Form D · Hedge Fund

Lyxor/Havens International Fund Ltd.

St. Helier, Y9 · CIK 0001466898

Offering snapshot reported Apr 15, 2015 · SEC filing

Reported sold
$3.78M
Indefinite offering
Investors reported
3
Form D · investor count
Minimum accepted
$100K
Reported outside-investor minimum
First sale
Jun 23, 2009
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$1.89M$3.78MJan 22, 2010: $2,933,000.00Jan 22, 2010May 9, 2012: $3,777,825.00May 9, 2012May 9, 2013: $3,777,825.00May 9, 2013Apr 15, 2015: $3,777,825.00Apr 15, 2015

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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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Apr 15, 2015Amendment$3,777,825$0vs May 9, 20133SEC filing
May 9, 2013Amendment$3,777,825$0vs May 9, 20123SEC filing
May 9, 2012Amendment$3,777,825$844,825vs Jan 22, 20103SEC filing
Jan 22, 2010Initial$2,933,000No comparison3SEC 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
021-138096
Item 13 reflects sales made pursuant to Reg D only. Item 14 reflects US investors only.
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 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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RecipientCRDAssociated broker-dealer
SG Americas Securities, LLC128351

Source: Form D, filed Apr 15, 2015. 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 / HAVENS INTERNATIONAL FUND LIMITED

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

Gross asset value
$65.9M
Beneficial owners
29
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 SG HAMBROS TRUST COMPANY (CHANNEL ISLANDS) LIMITED ST HELIER, Jersey Related to adviser: Yes
Custodian SOCIÉTÉ GÉNÉRALE PARIS, France Related to adviser: Yes
Marketer ABN AMRO PRIVATE BANKING AMSTERDAM, Netherlands Related to adviser: No
Marketer ABSOLUTE PORTFOLIO MANAGEMENT GMBH VIENNA, Austria Related to adviser: No
Marketer AKROS ALTERNATIVE INVESTMENTS SGR SPA MILAN, Italy 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 FÉDÉRATIVE DU CRÉDIT MUTUEL PARIS, France Related to adviser: No
Marketer DE PLANIFICATION NEUCHATEL, Switzerland Related to adviser: No
Marketer HARCOURT INVESTMENT CONSULTING AG EX AUDA ZURICH, Switzerland Related to adviser: No
Marketer INTUTAE COURTAGE PARI, 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 SOCIÉTÉ GÉNÉRALE PRIVATE BANKING PARIS, France Related to adviser: Yes
Marketer UNION BANCAIRE PRIVÉE 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
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

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

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

Filing source

Form ADV 784069 · Mar 31, 2014 · Schedule D 7.B.(1), fund 805-4714700861

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
Tarlochan Singh Bolla Director
Gildas Joseph Owen Briand Director
Brian Christopher Chambers Director
Patrick Da Director
Lionel Erdely Director
N/A Havens Advisors Llc Executive
Thouraya Jarray Director
N/A Lyxor Asset Management S.A.S. Executive
Ingrid Martin Director
Gustav Meyer Director
Lionel Paquin Director
Anita Philippe Director
N/A Sg Hambros Fund Managers (Jersey) Ltd. Executive
Alastair Torvaney Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
18 Esplanade
St. Helier, Y9, JE4 8RT