Form D · Other Investment Fund

FIRST PRINCIPLES TREASURY FUND I LTD

George Town, Grand Cayman, E9 · CIK 0001429718

Offering snapshot reported May 2, 2012 · SEC filing

Reported sold
$823M
Indefinite offering
Investors reported
1
Form D · investor count
Minimum accepted
$100K
Reported outside-investor minimum
First sale
Jan 1, 2008
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$412M$823MMar 9, 2010: $313,800,000.00Mar 9, 2010Apr 14, 2010: $313,800,000.00Apr 26, 2011: $507,842,762.00Apr 26, 2011May 2, 2012: $823,133,943.00May 2, 2012

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$507,842,762 → $823,133,943

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
May 2, 2012Amendment$823,133,943$315,291,181vs Apr 26, 20111SEC filing
Apr 26, 2011Amendment$507,842,762$194,042,762vs Apr 14, 20101SEC filing
Apr 14, 2010Amendment$313,800,000$0vs Mar 9, 20101SEC filing
Mar 9, 2010Amendment$313,800,000No comparison1SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-115865

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
FPCM Securities, LLC38283

Source: Form D, filed May 2, 2012. 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

FPCM TREASURY FUND I LIMITED

Investment adviser: FIRST PRINCIPLES CAPITAL MANAGEMENT, LLC

Gross asset value
$78.9M
Beneficial owners
1
ADV minimum commitment
$50M

Reported in Form ADV on Mar 27, 2013. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator BNY MELLON ALTERNATIVE INVESTMENT SERVICES WILMINGTON, Delaware, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ROTHSTEIN, KASS & COMPANY, P.C. ROSELAND, New Jersey, United States
Custodian BNY MELLON ALTERNATIVE INVESTMENT SERVICES WILMINGTON, Delaware, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No
Filing source

Form ADV 716793 · Mar 27, 2013 · Schedule D 7.B.(1), fund 805-9224499547

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
Mark G Alexandridis Executive
Michael J Baek Executive
Hong Chen Executive
Douglas A Dachille Executive
Richard F Dolan Executive
John Duff Executive
N/A First Principles Capital Management, Llc Promoter
David Ho Executive
Prasad Kadiyala Executive
Robert R Lewis Executive
Rongfeng Li Executive
Mark F Lieberman Executive
Stephen R Miller Executive
James H Van Epps Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
Walkers Spv Ltd Walker House, 87 Mary Street
George Town, Grand Cayman, E9, KY1-9002