Form D · Hedge Fund

HARVEY SMIDCAP OFFSHORE FUND LTD

New York, NY · CIK 0001357312

Offering snapshot reported May 15, 2014 · SEC filing

Reported sold: $196M
Investors reported: 69
Minimum accepted: $100K
First sale: Feb 1, 2006

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.

No comparable changes in the displayed metrics.

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
May 15, 2014	Amendment	$195,615,947	No comparison	69	SEC filing
May 21, 2013	Amendment	$193,402,401	No comparison	68	SEC filing
Mar 13, 2006	Paper	Not reported	No comparison	Not reported	SEC filing

Offering details

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

Sales commissions: $1.67M (estimated)
Finders' fees: $0 (estimated)
Form D file number: 021-87546

Any fees will not be payable or chargeable to the Fund or any Shareholder or prospective Shareholder, unless there is an offsetting credit or fee reduction given by the Investment Manager on either or both fees.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
NA	None	Windham Capital Group, Inc. · CRD 122377

Source: Form D, filed May 15, 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

HARVEY SMIDCAP OFFSHORE FUND, LTD.

Investment adviser: HARVEY PARTNERS, LLC

Gross asset value: $6.53M
Beneficial owners: 4
ADV minimum commitment: $1M

Reported in Form ADV on Mar 20, 2024. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator MORGAN STANLEY FUND SERVICES (CAYMAN) LTD GEORGE TOWN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor RSM US LLP NEW YORK, New York, United States

Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No

Custodian NORTHERN TRUST SECURITIES, INC. CHICAGO, Illinois, United States Related to adviser: No

Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States

Provider details

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

RSM US LLP
PCAOB 49

MORGAN STANLEY & CO. LLC
SEC 8-15869

NORTHERN TRUST SECURITIES, INC.
SEC 8-23689

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Filing source

Form ADV 1839640 · Mar 20, 2024 · Schedule D 7.B.(1), fund 805-6237462000

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
Don Ebanks	Director
N/A Harvey Partners, Llc	Promoter
Harvey Partners, Llc	Executive
Jeffrey C. Moskowitz	Director, Executive
James A. Schwartz	Executive
Tammy W. Seymour	Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

C/O Harvey Partners, Llc 551 Fifth Avenue, 36 Th Floor
New York, NY, 10176