Form D · Hedge Fund

Marshall Wace Funds LP - MW TOPS China Absolute Return (US) Fund

George Town, Grand Cayman, E9 · CIK 0001696771

Offering snapshot reported Feb 8, 2024 · SEC filing

Reported sold: $1.53M
Investors reported: 3
Minimum accepted: $0
First sale: Feb 3, 2017

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.

Reported investors2 → 3

Filing history

Scroll to see all columns →

Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Feb 8, 2024	Amendment	$1,525,024	$0vs Feb 8, 2023	3	SEC filing
Feb 8, 2023	Amendment	$1,525,024	$0vs Feb 8, 2022	2	SEC filing
Feb 8, 2022	Amendment	$1,525,024	$0vs Feb 8, 2021	3	SEC filing
Feb 8, 2021	Amendment	$1,525,024	$0vs Feb 7, 2020	2	SEC filing
Feb 7, 2020	Amendment	$1,525,024	$0vs Feb 8, 2019	2	SEC filing
Feb 8, 2019	Amendment	$1,525,024	$100,024vs Feb 9, 2018	2	SEC filing
Jun 20, 2018	Amendment	$1,925,024	$500,024vs Feb 9, 2018	3	SEC filing
Feb 9, 2018	Amendment	$1,425,000	$425,000vs Feb 10, 2017	2	SEC filing
Feb 10, 2017	Initial	$1,000,000	No comparison	2	SEC 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: 021-280491

Source: Form D, filed Feb 8, 2024. 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

MARSHALL WACE FUNDS LP - MW TOPS CHINA ABSOLUTE RETURN (US) FUND

Investment adviser: MARSHALL WACE LLP

Gross asset value: $122M
Beneficial owners: 5
ADV minimum commitment: $5M

Reported in Form ADV on May 29, 2019. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator CITCO FUND SERVICES (USA) INC NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG DUBLIN, Ireland

Custodian CITCO BANK NEDERLAND N.V. DUBLIN BRANCH DUBLIN, Ireland Related to adviser: No

Marketer KKR CAPITAL MARKETS LIMITED NEW YORK, New York, United States Related to adviser: No

Marketer KKR CAPITAL MARKETS LLC NEW YORK, New York, United States Related to adviser: No

Provider details

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

ERNST & YOUNG
PCAOB 1411

KKR CAPITAL MARKETS LLC
CRD 143571 · SEC 8-67578

Filing source

Form ADV 1324639 · May 29, 2019 · Schedule D 7.B.(1), fund 805-8803113989

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
Gregory Bennett	Director
Robert Bovet	Director
Ronan Daly	Director
Patrick Flaherty	Director
David Hammond	Director
Barbara Healy	Director
Marshall Wace Asia Limited	Promoter
Marshall Wace (Gp1) Ltd.	Executive
Linburgh Martin	Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

C/O Marshall Wace (Gp1) Ltd. One Nexus Way, Camana Bay
George Town, Grand Cayman, E9, KY1-9005