Form D · Other Investment Fund
GENESIS SMALLER COMPANIES SICAV
Luxembourg, XX · CIK 0001460960
Offering snapshot reported Mar 10, 2017 · SEC filing
- Reported sold
- $2.22B Indefinite offering
- Investors reported
- 35 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Mar 1, 1996 As reported in this filing
Fundraising history
Reported soldDates 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 |
|---|---|---|---|---|---|
| Mar 10, 2017 | Amendment | $2,216,615,705 | $0vs Mar 11, 2016 | 35 | SEC filing |
| Mar 11, 2016 | Amendment | $2,216,615,705 | $18,895,229vs Mar 12, 2015 | 35 | SEC filing |
| Mar 12, 2015 | Amendment | $2,197,720,476 | $46,938,059vs Mar 13, 2014 | 35 | SEC filing |
| Mar 13, 2014 | Amendment | $2,150,782,417 | $15,491,824vs Mar 14, 2013 | 35 | SEC filing |
| Mar 14, 2013 | Amendment | $2,135,290,593 | $121,690,593vs Mar 15, 2012 | 34 | SEC filing |
| Mar 15, 2012 | Amendment | $2,013,600,000 | $259,982,000vs Mar 16, 2011 | 34 | SEC filing |
| Mar 16, 2011 | Amendment | $1,753,618,000 | -$353,382,000vs Mar 17, 2010 | 31 | SEC filing |
| Mar 17, 2010 | Amendment | $2,107,000,000 | No comparison | 30 | SEC filing |
Offering details
- Securities
- Pooled investment fund
- Exemptions
- 06b, 3C, 3C.1
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $0
- Finders' fees
- $0
- Form D file number
- 021-129770
Source: Form D, filed Mar 10, 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
GENESIS SMALLER COMPANIES SICAV
Investment adviser: GENESIS ASSET MANAGERS, LLP
- Gross asset value
- $128M
- Beneficial owners
- 21
- ADV minimum commitment
- $5M
Reported in Form ADV on Oct 30, 2018. Fund assets and beneficial owners measure different things from Form D sales and investors.
Service providers
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
PRICEWATERHOUSECOOPERS
PCAOB 1328
Filing source
Form ADV 1248670 · Oct 30, 2018 · Schedule D 7.B.(1), fund 805-5771100044
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.
| Name | Reported role |
|---|---|
| Paul Ballantine | Executive, Promoter |
| Paul Ballantyne | Executive, Promoter |
| Arindam Bhattacharjee | Executive, Promoter |
| Stephen Birkett | Executive, Promoter |
| Mel Carvill | Executive, Promoter |
| David De Sousa Seaman | Executive, Promoter |
| Andrew Elder | Executive, Promoter |
| Chris Ellyatt | Director, Executive, Promoter |
| Rufus Frazier | Executive, Promoter |
| Llp Genesis Asset Managers, | Promoter |
| Richard Goddard | Director |
| Paul Greatbatch | Executive, Promoter |
| John Hallam | Executive, Promoter |
| Peter Hames | Director, Executive, Promoter |
| Mark Huntley | Executive, Promoter |
| James Juracka | Executive, Promoter |
| Evgeny Kuznetsov | Executive, Promoter |
| Alberto La Rocca | Director |
| Steve Le Page | Executive, Promoter |
| Karen Roydon | Executive, Promoter |
| Martyn Ryan | Director, Executive, Promoter |
| Catherine Vlasto | Executive, Promoter |
| John Christopher Wilcockson | Director |
| John Christopher Wilcockson | Director |
| Yiyong Yang | Executive, Promoter |
| Karen Yerburgh | Executive, Promoter |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Luxembourg, XX, L-1470