Form D · Hedge Fund

KDC Alpha Securities Fund, LP

New York, NY · CIK 0001472337

Offering snapshot reported Jan 31, 2012 · SEC filing

Reported sold
$114M
Indefinite offering
Investors reported
70
Form D · investor count
Minimum accepted
$200K
Reported outside-investor minimum
First sale
Jan 2, 2009
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$57.2M$114MOct 8, 2009: $29,551,023.00Oct 8, 2009Oct 7, 2010: $57,655,532.00Oct 7, 2010Nov 12, 2010: $58,432,918.00Nov 22, 2011: $94,173,830.00Jan 31, 2012: $114,490,228.00Jan 31, 2012

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$94,173,830 → $114,490,228
  • Reported investors60 → 70

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jan 31, 2012Amendment$114,490,228$20,316,398vs Nov 22, 201170SEC filing
Nov 22, 2011Amendment$94,173,830$35,740,912vs Nov 12, 201060SEC filing
Nov 12, 2010Amendment$58,432,918$777,386vs Oct 7, 201035SEC filing
Oct 7, 2010Amendment$57,655,532$28,104,509vs Oct 8, 200932SEC filing
Oct 8, 2009Initial$29,551,023No comparison14SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$120K
Form D file number
021-135067
This is a continuous offering. The amount disclosed in (b) is the gross amount of interests sold by the Issuer and does not include redemptions by investors.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
KJM Securities, Inc.20277
KDC Securities, LP10019

Source: Form D, filed Jan 31, 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

KDC ALPHA SECURITIES FUND, LP

Investment adviser: KELLNER MANAGEMENT, LP

Gross asset value
$101M
Beneficial owners
50
ADV minimum commitment
$1M

Reported in Form ADV on Aug 21, 2012. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator ALPHAMETRIX GROUP. LLC CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor PRICEWATERHOUSECOOPERS LLP NEW YORK, New York, United States
Marketer KDC SECURITIES, LP NEW YORK, New York, United States Related to adviser: Yes
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
No
Administrator other than the adviser
Yes
External marketing
Yes

KDC SECURITIES, LP
CRD 10019 · SEC 8-25976

Filing source

Form ADV 664937 · Aug 21, 2012 · Schedule D 7.B.(1), fund 805-2496470475

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
Glen Friedman Executive
N/A N/A Kdc Investment Management, Lp Promoter
George A. Kellner Executive
N/A N/A Kellner Capital, Llc Promoter
N/A N/A Kellner Di Leo & Co., Llc Promoter
N/A N/A Kellner Management, Lp Promoter
Domenick Migliorato Executive
Rory Zirpolo Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
C/O Kellner Capital, Llc 900 Third Avenue, Suite 1000
New York, NY, 10022