Form D · Hedge Fund

HAVENS INTERNATIONAL INVESTORS, LTD

Grand Cayman, E9 · CIK 0001458830

Offering snapshot reported Mar 21, 2019 · SEC filing

Reported sold
$116M
Indefinite offering
Investors reported
54
Form D · investor count
Minimum accepted
$100K
Reported outside-investor minimum
First sale
Jan 16, 2001
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$58.2M$116MMar 18, 2009: $45,882,859.00Mar 18, 2009Mar 19, 2010: $70,651,881.00Mar 18, 2011: $95,599,872.00Aug 12, 2011: $77,479,406.00Aug 13, 2012: $84,491,458.00Aug 13, 2013: $114,810,855.00Aug 13, 2014: $115,110,855.00Aug 13, 2015: $115,360,855.00Mar 21, 2016: $115,360,855.00Mar 21, 2017: $116,346,456.00Mar 21, 2018: $116,346,456.00Mar 21, 2019: $116,346,456.00Mar 21, 2019

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
Mar 21, 2019Amendment$116,346,456$0vs Mar 21, 201854SEC filing
Mar 21, 2018Amendment$116,346,456$0vs Mar 21, 201754SEC filing
Mar 21, 2017Amendment$116,346,456$985,601vs Mar 21, 201654SEC filing
Mar 21, 2016Amendment$115,360,855$0vs Aug 13, 201554SEC filing
Aug 13, 2015Amendment$115,360,855$550,000vs Aug 13, 201354SEC filing
Aug 13, 2014Amendment$115,110,855$300,000vs Aug 13, 201354SEC filing
Aug 13, 2013Amendment$114,810,855$30,319,397vs Aug 13, 201253SEC filing
Aug 13, 2012Amendment$84,491,458$7,012,052vs Aug 12, 201152SEC filing
Aug 12, 2011Amendment$77,479,406$6,827,525vs Mar 19, 201047SEC filing
Mar 18, 2011Amendment$95,599,872$24,947,991vs Mar 19, 201044SEC filing
Mar 19, 2010Amendment$70,651,881$24,769,022vs Mar 18, 200944SEC filing
Mar 18, 2009Initial$45,882,859No comparisonNot reportedSEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06b, 3C, 3C.1
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$20.8K
Form D file number
021-128155

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Michael BartlettNoneHedge Advisors Limited

Source: Form D, filed Mar 21, 2019. 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

HAVENS INTERNATIONAL INVESTORS, LTD.

Investment adviser: HAVENS ADVISORS LLC

Gross asset value
$55.4M
Beneficial owners
17
ADV minimum commitment
$250K

Reported in Form ADV on Oct 8, 2013. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator MUFG FUND SERVICES (BERMUDA) LIMITED, C/O MUFG FUND SERVICES (HALIFAX) LIMITED HALIFAX, NOVA SCOTIA, Canada Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor MCGLADREY LLP NEW YORK, New York, United States
Custodian CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States Related to adviser: No
Custodian J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States Related to adviser: No
Prime broker CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States
Prime broker J.P. MORGAN CLEARING CORP. 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

CREDIT SUISSE SECURITIES (USA) LLC
SEC 8-422

J.P. MORGAN CLEARING CORP.
SEC 8-43724

CREDIT SUISSE SECURITIES (USA) LLC
CRD 816 · SEC 8-422

J.P. MORGAN CLEARING CORP.
CRD 28432 · SEC 8-43724

Filing source

Form ADV 760541 · Oct 8, 2013 · Schedule D 7.B.(1), fund 805-2374592531

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
Giles Belfrage Director
Siu Kei Chung Director
John C.R. Collis Director
Nancy E. Havens Director
Nancy E. Havens Hasty Director
Clarendon Hugh Masters Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
C/O Maples Corporate Services Limited Box 309 Ugland House
Grand Cayman, E9, KY1-1104