Form D · Hedge Fund

Lyxor/Black Diamond Arbitrage Fund Ltd

St. Helier, Y9 · CIK 0001422381

Offering snapshot reported May 2, 2014 · SEC filing

Reported sold: $1M
Investors reported: 3
Minimum accepted: $100K
First sale: Dec 18, 2007

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
May 2, 2014	Amendment	$1,000,000	$0vs May 3, 2013	3	SEC filing
May 3, 2013	Amendment	$1,000,000	$0vs May 3, 2012	3	SEC filing
May 3, 2012	Amendment	$1,000,000	$0vs Feb 17, 2010	3	SEC filing
Feb 17, 2010	Amendment	$1,000,000	No comparison	3	SEC filing
Dec 26, 2007	Paper	Not reported	No comparison	Not reported	SEC filing

Offering details

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

Sales commissions: $0 (estimated)
Finders' fees: $0 (estimated)
Form D file number: 021-112561

SG Americas Securities, LLC is paid a continuing fee, out of the administrative fee, based on the fund's net asset value ("NAV"). That fee is currently set at up to 0.95% of NAV. As NAV may vary considerably, the fee's amount is not presently calculable.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
SG Americas Securities, LLC	128351

Source: Form D, filed May 2, 2014. 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

LYXOR / BLACK DIAMOND ARBITRAGE FUND LIMITED

Investment adviser: LYXOR ASSET MANAGEMENT S.A.S.

Gross asset value: $10.9M
Beneficial owners: 17
ADV minimum commitment: $100K

Reported in Form ADV on Mar 31, 2014. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Auditor PRICEWATERHOUSECOOPERS CI LLP ST HELIER, Jersey

Custodian CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States Related to adviser: No

Custodian J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States Related to adviser: No

Custodian MERRILL LYNCH INTERNATIONAL LONDON, United Kingdom Related to adviser: No

Custodian SG HAMBROS TRUST COMPANY (CHANNEL ISLANDS) LIMITED ST HELIER, Jersey Related to adviser: Yes

Custodian SOCIETE GENERALE PARIS, France Related to adviser: Yes

Custodian UBS AG (LONDON BRANCH) LONDON, United Kingdom Related to adviser: No

Custodian UBS SECURITIES LLC NEW YORK, New York, United States Related to adviser: No

Marketer ABN AMRO PRIVATE BANKING AMSTERDAM, Netherlands Related to adviser: No

Marketer ARCA SGR MILAN, Italy Related to adviser: No

Marketer BANCA CREDINVEST SA LUGANO, Switzerland Related to adviser: No

Marketer BANK OF SINGAPORE LIMITED SINGAPORE, Singapore Related to adviser: No

Marketer BANQUE FEDERATIVE DU CREDIT MUTUEL PARIS, France Related to adviser: No

Marketer DE PLANIFICATION NEUCHATEL, Switzerland Related to adviser: No

Marketer HARCOURT INVESTMENT CONSULTING AG ZURICH, Switzerland Related to adviser: No

Marketer INTUTAE COURTAGE PARIS, France Related to adviser: No

Marketer JULIUS BAER LTD ZURICH, Switzerland Related to adviser: No

Marketer MORA WEALTH ZURICH, Switzerland Related to adviser: No

Marketer SOCIETE GENERALE PRIVATE BANKING PARIS, France Related to adviser: Yes

Marketer UNION BANCAIRE PRIVEE GENEVA, Switzerland Related to adviser: No

Prime broker CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States

Prime broker J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States

Prime broker MERRILL LYNCH INTERNATIONAL LONDON, United Kingdom

Prime broker UBS SECURITIES LLC NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: No
External marketing: Yes

CREDIT SUISSE SECURITIES (USA) LLC
SEC 8-422

J.P. MORGAN CLEARING CORP.
SEC 8-43724

UBS SECURITIES LLC
SEC 8-22651

CREDIT SUISSE SECURITIES (USA) LLC
CRD 816 · SEC 8-422

J.P. MORGAN CLEARING CORP.
CRD 28432 · SEC 8-43724

UBS SECURITIES LLC
CRD 7654 · SEC 8-22651

Filing source

Form ADV 784069 · Mar 31, 2014 · Schedule D 7.B.(1), fund 805-9169107187

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
Tarlochan Singh Bolla	Director
John Boothman	Director
Gildas Joseph Owen Briand	Director
Brian Christopher Chambers	Director
Lionel Erdely	Director
Stephen Folland	Director
Thouraya Jarray	Director
Ingrid Martin	Director
Gustav Meyer	Director
Lionel Paquin	Director
Anita Philippe	Director
Alastair William Torvaney	Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

18 Esplanade
St. Helier, Y9, JE4 8RT