Form D · Hedge Fund

Galena Private Equity Resources Fund LP

George Town, Grand Cayman, E9 · CIK 0001557888

Offering snapshot reported Jan 17, 2014 · SEC filing

Reported sold: $150M
Investors reported: 2
Minimum accepted: $10M
First sale: Dec 20, 2012

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$100,000,000 → $150,000,000
Reported investors1 → 2

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Jan 17, 2014	Amendment	$150,000,000	$50,000,000vs Jan 17, 2013	2	SEC filing
Jan 17, 2013	Initial	$100,000,000	No comparison	1	SEC filing

Offering details

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

Sales commissions: $1M (estimated)
Finders' fees: $0
Form D file number: 021-190471

The amount above will be paid in instalments. As of Jan 2014, US$375,000 was paid. Payment equal to 2%, or such lesser amount as is payable by the Prospective Investor as a management fee (as defined under the applicable agreement)

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Capstone Advisers SA	None	CPS Securities, LP · CRD 136941
Alternative Asset Investment Management Securities, LLC	135131

Source: Form D, filed Jan 17, 2014. 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

GALENA PRIVATE EQUITY RESOURCES FUND LP

Investment adviser: GALENA ASSET MANAGEMENT B.V., AMSTERDAM, GENEVA BRANCH

Gross asset value: $82.4M
Beneficial owners: 5
ADV minimum commitment: $10M

Reported in Form ADV on Jul 21, 2014. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator BNY MELLON FUND SERVICES (IRELAND) LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor DELOITTE & TOUCHE GEORGE TOWN, Cayman Islands

Custodian THE BANK OF NEW YORK MELLON SA, BRUSSELS BRUSSELS, Belgium Related to adviser: No

Marketer ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC NEW YORK, New York, United States Related to adviser: No

Marketer CAPSTONE ADVISORS SA NYON, Switzerland Related to adviser: No

Provider details

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

ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
CRD 135131 · SEC 8-66889

Filing source

Form ADV 835247 · Jul 21, 2014 · Schedule D 7.B.(1), fund 805-1995245505

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
Martin Byrne	Director
N/A N/A Galena Asset Management B.V.	Promoter
N/A N/A Galena Private Equity Resources Limited	Promoter
Sarah Kelly	Director
Jeremy Weir	Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

International Management Services Ltd. 3 Rd Floor Harbour Centre, P.O. Box 61
George Town, Grand Cayman, E9, KY1-1102