Form D · Hedge Fund

Maxima Fund I, L.P.

New York, NY · CIK 0001755411

Offering snapshot reported Oct 18, 2019 · SEC filing

Reported sold
$83M
Indefinite offering
Investors reported
9
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Aug 26, 2019
As reported in this filing

What changed?

Latest filing versus its linked predecessor, where available.

  • Reported investors0 → 9

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Oct 18, 2019Amendment$83,000,000No comparison9SEC filing
Aug 22, 2019InitialYet to sellNo comparison0SEC filing

Offering details

Securities
Equity, 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
021-347239
The Issuer's placement agent(s) receive a portion of the management fees and/or incentive allocation otherwise payable/allocable to fund's investment manager/general partner in connection with investors introduced to the fund by the placement agent(s).

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
William Emanuel Bonner2332482Roberts & Ryan Investments, Inc. · CRD 19456

Source: Form D, filed Oct 18, 2019. 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

MAXIMA FUND I, L.P.

Investment adviser: SADDLE POINT MANAGEMENT, L.P.

Gross asset value
$111M
Beneficial owners
15
ADV minimum commitment
$1M

Reported in Form ADV on Dec 1, 2021. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator HEDGESERV (CAYMAN) LTD. GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ERNST & YOUNG LLP NEW YORK, New York, United States
Custodian PERSHING LLC JERSEY CITY, New Jersey, United States Related to adviser: No
Custodian THE NORTHERN TRUST INTERNATIONAL BANKING CORPORATION JERSEY CITY, New Jersey, United States Related to adviser: No
Custodian UBS SECURITIES LLC NEW YORK, New York, United States Related to adviser: No
Marketer KELSON CAPITAL LLC NEW YORK, New York, United States Related to adviser: No
Prime broker BTIG, LLC SAN FRANCISCO, California, United States
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
Yes
External marketing
Yes

ERNST & YOUNG LLP
PCAOB 42

PERSHING LLC
SEC 8-17574

UBS SECURITIES LLC
SEC 8-22651

KELSON CAPITAL LLC
CRD 149477 · SEC 8-68147

BTIG, LLC
CRD 122225 · SEC 8-65473

UBS SECURITIES LLC
CRD 7654 · SEC 8-22651

Filing source

Form ADV 1579891 · Dec 1, 2021 · Schedule D 7.B.(1), fund 805-8575468376

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
Roy J. Katzovicz Executive
N/A Saddle Point Gp, Llc Executive
N/A Saddle Point Management, L.P. Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
C/O Saddle Point Gp Llc 555 W 57 Th St., Ste 1326
New York, NY, 10019