Form D · Hedge Fund

III Convex Strategies Fund Ltd.

Camana Bay, Grand Cayman, E9 · CIK 0001649300

Offering snapshot reported Mar 22, 2023 · SEC filing

Reported sold
$286M
Indefinite offering
Investors reported
11
Form D · investor count
Minimum accepted
$1M
Reported outside-investor minimum
First sale
Jun 1, 2015
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$223M$446MJul 29, 2015: $100,000,000.00Jul 29, 2015Jul 29, 2016: $100,000,000.00Nov 22, 2016: $102,661,626.00Nov 22, 2017: $216,761,626.00Nov 27, 2018: $223,611,626.00Nov 27, 2019: $315,701,893.00Nov 25, 2020: $445,819,394.00Dec 2, 2021: $445,819,394.00Mar 22, 2023: $286,053,226.00Mar 22, 2023

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$445,819,394 → $286,053,226

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Mar 22, 2023Amendment$286,053,226-$159,766,168vs Dec 2, 202111SEC filing
Dec 2, 2021Amendment$445,819,394$0vs Nov 25, 202011SEC filing
Nov 25, 2020Amendment$445,819,394$130,117,501vs Nov 27, 201911SEC filing
Nov 27, 2019Amendment$315,701,893$92,090,267vs Nov 27, 201810SEC filing
Nov 27, 2018Amendment$223,611,626$6,850,000vs Nov 22, 20179SEC filing
Nov 22, 2017Amendment$216,761,626$114,100,000vs Nov 22, 20165SEC filing
Nov 22, 2016Amendment$102,661,626$2,661,626vs Jul 29, 20162SEC filing
Jul 29, 2016Amendment$100,000,000$0vs Jul 29, 20151SEC filing
Jul 29, 2015Initial$100,000,000No comparison1SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$3.54M (estimated)
Finders' fees
$0
Form D file number
021-244711
Norfolk Markets, LLC and Frontier Solutions, LLC no longer act as selling agents and are no longer paid commissions.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
AVM, L.P.16710
Norfolk Markets, LLC103797
James River Securities Corp.38477
Anchor Asset Management LLC128344
Frontier Solutions, LLC136102
Tangent Capital Partners, LLC146999

Source: Form D, filed Mar 22, 2023. 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

III CONVEX STRATEGIES FUND LTD.

Investment adviser: III CAPITAL MANAGEMENT

Gross asset value
Not reported
Beneficial owners
Not reported
ADV minimum commitment
Not reported

Reported in Form ADV on Nov 30, 2023. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

No provider names available in this fund's imported disclosure.

Provider details
Annual audit
Not reported
Prime brokers
Not reported
Custodians
Not reported
Administrator other than the adviser
Not reported
External marketing
Not reported
Filing source

Form ADV 1801171 · Nov 30, 2023 · Schedule D 7.B.(1), fund 805-7753853316

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
Yelena Anuar Executive
David Bree Director
Lester N. Coyle Executive
Francis D. Feeney Executive
Garth Friesen Executive
Andrew Galloway Director
Karen Hansen Executive
Robert Hart Executive
N/A Iii Capital Management Executive
Deep Kumar Executive
Paras Malde Director
William Mc Cauley Executive
Laura P. Mc Grath Director
Gonen Minuskin Executive
Jon Morgan Director
Jonathan Morgan Director
Warren B. Mosler Executive
Thomas Olofsson Executive
Christian Pellegrino Executive
Brandon Pellegrino Executive
Mark Perry Executive
Jason Prest Executive
Robert A. Printz Executive
Michael Reger Executive
Antonine Tan Executive
Clifford G. Viner Executive
Jay Wells Executive
Scott L. Wyler Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
Waystone Governance Ltd. Suite 5 B201, 2nd Floor, One Nexus Way
Camana Bay, Grand Cayman, E9, KY1-1103