Form D · Hedge Fund

HedgeForum OZF, LLC

New York, NY · CIK 0001526366

Offering snapshot reported Jul 21, 2017 · SEC filing

Reported sold: $35.7M
Investors reported: 96
Minimum accepted: $100K
First sale: Apr 1, 2011

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.

Reported sold$35,616,195 → $35,666,195

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Jul 21, 2017	Amendment	$35,666,195	$50,000vs Feb 18, 2016	96	SEC filing
Feb 18, 2016	Amendment	$35,616,195	$1,799,999vs Feb 13, 2015	96	SEC filing
Feb 13, 2015	Amendment	$33,816,196	$12,416,119vs Jan 28, 2014	92	SEC filing
Jan 28, 2014	Amendment	$21,400,077	$5,827,570vs Jan 30, 2013	67	SEC filing
Jan 30, 2013	Amendment	$15,572,507	$4,080,000vs Jun 14, 2012	56	SEC filing
Jun 14, 2012	Amendment	$11,492,507	$2,625,000vs Dec 15, 2011	44	SEC filing
Dec 15, 2011	Amendment	$8,867,507	$3,742,507vs Oct 14, 2011	33	SEC filing
Oct 14, 2011	Initial	$5,125,000	No comparison	14	SEC filing

Offering details

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

Sales commissions: $160K
Finders' fees: $0
Form D file number: 021-167326

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Citigroup Global Markets Inc.	7059	Citigroup Global Markets Inc. · CRD 7059
Morgan Stanley Smith Barney LLC	149777	Morgan Stanley Smith Barney LLC · CRD 149777
Citi Private Advisory, LLC	153777	Citi 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 OZF, LLC

Investment adviser: CITI GLOBAL ALTERNATIVES, LLC

Gross asset value: $1.3M
Beneficial owners: 36
ADV minimum commitment: $100K

Reported in Form ADV on Jul 14, 2020. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator BNY MELLON FUND SERVICES (IRELAND) DAC DUBLIN, Ireland Investor statements: No (provided to no investors) Related to adviser: No

Auditor PRICEWATERHOUSE COOPERS DUBLIN, Ireland

Custodian THE BANK OF NEW YORK MELLON SA/NV DUBLIN, Ireland Related to adviser: No

Marketer CITIBANK CANADA INVESTMENT FUNDS LIMITED TORONTO, Canada Related to adviser: Yes

Marketer CITIBANK , N.A. NEW YORK BRANCH NEW YORK, New York, United States Related to adviser: Yes

Marketer CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States 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 1266

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

Filing source

Form ADV 1445165 · Jul 14, 2020 · Schedule D 7.B.(1), fund 805-6873724412

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
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