Form D · Other Investment Fund

Kotak Fixed Term Fund-XII Segregated Portfolio

Port Louis, O4 · CIK 0001698817

Offering snapshot reported Apr 8, 2019 · SEC filing

Reported sold
$325K
Indefinite offering
Investors reported
2
Form D · investor count
Minimum accepted
$100K
Reported outside-investor minimum
First sale
Mar 13, 2017
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$346K$692KFeb 28, 2017Apr 13, 2018: $692,394.00Apr 13, 2018Apr 5, 2019: $325,322.00Apr 8, 2019: $325,322.00Apr 8, 2019

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 investors0 → 2

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Apr 8, 2019Amendment$325,322No comparison2SEC filing
Apr 5, 2019Amendment$325,322No comparison2SEC filing
Apr 13, 2018Amendment$692,394No comparison2SEC filing
Feb 28, 2017InitialYet 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
$4.67K
Finders' fees
$0
Form D file number
021-281441
The above figure represents the total sales commissions earned by Kotak Mahindra Inc. as the US placement agent for the Fund between April 2018 and March 2019.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Kotak Mahindra Inc.NoneKotak Mahindra Inc. · CRD 47251

Source: Form D, filed Apr 8, 2019. 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 OPPORTUNITES FUND SPC - KOTAK FIXED TERM FUND XII SEGREGATED PORTFOLIO

Investment adviser: KOTAK MAHINDRA (INTERNATIONAL) LIMITED

Gross asset value
$2.02M
Beneficial owners
20
ADV minimum commitment
$200K

Reported in Form ADV on Jun 28, 2019. 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

PRICEWATERHOUSECOOPERS
PCAOB 1266

STANDARD CHARTERED BANK (SINGAPORE) LIMITED
LEI 549300MDYVVHJ8D1DW28

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

Filing source

Form ADV 1329703 · Jun 28, 2019 · Schedule D 7.B.(1), fund 805-6987732344

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
Chatrasingh Joyram Director
Mamode Izam Nathadkhan Director
Ruchit Puri Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

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