Form D · Other Investment Fund

IVA OVERSEAS FUND (CAYMAN) LTD

New York, NY · CIK 0001429008

Offering snapshot reported Mar 30, 2020 · SEC filing

Reported sold: $144M
Investors reported: 17
Minimum accepted: $100K
First sale: Dec 31, 2007

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 investors22 → 17

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Mar 30, 2020	Amendment	$143,862,930	$0vs Mar 22, 2019	17	SEC filing
Mar 22, 2019	Amendment	$143,862,930	$19,751,808vs Mar 30, 2018	22	SEC filing
Mar 30, 2018	Amendment	$124,111,122	$2,550,000vs Mar 31, 2017	21	SEC filing
Mar 31, 2017	Amendment	$121,561,122	$1,750,000vs May 17, 2016	22	SEC filing
May 17, 2016	Amendment	$119,811,122	$0vs Mar 31, 2016	22	SEC filing
Mar 31, 2016	Amendment	$119,811,122	$2,991,897vs Apr 1, 2015	22	SEC filing
Apr 1, 2015	Amendment	$116,819,225	$9,247,000vs Apr 1, 2014	22	SEC filing
Apr 1, 2014	Amendment	$107,572,225	$340,000vs Apr 1, 2013	20	SEC filing
Apr 1, 2013	Amendment	$107,232,225	$18,295,050vs Apr 2, 2012	35	SEC filing
Apr 2, 2012	Amendment	$88,937,175	$82,005,175vs Mar 17, 2009	35	SEC filing
Mar 17, 2009	Amendment	$6,932,000	No comparison	Not reported	SEC filing
Mar 3, 2008	Paper	Not reported	No comparison	Not reported	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: $535K
Form D file number: 021-115554

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Stifel Nicolaus & Co.	793

Source: Form D, filed Mar 30, 2020. 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

IVA OVERSEAS FUND (CAYMAN) LIMITED

Investment adviser: INTERNATIONAL VALUE ADVISERS, LLC

Gross asset value: $53.5M
Beneficial owners: 17
ADV minimum commitment: $100K

Reported in Form ADV on Jan 12, 2021. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator STATE STREET CAYMAN TRUST COMPANY, LTD. GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG, LLP GRAND CAYMAN, Cayman Islands

Custodian STATE STREET BANK & TRUST BOSTON, Massachusetts, United States Related to adviser: No

Marketer STIFEL, NICOLAUS & COMPANY, INCORPORATED ANDERSON, Indiana, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

ERNST & YOUNG, LLP
PCAOB 1655

STATE STREET BANK & TRUST
LEI 571474TGEMMWANRLN572

STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD 793 · SEC 801-10746

Filing source

Form ADV 1479069 · Jan 12, 2021 · Schedule D 7.B.(1), fund 805-1471667514

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
Sean Flynn	Director
Patrick Harrigan	Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

717 Fifth Avenue 10 Th Floor
New York, NY, 10022