Form D · Other Investment Fund

GAM Divergent Trading Inc.

Dublin 2, L2 · CIK 0001594937

Offering snapshot reported Oct 4, 2017 · SEC filing

Reported sold
$93M
Indefinite offering
Investors reported
2
Form D · investor count
Minimum accepted
$20M
Reported outside-investor minimum
First sale
Nov 29, 2013
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$46.5M$93MDec 20, 2013: $93,000,000.00Dec 20, 2013Oct 30, 2014: $93,000,000.00Oct 30, 2014Oct 23, 2015: $93,000,000.00Oct 23, 2015Oct 5, 2016: $93,000,000.00Oct 5, 2016Oct 4, 2017: $93,000,000.00Oct 4, 2017

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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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Oct 4, 2017Amendment$93,000,000$0vs Oct 5, 20162SEC filing
Oct 5, 2016Amendment$93,000,000$0vs Oct 23, 20152SEC filing
Oct 23, 2015Amendment$93,000,000$0vs Oct 30, 20142SEC filing
Oct 30, 2014Amendment$93,000,000$0vs Dec 20, 20132SEC filing
Dec 20, 2013Initial$93,000,000No comparison2SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b
Duration over one year
No
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-208482

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
N/A25631GAM Services Inc. · CRD 25631

Source: Form D, filed Oct 4, 2017. 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

GAM DIVERGENT TRADING INC.

Investment adviser: GAM USA INC.

Gross asset value
$102M
Beneficial owners
2
ADV minimum commitment
$20M

Reported in Form ADV on Sep 21, 2017. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator GAM FUND MANAGEMENT LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: Yes
Fund administrator STATE STREET FUND SERVICES (IRELAND) LIMITED DUBLIN, Ireland Investor statements: No (provided to no investors) Related to adviser: No
Auditor PRICEWATERHOUSECOOPERS DUBLIN, Ireland
Custodian ABN AMRO CLEARING BANK N.V. AMSTERDAM, Netherlands Related to adviser: No
Marketer GAM SERVICES, INC. NEW YORK, New York, United States Related to adviser: Yes
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

GAM SERVICES, INC.
CRD 25631 · SEC 8-42036

Filing source

Form ADV 1141731 · Sep 21, 2017 · Schedule D 7.B.(1), fund 805-3787595449

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
Andrew Hanges Director
Jozef Charles Hendriks Director
Maxwell Quin Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
George's Court, 54 62 Townsend Street
Dublin 2, L2, 00000