Form D · Other Investment Fund

Global Innovation SPV I, Ltd.

George Town, Grand Cayman, E9 · CIK 0001535002

Offering snapshot reported Dec 6, 2011 · SEC filing

Reported sold
$3.64M
Offering amount: $30M
Investors reported
16
Form D · investor count
Minimum accepted
$200K
Reported outside-investor minimum
First sale
Dec 1, 2011
As reported in this filing

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
Dec 6, 2011Initial$3,640,000No comparison16SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06, 3C, 3C.1
Duration over one year
No
Business combination
No
Sales commissions
$2.4M (estimated)
Finders' fees
$0
Form D file number
021-169678
The Issuer will pay to the Placement Agent, a non-refundable fee of 8% of the gross proceeds.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
John Thomas Financial, Inc.40982

Source: Form D, filed Dec 6, 2011. 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

GLOBAL INNOVATION SPV I, LTD.

Investment adviser: GALT GLOBAL CAPITAL INC.

Gross asset value
$17.2M
Beneficial owners
75
ADV minimum commitment
$200K

Reported in Form ADV on Feb 20, 2013. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator CIBC BANK AND TRUST COMPANY (CAYMAN) LIMITED GEORGETOWN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG GEORGE TOWN, Cayman Islands
Marketer JOHN THOMAS FINANCIAL NEW YORK, New York, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
No
Administrator other than the adviser
Yes
External marketing
Yes

JOHN THOMAS FINANCIAL
CRD 40982 · SEC 8-49254

Filing source

Form ADV 701817 · Feb 20, 2013 · Schedule D 7.B.(1), fund 805-3334222866

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
Gary Bartholomew Director
Trevor Michael Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
C/O Dundee Leeds Mgt Servs (Cayman) Ltd. 2 Nd Fl, Waterfront Cntr 28 N. Church St.
George Town, Grand Cayman, E9, 00000