Form D · Hedge Fund
III Global Ltd.
Grand Cayman, E9 · CIK 0001469719
Offering snapshot reported Feb 22, 2017 · SEC filing
- Reported sold
- $81.6M Indefinite offering
- Investors reported
- 10 Form D · investor count
- Minimum accepted
- $1M Reported outside-investor minimum
- First sale
- May 1, 1995 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.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Feb 22, 2017 | Amendment | $81,640,201 | $0vs Feb 22, 2016 | 10 | SEC filing |
| Feb 22, 2016 | Amendment | $81,640,201 | $0vs Feb 20, 2015 | 10 | SEC filing |
| Feb 20, 2015 | Amendment | $81,640,201 | $0vs Feb 20, 2014 | 10 | SEC filing |
| Feb 20, 2014 | Amendment | $81,640,201 | $0vs Mar 6, 2013 | 10 | SEC filing |
| Mar 6, 2013 | Amendment | $81,640,201 | $0vs Mar 6, 2012 | 10 | SEC filing |
| Mar 6, 2012 | Amendment | $81,640,201 | $0vs Oct 28, 2011 | 10 | SEC filing |
| Oct 28, 2011 | Amendment | $81,640,201 | $0vs Sep 15, 2010 | 10 | SEC filing |
| Sep 15, 2010 | Amendment | $81,640,201 | $0vs Aug 6, 2009 | 10 | SEC filing |
| Aug 6, 2009 | Initial | $81,640,201 | No comparison | 10 | SEC filing |
Offering details
- Securities
- Pooled investment fund
- Exemptions
- 06b, 3C, 3C.7
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $272K (estimated)
- Finders' fees
- $0
- Form D file number
- 021-133421
An upfront selling commission of 2% may be paid to selling agents - see Item 12. The current offering commenced prior to 3/15/2009; Item 15 reflects the requested information from such date.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| AVM, L.P. | 16710 | |
| Anchor Asset Management LLC | 128344 | |
| UBS Financial Services Inc. | 8174 | |
| Citigroup Global Markets Inc. | 7059 | |
| James River Securities Corp. | 38477 | |
| Frontier Solutions, LLC | 136102 | |
| Norfolk Markets, LLC | 103797 |
Source: Form D, filed Feb 22, 2017. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
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 Brandt | Director, Executive |
| David Bree | Director |
| John Cieslowski | Executive |
| Lester N. Coyle | Executive |
| Francis Feeney | Executive |
| Garth Friesen | Executive |
| Andrew Galloway | Director |
| Robert Hart | Executive |
| N/A Iii Capital Management | Executive |
| N/A Iii Offshore Advisors | Executive |
| N/A James River Capital Corp. | Executive |
| Deep P. Kumar | Executive |
| Basil R.N. Marroleon | Director |
| Basil Mavroleon | Director |
| William P. Mc Cauley | Executive |
| Bill Mc Cauley | Executive |
| Laura P. Mc Grath | Director |
| Warren B. Mosler | Executive |
| Thomas Olofsson | Executive |
| Robert Printz | Executive |
| Michael Reger | Executive |
| Sharma Sanjiv | Executive |
| Paul Saunders | Director, Executive |
| Sanjiv Sharma | Executive |
| Clifford G. Viner | Executive |
| Canover Watson | Director |
| Scott Wyler | Executive |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Grand Cayman, E9, KY1-1108