Form D · Other Investment Fund

Kotak Fixed Term Fund-IX Segregated Portfolio Co

Port Louis, O4 · CIK 0001684141

Offering snapshot reported Jun 11, 2020 · SEC filing

Reported sold
$188K
Indefinite offering
Investors reported
3
Form D · investor count
Minimum accepted
$200K
Reported outside-investor minimum
First sale
Nov 1, 2016
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$1.15M$2.29MSep 12, 2016Jun 1, 2017: $2,294,584.00Jun 1, 2017Jun 15, 2018: $1,441,712.00Jun 15, 2018Jun 6, 2019: $112,320.00Jun 6, 2019Jun 7, 2019: $112,320.00Jun 11, 2020: $187,764.00Jun 11, 2020

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$2,294,584 → $187,764

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jun 11, 2020Amendment$187,764-$2,106,820vs Jun 1, 20173SEC filing
Jun 7, 2019Amendment$112,320-$2,182,264vs Jun 1, 20173SEC filing
Jun 6, 2019Amendment$112,320-$2,182,264vs Jun 1, 20173SEC filing
Jun 15, 2018Amendment$1,441,712-$852,872vs Jun 1, 20173SEC filing
Jun 1, 2017Amendment$2,294,584No comparison3SEC filing
Sep 12, 2016InitialYet to sellNo comparison0SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$233
Finders' fees
$0
Form D file number
021-270435
The above figure represents the Distribution Fees paid to Kotak Mahindra Inc. by the Fund between June 2019 and May 2020, for placing the fund in the USA.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Kotak Mahindra Inc.47251

Source: Form D, filed Jun 11, 2020. 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

K OPPORTUNITIES FUND SPC - KOTAK FIXED TERM FUND IX SEGREGATED PORTFOLIO

Investment adviser: KOTAK MAHINDRA (INTERNATIONAL) LIMITED

Gross asset value
$624K
Beneficial owners
12
ADV minimum commitment
$200K

Reported in Form ADV on Jun 29, 2021. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator IQ EQ FUND SERVICES (MAURITIUS) LTD PORT LOUIS, Mauritius Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor PRICEWATERHOUSECOOPERS CAYMAN ISLANDS, Cayman Islands
Custodian STANDARD CHARTERED BANK (SINGAPORE) LIMITED SINGAPORE, Singapore Related to adviser: No
Marketer KOTAK MAHINDRA, INC. NEW YORK, New York, United States Related to adviser: Yes
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

STANDARD CHARTERED BANK (SINGAPORE) LIMITED
LEI 549300MDYVVHJ8D1DW28

KOTAK MAHINDRA, INC.
CRD 47251 · SEC 8-51740

Filing source

Form ADV 1549229 · Jun 29, 2021 · Schedule D 7.B.(1), fund 805-2457188841

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
Rajesh Appadoo Director
Gijo Joseph Director
Chatrasingh Joyram Director
Mamode Izam Nathadkhan Director
Ruchit Puri Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
C/O Iqeq Fund Services (Mauritius) Ltd 33 Edith Cavell Street
Port Louis, O4, 11324