Form D · Hedge Fund

K2 Diversified Fund Ltd

Stamford, CT · CIK 0001400285

Offering snapshot reported Oct 16, 2013 · SEC filing

Reported sold
$411M
Indefinite offering
Investors reported
5
Form D · investor count
Minimum accepted
$1M
Reported outside-investor minimum
First sale
May 1, 2007
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$206M$411MMay 10, 2007Oct 13, 2009: $319,311,625.00Oct 13, 2009Oct 13, 2010: $53,822,797.00Oct 7, 2011: $78,016,474.00Oct 7, 2011Oct 16, 2012: $411,200,660.00Oct 16, 2013: $411,182,781.00Oct 16, 2013

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$53,822,797 → $411,182,781
  • Reported investors7 → 5

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Oct 16, 2013Amendment$411,182,781$357,359,984vs Oct 13, 20105SEC filing
Oct 16, 2012Amendment$411,200,660$357,377,863vs Oct 13, 20106SEC filing
Oct 7, 2011Amendment$78,016,474$24,193,677vs Oct 13, 20108SEC filing
Oct 13, 2010Amendment$53,822,797No comparison7SEC filing
Oct 13, 2009Amendment$319,311,625No comparison9SEC filing
May 10, 2007PaperNot reportedNo comparisonNot reportedSEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$0 (estimated)
Finders' fees
$0 (estimated)
Form D file number
021-103201
Minimum investment listed above may be waived at the discretion of the Directors.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Highland Information Services Inc.25873

Source: Form D, filed Oct 16, 2013. 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

K2 DIVERSIFIED FUND, LTD.

Investment adviser: K2/D&S MANAGEMENT CO., L.L.C.

Gross asset value
$0
Beneficial owners
1
ADV minimum commitment
$1M

Reported in Form ADV on Nov 22, 2016. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator HEDGESERV LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ERNST & YOUNG STAMFORD, Connecticut, United States
Custodian THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Related to adviser: No
Marketer REGIONS BANK BIRMINGHAM, Alabama, 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
Filing source

Form ADV 1051998 · Nov 22, 2016 · Schedule D 7.B.(1), fund 805-7361902192

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
Nolan T. Altman Director
Bjorn A. Davis Executive
William A. Douglass Director
John T. Ferguson Director
John P. Hornbostel Director
N/A K2/D&S Management Co., L.L.C. Executive
David C. Saunders Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
300 Atlantic Street 12th Floor
Stamford, CT, 06901