Form D · Hedge Fund

KWK Merger Arbitrage Fund LP

El Segundo, CA · CIK 0001548317

Offering snapshot reported Apr 17, 2018 · SEC filing

Reported sold
$39.9M
Indefinite offering
Investors reported
22
Form D · investor count
Minimum accepted
$250K
Reported outside-investor minimum
First sale
Jan 1, 2012
As reported in this filing

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Apr 17, 2018Initial$39,906,379No comparison22SEC filing
Apr 17, 2017Initial$38,106,379No comparison21SEC filing
Apr 21, 2016Initial$22,906,379No comparison18SEC filing
May 18, 2015Amendment$20,736,576$0vs Apr 23, 201518SEC filing
Apr 23, 2015Initial$20,736,576No comparison18SEC filing
Apr 24, 2014Amendment$15,443,994$913,072vs Apr 22, 201310SEC filing
Apr 22, 2013Amendment$14,530,922No comparison7SEC filing
Apr 26, 2012InitialYet to sellNo comparison0SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-310379
The Investment Manager may pay an agent a portion of the fees earned by the Investment Manager on assets in the Fund held by investors whom the agent has introduced to the Fund, including a portion of the performance allocation.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
David R. Sanchez1888936Zanbato Securities LLC · CRD 279028
George W. MacLeod II1185494Silver Leaf Partners, LLC · CRD 126694

Source: Form D, filed Apr 17, 2018. 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

KWK MERGER ARBITRAGE FUND LP

Investment adviser: KWK MANAGEMENT LLC

Gross asset value
$17.2M
Beneficial owners
3
ADV minimum commitment
$250K

Reported in Form ADV on Mar 29, 2018. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator PANOPTIC FUND ADMINISTRATION, LLC LOS ANGELES, California, United States Investor statements: Some (provided to some but not all investors) Related to adviser: No
Auditor KPMG LLP LOS ANGELES, California, United States
Custodian PERSHING LLC JERSEY CITY, New Jersey, United States Related to adviser: No
Marketer SILVER LEAF PARTNERS, LLC NEW YORK, New York, United States Related to adviser: No
Marketer STONEHAVEN, LLC NEW YORK, New York, United States Related to adviser: No
Prime broker COWEN PRIME SERVICES LLC GARDEN CITY, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

KPMG LLP
PCAOB 185

PERSHING LLC
SEC 8-17574

SILVER LEAF PARTNERS, LLC
CRD 126694 · SEC 8-65902

STONEHAVEN, LLC
CRD 118913 · SEC 8-53699

COWEN PRIME SERVICES LLC
CRD 153397 · SEC 8-68531

Filing source

Form ADV 1175824 · Mar 29, 2018 · Schedule D 7.B.(1), fund 805-8889770489

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
Kwk Management Llc Executive
Lpgp Llc Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
2041 Rosecrans Ave Suite 350
El Segundo, CA, 90245