Form D · Hedge Fund

LIM Japan Event Fund

George Town, Grand Cayman, E9 · CIK 0001529612

Offering snapshot reported Aug 3, 2020 · SEC filing

Reported sold: $2.62M
Investors reported: 1
Minimum accepted: $100K
First sale: Sep 1, 2011

Fundraising history

Reported sold

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.

No comparable changes in the displayed metrics.

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Aug 3, 2020	Amendment	$2,623,139	$0vs Aug 2, 2019	1	SEC filing
Aug 2, 2019	Amendment	$2,623,139	$0vs Aug 3, 2018	1	SEC filing
Aug 3, 2018	Amendment	$2,623,139	$0vs Aug 3, 2017	1	SEC filing
Aug 3, 2017	Amendment	$2,623,139	$0vs Aug 3, 2016	1	SEC filing
Aug 3, 2016	Amendment	$2,623,139	-$81,651vs Aug 19, 2015	1	SEC filing
Aug 19, 2015	Amendment	$2,704,790	-$9,592,149vs Aug 22, 2014	1	SEC filing
Aug 22, 2014	Amendment	$12,296,939	$608,041vs Sep 13, 2013	2	SEC filing
Sep 13, 2013	Amendment	$11,688,898	$3,588,898vs Sep 14, 2012	3	SEC filing
Sep 14, 2012	Amendment	$8,100,000	$8,000,000vs Sep 14, 2011	2	SEC filing
Sep 14, 2011	Initial	$100,000	No comparison	1	SEC filing

Offering details

Securities: Equity, Pooled investment fund
Exemptions: 06b, 3C, 3C.7
Duration over one year: Yes
Business combination: No

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-165879

Source: Form D, filed Aug 3, 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

LIM JAPAN FUND

Investment adviser: LIM ADVISORS LIMITED

Gross asset value: $239M
Beneficial owners: 14
ADV minimum commitment: $500K

Reported in Form ADV on Mar 26, 2015. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator HSBC TRUSTEE (CAYMAN) LIMITED GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS GRAND CAYMAN, Cayman Islands

Custodian HSBC INSTITUTIONAL TRUST SERVICES (ASIA) LIMITED HONG KONG, Hong Kong Related to adviser: No

Marketer STRATTON CAPITAL MANAGEMENT, LTD. NEW YORK, New York, United States Related to adviser: No

Marketer WESTHALL PARTNERS LLP LONDON, United Kingdom Related to adviser: No

Prime broker CREDIT SUISSE SECURITIES (EUROPE) LIMITED LONDON, United Kingdom

Prime broker GOLDMAN SACHS INTERNATIONAL LONDON, United Kingdom

Prime broker MORGAN STANLEY & CO. INTERNATIONAL PLC LONDON, United Kingdom

Prime broker NOMURA INTERNATIONAL PLC LONDON, United Kingdom

Prime broker UBS AG LONDON, United Kingdom

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

STRATTON CAPITAL MANAGEMENT, LTD.
CRD 104122 · SEC 8-52570

Filing source

Form ADV 893015 · Mar 26, 2015 · Schedule D 7.B.(1), fund 805-2005432321

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
Name	Reported role
Christopher Burnell Brader	Director
Mark Cutis	Director
Christopher Grubb	Director
George W. Long	Director
Lewis Marks	Director
Martin Anthony Farrow Shenfield	Director
Ted Uemae	Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

190 Elgin Avenue
George Town, Grand Cayman, E9, KY1-9005