Form D · Hedge Fund

K2 LONG SHORT FUND LLC

Stamford, CT · CIK 0001231119

Offering snapshot reported May 2, 2019 · SEC filing

Reported sold: $226M
Investors reported: 2
Minimum accepted: $250K
First sale: Apr 1, 2003

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 sold$225,019,287 → $226,283,742

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
May 2, 2019	Amendment	$226,283,742	$1,264,455vs Apr 30, 2018	2	SEC filing
Apr 30, 2018	Amendment	$225,019,287	-$11,478,143vs Mar 9, 2017	2	SEC filing
Mar 9, 2017	Amendment	$236,497,430	-$3,708,805vs Feb 22, 2016	17	SEC filing
Feb 22, 2016	Amendment	$240,206,235	-$282,673,736vs Apr 15, 2011	23	SEC filing
Feb 12, 2015	Amendment	$360,481,786	-$162,398,185vs Apr 15, 2011	27	SEC filing
Feb 10, 2014	Amendment	$356,543,524	-$166,336,447vs Apr 15, 2011	32	SEC filing
Apr 15, 2013	Amendment	$371,600,644	-$151,279,327vs Apr 15, 2011	42	SEC filing
Apr 13, 2012	Amendment	$436,301,087	-$86,578,884vs Apr 15, 2011	74	SEC filing
Apr 15, 2011	Amendment	$522,879,971	-$47,293,989vs Apr 15, 2010	101	SEC filing
Apr 15, 2010	Amendment	$570,173,960	No comparison	123	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: $0
Form D file number: 021-54965

JP Morgan Securities Inc is no longer registered as a broker and no longer receives sales commissions from the Issuer.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Wachovia Alternative Strategies Group, Inc	133204
JP Morgan Securities Inc	18718
Citigroup Global Markets Inc.	7059
Merrill Lynch Pierce Fenner & Smith Incorporated	7691

Source: Form D, filed May 2, 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

K2 LONG SHORT FUND, LLC

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

Gross asset value: $7.17M
Beneficial owners: 2
ADV minimum commitment: $250K

Reported in Form ADV on Aug 10, 2021. 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 LTD CAMAN BAY, Cayman Islands

Custodian THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Related to adviser: No

Marketer CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States Related to adviser: No

Marketer FRANKLIN TEMPLETON FINANCIAL SERVICES CORP. SAN MATEO, California, United States Related to adviser: Yes

Marketer HARRIS MYCFO INVESTMENT ADVISORY SERVICES LLC SAN FRANCISCO, California, United States Related to adviser: No

Marketer J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No

Marketer MERRILL LYNCH INTERNATIONAL & CO. C.V. CURACAO, Netherlands Antilles Related to adviser: No

Marketer MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED NEW YORK, New York, United States Related to adviser: No

Marketer MORGAN STANLEY 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

ERNST & YOUNG LTD
PCAOB 42

CITIGROUP GLOBAL MARKETS INC.
CRD 7059 · SEC 801-3387

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
CRD 13594 · SEC 8-29504

J.P. MORGAN SECURITIES LLC
CRD 79 · SEC 801-3702

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD 7691 · SEC 801-14235

MORGAN STANLEY
CRD 149777 · SEC 801-70103

Filing source

Form ADV 1558386 · Aug 10, 2021 · Schedule D 7.B.(1), fund 805-8719124726

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
Benjamin C. Browning	Executive
Bjorn A. Davis	Executive
William A. Douglass	Executive
John T. Ferguson	Executive
Madison S. Gulley	Executive
John P. Hornbostel	Executive
N/A K2 Advisors, L.L.C.	Executive
N/A K2/D&S Management Co., L.L.C.	Executive
David C. Saunders	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

300 Atlantic Street 12th Floor
Stamford, CT, 06901