Form D · Hedge Fund

HedgeForum Caxton, LLC

New York, NY · CIK 0001526360

Offering snapshot reported Jul 21, 2017 · SEC filing

Reported sold
$26.7M
Indefinite offering
Investors reported
79
Form D · investor count
Minimum accepted
$100K
Reported outside-investor minimum
First sale
Nov 1, 2010
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$13.4M$26.7MOct 14, 2011: $7,965,736.00Oct 14, 2011Dec 15, 2011: $14,258,203.00Mar 14, 2012: $12,638,736.00Jun 18, 2013: $17,438,735.00Jan 27, 2014: $23,358,203.00Feb 13, 2015: $25,728,546.00Feb 17, 2016: $26,328,546.00Jul 21, 2017: $26,724,119.00Jul 21, 2017

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.

  • Reported sold$26,328,546 → $26,724,119
  • Reported investors77 → 79

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jul 21, 2017Amendment$26,724,119$395,573vs Feb 17, 201679SEC filing
Feb 17, 2016Amendment$26,328,546$600,000vs Feb 13, 201577SEC filing
Feb 13, 2015Amendment$25,728,546$2,370,343vs Jan 27, 201476SEC filing
Jan 27, 2014Amendment$23,358,203$5,919,468vs Jun 18, 201367SEC filing
Jun 18, 2013Amendment$17,438,735$4,799,999vs Mar 14, 201259SEC filing
Mar 14, 2012Amendment$12,638,736-$1,619,467vs Dec 15, 201148SEC filing
Dec 15, 2011Amendment$14,258,203$6,292,467vs Oct 14, 201143SEC filing
Oct 14, 2011Initial$7,965,736No comparison27SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$56.5K
Finders' fees
$0
Form D file number
021-167313

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Citigroup Global Markets Inc.7059Citigroup Global Markets Inc. · CRD 7059
Morgan Stanley Smith Barney LLC149777Morgan Stanley Smith Barney LLC · CRD 149777
Citi Private Advisory, LLC153777Citi Private Advisory, LLC · CRD 153777

Source: Form D, filed Jul 21, 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

HEDGEFORUM CAXTON, LLC

Investment adviser: CITI GLOBAL ALTERNATIVES, LLC

Gross asset value
$3.71M
Beneficial owners
16
ADV minimum commitment
$100K

Reported in Form ADV on Mar 20, 2019. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator BNY MELLON INVESTMENT SERVICING (INTERNATIONAL) LIMITED DUBLIN, Ireland Investor statements: No (provided to no investors) Related to adviser: No
Auditor PRICEWATERHOUSE COOPERS DUBLIN, Ireland
Custodian BNY MELLON TRUST COMPANY (IRELAND) LIMITED DUBLIN, Ireland Related to adviser: No
Marketer CITIBANK CANADA INVESTMENT FUNDS LIMITED TORONTO, Canada Related to adviser: Yes
Marketer CITIBANK EUROPE PLC (UK BRANCH) LONDON, United Kingdom Related to adviser: Yes
Marketer CITIBANK, N.A. HONG KONG BRANCH HONG KONG, Hong Kong Related to adviser: Yes
Marketer CITIBANK N.A. LONDON BRANCH LONDON, United Kingdom Related to adviser: Yes
Marketer CITIBANK , N.A. NEW YORK BRANCH NEW YORK, New York, United States Related to adviser: Yes
Marketer CITIBANK N.A., SINGAPORE BRANCH SINGAPORE, Singapore Related to adviser: Yes
Marketer CITIGROUP GLOBAL MARKETS ASIA LIMITED HONG KONG, Hong Kong Related to adviser: Yes
Marketer CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States Related to adviser: Yes
Marketer CITITRUST (BAHAMAS) LIMITED NASSAU, Bahamas, The Related to adviser: Yes
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

PRICEWATERHOUSE COOPERS
PCAOB 1366

CITIGROUP GLOBAL MARKETS INC.
CRD 7059 · SEC 801-3387

Filing source

Form ADV 1295876 · Mar 20, 2019 · Schedule D 7.B.(1), fund 805-7286977601

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 Amacar Cpo, Inc. Promoter
Karla L. Boyd Executive
N/A Citi Private Advisory, Llc Promoter
Evelyn Echevarria Executive
Douglas K. Johnson Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
388 Greenwich Street 29 Th Floor
New York, NY, 10013