Form D · Other Investment Fund

GAM US INSTITUTIONAL MULTI-ARBITRAGE PLUS INC

Dublin, L2 · CIK 0001410929

Offering snapshot reported Feb 15, 2013 · SEC filing

Reported sold
$2.5M
Indefinite offering
Investors reported
1
Form D · investor count
Minimum accepted
$5M
Reported outside-investor minimum
First sale
Jun 1, 2007
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$1.25M$2.5MMay 26, 2009: $2,500,000.00May 26, 2009Feb 15, 2013: $2,500,000.00Feb 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.

No comparable changes in the displayed metrics.

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Feb 15, 2013Amendment$2,500,000$0vs May 26, 20091SEC filing
May 21, 2012Amendment$2,500,000$0vs May 25, 20111SEC filing
May 25, 2011Amendment$2,500,000$0vs Jun 1, 20101SEC filing
Jun 1, 2010Initial$2,500,000No comparison1SEC filing
May 26, 2009Initial$2,500,000No comparisonNot reportedSEC filing
Aug 22, 2007PaperNot reportedNo comparisonNot reportedSEC filing
Aug 22, 2007PaperNot reportedNo comparisonNot reportedSEC filing

Offering details

Securities
Equity
Exemptions
06
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-107896

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
GAM Services, Inc.25631

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

GAM US INSTITUTIONAL MULTI-ARBITRAGE PLUS INC.

Investment adviser: GAM USA INC.

Gross asset value
$84.8M
Beneficial owners
1
ADV minimum commitment
$5M

Reported in Form ADV on Jan 17, 2013. 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
Auditor PRICEWATERHOUSECOOPERS DUBIN, Ireland
Custodian ABN AMRO BANK N.V. AMSTERDAM, Netherlands 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 692815 · Jan 17, 2013 · Schedule D 7.B.(1), fund 805-1596910311

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
N/A N/A Gam Usa Inc. Promoter
Andrew Hanges Director
Jozef Charles Hendricks Director
Jozef Charles Hendriks Director
Maxwell L.H. Quin Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
George's Quay House 43 Townsend Street
Dublin, L2, 00000