Form D · Hedge Fund

K2 Overseas Long Short Fund I Ltd

Stamford, CT · CIK 0001334147

Offering snapshot reported Oct 16, 2012 · SEC filing

Reported sold: $69.1M
Investors reported: 14
Minimum accepted: $500K
First sale: May 1, 2005

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$102,361,921 → $69,124,836
Reported investors28 → 14

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Oct 16, 2012	Amendment	$69,124,836	-$33,237,085vs Oct 12, 2010	14	SEC filing
Oct 7, 2011	Amendment	$92,915,743	-$9,446,178vs Oct 12, 2010	18	SEC filing
Oct 12, 2010	Amendment	$102,361,921	No comparison	28	SEC filing
Oct 9, 2009	Amendment	$184,756,820	No comparison	22	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06, 3C, 3C.7
Duration over one year: Yes
Business combination: No

Sales commissions: $2.63M
Finders' fees: $0 (estimated)
Form D file number: 021-79347

Minimum investment listed above may be reduced at the discretion of the Board of Directors of the Issuer.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
JPMorgan Securities Inc.	16999
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC	11025

Source: Form D, filed Oct 16, 2012. 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 OVERSEAS LONG SHORT FUND I, LTD.

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

Gross asset value: $0
Beneficial owners: 0
ADV minimum commitment: $500K

Reported in Form ADV on Nov 24, 2015. 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 CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, 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 REGIONS BANK BIRMINGHAM, Alabama, United States Related to adviser: No

Marketer UBS AG LONDON, United Kingdom Related to adviser: No

Provider details

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

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

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

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

Filing source

Form ADV 958637 · Nov 24, 2015 · Schedule D 7.B.(1), fund 805-9077079159

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
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