Form D · Hedge Fund
IAM Mini-Fund 999 Ltd
Grand Cayman, E9 · CIK 0001533916
Offering snapshot reported Mar 7, 2016 · SEC filing
- Reported sold
- $101M Indefinite offering
- Investors reported
- 2 Form D · investor count
- Minimum accepted
- $1M Reported outside-investor minimum
- First sale
- Sep 1, 2011 As reported in this filing
Fundraising history
Reported soldDates 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$98,000,000 → $101,000,000
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Mar 7, 2016 | Amendment | $101,000,000 | $3,000,000vs Mar 6, 2015 | 2 | SEC filing |
| Mar 6, 2015 | Amendment | $98,000,000 | $6,000,000vs Mar 6, 2014 | 2 | SEC filing |
| Mar 6, 2014 | Amendment | $92,000,000 | $42,000,000vs Jul 24, 2012 | 2 | SEC filing |
| Jul 24, 2012 | Amendment | $50,000,000 | $0vs Mar 6, 2012 | 1 | SEC filing |
| Mar 6, 2012 | Amendment | $50,000,000 | No comparison | 1 | SEC filing |
| Oct 31, 2011 | Initial | Yet to sell | No comparison | 0 | SEC filing |
Offering details
- Securities
- Pooled investment fund
- Exemptions
- 06b, 3C, 3C.7
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $0
- Finders' fees
- $0
- Form D file number
- 021-168043
The Sponsor and the Advisor may compensate any registered broker-dealer by payment of a portion of their management and incentive fees.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| AVM, L.P. | 16710 | |
| James River Securities Corp. | 38477 |
Source: Form D, filed Mar 7, 2016. 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
IAM MINI-FUND 999 LIMITED
Investment adviser: III CAPITAL MANAGEMENT
- Gross asset value
- $58.3M
- Beneficial owners
- 1
- ADV minimum commitment
- $1M
Reported in Form ADV on Apr 11, 2016. Fund assets and beneficial owners measure different things from Form D sales and investors.
Service providers
Provider details
- Annual audit
- Yes
- Prime brokers
- Yes
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- Yes
JAMES RIVER SECURITIES CORP.
CRD 38477 · SEC 8-48270
CITIGROUP GLOBAL MARKETS INC.
CRD 7059 · SEC 8-8177
CREDIT SUISSE SECURITIES (USA) LLC
CRD 816 · SEC 8-422
Filing source
Form ADV 1009206 · Apr 11, 2016 · Schedule D 7.B.(1), fund 805-3856921269
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.
| Name | Reported role |
|---|---|
| Kevin M. Brandt | Director, Executive |
| John Cieslowski | Executive |
| Dean Clinton | Director |
| Lester N. Coyle | Executive |
| Michael D'souza | Director |
| Francis D. Feeney | Executive |
| John Franklin | Director |
| Garth Friesen | Executive |
| Robert Hart | Executive |
| N/A Iii Capital Management | Executive |
| N/A Iii Offshore Advisors | Promoter |
| N/A James River Capital Corp. | Executive |
| Deep Kumar | Executive |
| William P. Mc Cauley | Executive |
| Bill Mc Cauley | Executive |
| Laura P. Mc Grath | Director |
| Warren B. Mosler | Executive |
| Thomas Olofsson | Executive |
| Ben Pershick | Director |
| Robert A. Printz | Executive |
| Michael L. Reger | Executive |
| Paul H. Saunders | Executive |
| Sanjiv Sharma | Executive |
| Clifford G. Viner | Executive |
| Canover Watson | Director |
| Scott L. Wyler | Executive |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Grand Cayman, E9, KY1-1104