Form D · Hedge Fund

III Fund Ltd.

Grand Cayman, E9 · CIK 0001469720

Offering snapshot reported Feb 22, 2019 · SEC filing

Reported sold
$351M
Indefinite offering
Investors reported
43
Form D · investor count
Minimum accepted
$1M
Reported outside-investor minimum
First sale
Nov 1, 1994
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$175M$351MAug 6, 2009: $109,578,922.00Aug 6, 2009Sep 15, 2010: $131,287,526.00Oct 28, 2011: $135,651,765.00Mar 6, 2012: $136,383,349.00Mar 6, 2013: $165,875,321.00Feb 20, 2014: $169,834,136.00Feb 20, 2015: $196,850,379.00Feb 22, 2016: $213,921,628.00Feb 22, 2017: $334,468,340.00Feb 22, 2018: $347,340,926.00Feb 22, 2019: $350,672,347.00Feb 22, 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.

  • Reported sold$347,340,926 → $350,672,347

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Feb 22, 2019Amendment$350,672,347$3,331,421vs Feb 22, 201843SEC filing
Feb 22, 2018Amendment$347,340,926$12,872,586vs Feb 22, 201743SEC filing
Feb 22, 2017Amendment$334,468,340$120,546,712vs Feb 22, 201638SEC filing
Feb 22, 2016Amendment$213,921,628$17,071,249vs Feb 20, 201529SEC filing
Feb 20, 2015Amendment$196,850,379$27,016,243vs Feb 20, 201428SEC filing
Feb 20, 2014Amendment$169,834,136$3,958,815vs Mar 6, 201325SEC filing
Mar 6, 2013Amendment$165,875,321$29,491,972vs Mar 6, 201225SEC filing
Mar 6, 2012Amendment$136,383,349$731,584vs Oct 28, 201120SEC filing
Oct 28, 2011Amendment$135,651,765$4,364,239vs Sep 15, 201019SEC filing
Sep 15, 2010Amendment$131,287,526$21,708,604vs Aug 6, 200916SEC filing
Aug 6, 2009Initial$109,578,922No comparison12SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$7.44M (estimated)
Finders' fees
$0
Form D file number
021-133422
An upfront sales commission of 2% may be paid to selling agents. The offering commenced prior to 3/15/09; Item 15 reflects the requested info. from such date. Maymont Partners is no longer registered as a broker-dealer and no longer receives sales comm.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
AVM, L.P.16710
Anchor Asset Management LLC128344
UBS Financial Services Inc.8174
Maymont Partners, Inc.120536
James River Securities Corp.38477
Norfolk Markets, LLC103797
Frontier Solutions, LLC136102
H.C. Wainwright & Co., LLC375

Source: Form D, filed Feb 22, 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

III 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 Jun 6, 2019. 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 1328166 · Jun 6, 2019 · Schedule D 7.B.(1), fund 805-9069804822

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
Kevin M. Brandt Director, Executive
David Bree Director
John Cieslowski Executive
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
N/A Iii Offshore Advisors Executive
N/A James River Capital Corp. Executive
Deep Kumar Executive
Basil Mavroleon Director
William P. Mc Cauley Executive
Bill Mc Cauley Executive
Laura P. Mc Grath Director
Warren B. Mosler Executive
Thomas Olofsson Executive
Brandon Pellegrino Executive
Mark Perry Executive
Jason Prest Executive
Robert A. Printz Executive
Michael L. Reger Executive
Sharma Sanjiv Executive
Paul Saunders Director, 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:
Dms Corporate Services Ltd. Dms House, 20 Genesis Close
Grand Cayman, E9, KY1-1108