	$281,628,477	$11,100,000vs Jan 24, 2014	47	SEC filing
Jan 24, 2014	Amendment	$270,528,477	-$304,220,117vs Jan 24, 2013	46	SEC filing
Jan 24, 2013	Amendment	$574,748,594	$148,499,802vs Jan 26, 2012	88	SEC filing
Jan 26, 2012	Amendment	$426,248,792	$6,597,000vs Jan 28, 2011	81	SEC filing
Jan 28, 2011	Amendment	$419,651,792	$1,500,000vs Jan 29, 2010	77	SEC filing
Jan 29, 2010	Amendment	$418,151,792	$59,466,000vs Mar 16, 2009	77	SEC filing
Mar 16, 2009	Amendment	$358,685,792	No comparison	Not reported	SEC filing

Offering details

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

Sales commissions: $0 (estimated)
Finders' fees: $0 (estimated)
Form D file number: 021-45238

Generally, as noted above, Stifel receives a fixed fee paid in relation to clients introduced by it to the issuer.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Stifel, Nicolaus & Company, Incorporated	793
Barclays Capital Inc.	19714

Source: Form D, filed Nov 8, 2016. 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

EMERGING SOVEREIGN OFFSHORE FUND, LTD.

Investment adviser: EMERGING SOVEREIGN GROUP, LLC

Gross asset value: $12.4M
Beneficial owners: 2
ADV minimum commitment: $1M

Reported in Form ADV on Nov 7, 2016. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator CITCO FUND SERVICES (CURAÇAO) B.V. CURACAO, Netherlands Antilles Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LTD. GRAND CAYMAN, Cayman Islands

Custodian CITCO BANKING CORPORATION N.V. CURACAO, Netherlands Antilles Related to adviser: No

Marketer STIFEL, NICOLAUS & COMPANY, INCORPORATED ST. LOUIS, Missouri, United States Related to adviser: No

Provider details

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

STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD 793 · SEC 801-10746

Filing source

Form ADV 1049361 · Nov 7, 2016 · Schedule D 7.B.(1), fund 805-6230388910

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
David Bree	Director
Emerging Sovereign Group Llc	Executive
J. Kevin Kenny	Director, Executive
Don M. Seymour	Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

Elian Fiduciary Svcs (Cayman) Ltd. 89 Nexus Way Camana Bay
Grand Cayman, E9, KY1-9007