Form D · Hedge Fund

Lyxor/Caxton Hawk Fund Ltd

St Helier, Y9 · CIK 0001542832

Offering snapshot reported Feb 21, 2013 · SEC filing

Reported sold: Yet to sell
Investors reported: 0
Minimum accepted: $100K
First sale: Yet to occur

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

Scroll to see all columns →

Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Feb 21, 2013	Amendment	Yet to sell	No comparison	0	SEC filing
Feb 21, 2012	Initial	Yet to sell	No comparison	0	SEC filing

Offering details

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

Sales commissions: $0 (estimated)
Finders' fees: $0
Form D file number: 021-173752

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

Scroll to see all columns →

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

Source: Form D, filed Feb 21, 2013. 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 / CAXTON HAWK FUND LIMITED

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

Gross asset value: $41.2M
Beneficial owners: 17
ADV minimum commitment: $100K

Reported in Form ADV on Dec 2, 2013. 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 SG HAMBROS TRUST COMPANY (CHANNEL ISLANDS) LIMITED ST HELIER, Jersey Related to adviser: Yes

Custodian SOCIETE GENERALE PARIS, France Related to adviser: Yes

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

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

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

Filing source

Form ADV 769684 · Dec 2, 2013 · Schedule D 7.B.(1), fund 805-3940948778

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
Stephen Folland	Director
Ingrid Martin	Director
Lionel Paquin	Director
Anita Philippe	Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

18 Esplanade
St Helier, Y9, JE4 8RT