Form D · Hedge Fund

MacKay Shields Defensive Bond Arbitrage Fund Ltd.

Hamilton, D0 · CIK 0001502133

Offering snapshot reported Oct 2, 2026 · SEC filing

Reported sold
$641M
Indefinite offering
Investors reported
41
Form D · investor count
Minimum accepted
$5M
Reported outside-investor minimum
First sale
Nov 1, 2004
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$320M$641MOct 21, 2010: $174,358,252.00Oct 21, 2010Oct 17, 2011: $225,358,252.00Oct 9, 2012: $277,158,252.00Oct 9, 2013: $295,708,252.00Oct 9, 2014: $368,909,952.00Oct 9, 2015: $400,960,202.00Oct 7, 2016: $426,287,635.00Oct 5, 2017: $435,175,135.00Oct 5, 2018: $457,169,235.00Oct 4, 2019: $521,697,485.00Oct 2, 2020: $570,458,155.00Oct 1, 2021: $597,094,121.00Oct 3, 2022: $603,508,521.00Oct 3, 2023: $607,203,141.00Oct 3, 2024: $607,539,950.00Oct 3, 2025: $610,962,391.00Oct 2, 2026: $640,943,303.00Oct 2, 2026

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.

  • Reported sold$610,962,391 → $640,943,303
  • Reported investors40 → 41

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Oct 2, 2026Amendment$640,943,303$29,980,912vs Oct 3, 202541SEC filing
Oct 3, 2025Amendment$610,962,391$3,422,441vs Oct 3, 202440SEC filing
Oct 3, 2024Amendment$607,539,950$336,809vs Oct 3, 202339SEC filing
Oct 3, 2023Amendment$607,203,141$3,694,620vs Oct 3, 202238SEC filing
Oct 3, 2022Amendment$603,508,521$6,414,400vs Oct 1, 202137SEC filing
Oct 1, 2021Amendment$597,094,121$26,635,966vs Oct 2, 202036SEC filing
Oct 2, 2020Amendment$570,458,155$48,760,670vs Oct 4, 201934SEC filing
Oct 4, 2019Amendment$521,697,485$64,528,250vs Oct 5, 201833SEC filing
Oct 5, 2018Amendment$457,169,235$21,994,100vs Oct 5, 201732SEC filing
Oct 5, 2017Amendment$435,175,135$139,466,883vs Oct 9, 201331SEC filing
Oct 7, 2016Amendment$426,287,635$130,579,383vs Oct 9, 201330SEC filing
Oct 9, 2015Amendment$400,960,202$105,251,950vs Oct 9, 201326SEC filing
Oct 9, 2014Amendment$368,909,952$73,201,700vs Oct 9, 201323SEC filing
Oct 9, 2013Amendment$295,708,252$18,550,000vs Oct 9, 201217SEC filing
Oct 9, 2012Amendment$277,158,252$51,800,000vs Oct 17, 201117SEC filing
Oct 17, 2011Amendment$225,358,252$51,000,000vs Oct 21, 201014SEC filing
Oct 21, 2010Initial$174,358,252No comparison14SEC filing

Offering details

Securities
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
021-149370
The Investment Manager of the Issuer shares a portion of its management fee received from the Issuer with one or more of the Issuer's placement agents. Such placement agents may receive other fees (e.g., sales loads) payable directly

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
NYLIFE Distributors LLC35350

Source: Form D, filed Oct 2, 2026. 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

MACKAY SHIELDS DEFENSIVE BOND ARBITRAGE FUND LTD.

Investment adviser: MACKAY SHIELDS LLC

Gross asset value
$207M
Beneficial owners
12
ADV minimum commitment
$5M

Reported in Form ADV on Aug 6, 2026. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator CITCO (CANADA) INC. TORONTO, Canada Investor statements: Yes (provided to all investors) Related to adviser: No
Fund administrator CITCO FUND SERVICES (CURACAO) B.V. WILLEMSTAD, Curacao Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor PRICEWATERHOUSECOOPERS LLP NEW YORK, New York, United States
Custodian J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No
Marketer MCMORGAN & COMPANY CAPITAL ADVISORS LLC SAN FRANCISCO, California, United States Related to adviser: No
Marketer NYLIFE DISTRIBUTORS LLC JERSEY CITY, New Jersey, United States Related to adviser: Yes
Prime broker J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

PRICEWATERHOUSECOOPERS LLP
PCAOB 238

J.P. MORGAN SECURITIES LLC
SEC 8-35008

MCMORGAN & COMPANY CAPITAL ADVISORS LLC
CRD 137222 · SEC 8-67074

NYLIFE DISTRIBUTORS LLC
CRD 35350 · SEC 8-46655

J.P. MORGAN SECURITIES LLC
CRD 79 · SEC 8-35008

Filing source

Form ADV 2124546 · Aug 6, 2026 · Schedule D 7.B.(1), fund 805-9629990342

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
Rene A. Bustamante Director
John C.R. Collis Director
Dawn C. Griffiths Director
Young Lee Director
N/A Mac Kay Shields Llc Promoter
Lucille P. Protas Director
Dan Roberts Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
Clarendon House 2 Church Street
Hamilton, D0, HM 11