Form D · Hedge Fund

KSA Capital Fund Ltd

Grand Cayman, E9 · CIK 0001297812

Offering snapshot reported May 4, 2017 · SEC filing

Reported sold
$70M
Indefinite offering
Investors reported
20
Form D · investor count
Minimum accepted
$50K
Reported outside-investor minimum
First sale
Mar 24, 2004
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$35M$70MMar 23, 2009: $31,847,900.00Mar 23, 2009Feb 12, 2010: $59,000,000.00Feb 10, 2011: $59,000,000.00Feb 10, 2012: $57,000,000.00Feb 11, 2013: $57,750,000.00May 13, 2013: $58,500,000.00May 12, 2014: $67,653,300.00May 12, 2015: $67,653,300.00May 12, 2016: $67,653,300.00May 4, 2017: $69,995,200.00May 4, 2017

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$67,653,300 → $69,995,200
  • Reported investors16 → 20
  • Minimum accepted$100,000 → $50,000

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
May 4, 2017Amendment$69,995,200$2,341,900vs May 12, 201620SEC filing
May 12, 2016Amendment$67,653,300$0vs May 12, 201516SEC filing
May 12, 2015Amendment$67,653,300$0vs May 12, 201416SEC filing
May 12, 2014Amendment$67,653,300$9,153,300vs May 13, 201316SEC filing
May 13, 2013Amendment$58,500,000$750,000vs Feb 11, 20137SEC filing
Feb 11, 2013Amendment$57,750,000$750,000vs Feb 10, 20124SEC filing
Feb 10, 2012Amendment$57,000,000-$2,000,000vs Feb 10, 20112SEC filing
Feb 10, 2011Amendment$59,000,000$0vs Feb 12, 20103SEC filing
Feb 12, 2010Amendment$59,000,000$27,152,100vs Mar 23, 20094SEC filing
Mar 23, 2009Amendment$31,847,900No comparisonNot reportedSEC filing
Mar 27, 2008PaperNot reportedNo comparisonNot reportedSEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.1
Duration over one year
Yes
Business combination
No
Sales commissions
$0 (estimated)
Finders' fees
$0 (estimated)
Form D file number
021-67531
The recipients listed in Item 12 are paid an amount equal to a percentage of the management fee paid to the Investment Manager (or its affiliate) attributable to certain assets under management and/or the incentive allocation.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Oppenheimer & Co., Inc.249
Family Management Securities, LLC44319
Papamarkou Wellner & Co., Inc.10963
Primary Capital, LLC127921

Source: Form D, filed May 4, 2017. 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

KSA CAPITAL FUND, LTD.

Investment adviser: KSA CAPITAL MANAGEMENT, LLC

Gross asset value
$38.6M
Beneficial owners
3
ADV minimum commitment
$1M

Reported in Form ADV on Mar 31, 2017. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator SS&C TECHNOLOGIES, INC. WINDSOR, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG LLP NEW YORK, New York, United States
Custodian BARCLAYS CAPITAL INC. NEW YORK, New York, United States Related to adviser: No
Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No
Custodian PERSHING LLC NEW YORK, New York, United States Related to adviser: No
Marketer FAMILY MANAGEMENT SECURITIES, LLC NEW YORK, New York, United States Related to adviser: No
Marketer OPPENHEIMER & CO. INC. NEW YORK, New York, United States Related to adviser: No
Marketer PAPAMARKOU WELLNER & CO., INC. NEW YORK, New York, United States Related to adviser: No
Marketer STEPHEN WEISS SHORT HILLS, New Jersey, United States Related to adviser: No
Prime broker BARCLAYS CAPITAL INC. NEW YORK, New York, United States
Prime broker COWEN PRIME SERVICES LLC NEW YORK, New York, United States
Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

BARCLAYS CAPITAL INC.
SEC 8-41342

MORGAN STANLEY & CO. LLC
SEC 8-15869

PERSHING LLC
SEC 8-17574

FAMILY MANAGEMENT SECURITIES, LLC
CRD 44319 · SEC 8-50618

OPPENHEIMER & CO. INC.
CRD 249 · SEC 801-887

PAPAMARKOU WELLNER & CO., INC.
CRD 10963 · SEC 8-29033

BARCLAYS CAPITAL INC.
CRD 19714 · SEC 8-41342

COWEN PRIME SERVICES LLC
CRD 153397 · SEC 8-68531

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Filing source

Form ADV 1093033 · Mar 31, 2017 · Schedule D 7.B.(1), fund 805-5528643712

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
Robert P. Arnott Director
Michael Austin Director
Ian Boxall Director
Daniel Khoshaba Director
Ksa Capital Management, Llc Executive
Ksa Capital Managment, Llc Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
Ss&C Technologies, Inc. 45 Market St., Suite 3205, Gardenia Ct.
Grand Cayman, E9, KY1-9003