Form D · Hedge Fund

K2 STB Fund Ltd

Grand Cayman, E9 · CIK 0001418838

Offering snapshot reported Apr 19, 2012 · SEC filing

Reported sold: $0
Investors reported: 0
Minimum accepted: $100K
First sale: Nov 1, 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 sold$40,000,000 → $0
Reported investors1 → 0

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Apr 19, 2012	Amendment	$0	-$40,000,000vs Apr 19, 2011	0	SEC filing
Apr 19, 2011	Amendment	$40,000,000	$0vs Apr 19, 2010	1	SEC filing
Apr 19, 2010	Amendment	$40,000,000	No comparison	1	SEC filing
Mar 13, 2009	Paper	Not reported	No comparison	Not reported	SEC filing
Nov 15, 2007	Paper	Not reported	No comparison	Not reported	SEC filing

Offering details

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

Sales commissions: $710K (estimated)
Finders' fees: $0
Form D file number: 021-111221

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Deutsche Bank	2525

Source: Form D, filed Apr 19, 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 STB FUND, LTD.

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

Gross asset value: $363K
Beneficial owners: 1
ADV minimum commitment: $100K

Reported in Form ADV on May 30, 2018. 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 DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, 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
PCAOB 42

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 801-9638

Filing source

Form ADV 1217074 · May 30, 2018 · Schedule D 7.B.(1), fund 805-2979697461

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
David C. Saunders	Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

Walkers House, 87 Mary Street George Town
Grand Cayman, E9, KY1-9002