Form D · Hedge Fund

K2 Overseas Long Short Fund Ltd

Road Town, Tortola, D8 · CIK 0001319592

Offering snapshot reported Nov 21, 2018 · SEC filing

Reported sold: $202M
Investors reported: 13
Minimum accepted: $100K
First sale: Mar 1, 2004

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$157,974,476 → $202,057,715
Reported investors15 → 13

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Nov 21, 2018	Amendment	$202,057,715	$44,083,239vs Aug 25, 2017	13	SEC filing
Aug 25, 2017	Amendment	$157,974,476	-$17,756,840vs Aug 22, 2016	15	SEC filing
Aug 22, 2016	Amendment	$175,731,316	-$97,682,146vs Mar 16, 2011	23	SEC filing
Aug 20, 2015	Amendment	$171,097,962	-$102,315,500vs Mar 16, 2011	21	SEC filing
Mar 10, 2015	Amendment	$170,795,905	-$102,617,557vs Mar 16, 2011	24	SEC filing
Mar 21, 2014	Amendment	$169,595,985	-$103,817,477vs Mar 16, 2011	24	SEC filing
Mar 19, 2013	Amendment	$228,702,842	-$44,710,620vs Mar 16, 2011	21	SEC filing
Mar 20, 2012	Amendment	$371,665,764	$98,252,302vs Mar 16, 2011	30	SEC filing
Mar 16, 2011	Amendment	$273,413,462	$28,906,277vs Mar 16, 2010	27	SEC filing
Mar 16, 2010	Amendment	$244,507,185	No comparison	24	SEC filing
Apr 22, 2008	Paper	Not reported	No comparison	Not reported	SEC filing
May 13, 2005	Paper	Not reported	No comparison	Not reported	SEC filing
Mar 1, 2005	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: $70.3K (estimated)
Finders' fees: $0
Form D file number: 021-74610

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Morgan Stanley Smith Barney, LLC	149777
Wells Fargo Advisors Financial Network LLC	11025
J.P. Morgan Securities LLC	79
Merrill Lynch Pierce Fenner & Smith, Inc.	7691

Source: Form D, filed Nov 21, 2018. 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, LTD.

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

Gross asset value: $5.81M
Beneficial owners: 13
ADV minimum commitment: $250K

Reported in Form ADV on Jun 1, 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 LLP STAMFORD, Connecticut, United States

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

Marketer BMO FAMILY OFFICE, LLC PALO ALTO, California, United States Related to adviser: No

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

Marketer DEUTSCHE BANK AG, LONDON BRANCH LONDON, United Kingdom Related to adviser: No

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

Marketer FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LIMITED LONDON, United Kingdom Related to adviser: Yes

Marketer J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States 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

Marketer WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC RICHMOND, Virginia, 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 42

BMO FAMILY OFFICE, LLC
CRD 110264 · SEC 801-56868

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

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

FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LIMITED
CRD 111360 · SEC 801-55170

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

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
CRD 11025 · SEC 801-57434

Filing source

Form ADV 1522945 · Jun 1, 2021 · Schedule D 7.B.(1), fund 805-3190014994

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
Nolan T. Altman	Director
Reeve Kelsey Biggers, Jr.	Director, 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 Sargison	Director
David C. Saunders	Director
Gary P. Watson	Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

Sea Meadow House
Road Town, Tortola, D8, VG 1110