Form D · Hedge Fund

Northwest Warrant Fund Ltd

Hong Kong, K3 · CIK 0001542037

Offering snapshot reported Jan 17, 2019 · SEC filing

Reported sold
$7.06M
Indefinite offering
Investors reported
20
Form D · investor count
Minimum accepted
$100K
Reported outside-investor minimum
First sale
Nov 30, 2005
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$10.3M$20.6MFeb 16, 2012: $3,881,171.00Feb 16, 2012Feb 8, 2013: $19,432,259.00Feb 6, 2014: $20,627,200.00Jan 28, 2015: $10,229,524.00Jan 22, 2016: $7,056,888.00Jan 25, 2017: $7,056,888.00Jan 18, 2018: $7,056,888.00Jan 17, 2019: $7,056,888.00Jan 17, 2019

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

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jan 17, 2019Amendment$7,056,888$0vs Jan 18, 201820SEC filing
Jan 18, 2018Amendment$7,056,888$0vs Jan 25, 201720SEC filing
Jan 25, 2017Amendment$7,056,888$0vs Jan 22, 201620SEC filing
Jan 22, 2016Amendment$7,056,888-$3,172,636vs Jan 28, 201520SEC filing
Jan 28, 2015Amendment$10,229,524-$10,397,676vs Feb 6, 201425SEC filing
Feb 6, 2014Amendment$20,627,200$1,194,941vs Feb 8, 201331SEC filing
Feb 8, 2013Amendment$19,432,259$15,551,088vs Feb 16, 201229SEC filing
Feb 16, 2012Initial$3,881,171No comparison33SEC 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
021-173552
Continuously offered shares in an open-ended investment company, previously reported under CIK 0001426254

Source: Form D, filed Jan 17, 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

NORTHWEST WARRANT FUND LIMITED

Investment adviser: NORTHWEST INVESTMENT MANAGEMENT (HONG KONG) LIMITED

Gross asset value
$3.3M
Beneficial owners
17
ADV minimum commitment
$100K

Reported in Form ADV on Mar 27, 2019. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator SS&C FINANCIAL SERVICES (IRELAND) LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor DELOITTE AND TOUCHE DUBLIN, Ireland
Custodian DEUTSCHE BANK AG LONDON, United Kingdom Related to adviser: No
Marketer LOTUS PEAK CAPITAL PTE LTD SINGAPORE, Singapore Related to adviser: No
Prime broker DEUTSCHE BANK AG LONDON, United Kingdom
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

DELOITTE AND TOUCHE
PCAOB 1193

DEUTSCHE BANK AG
LEI 7LTWFZYICNSX8D621K86

Filing source

Form ADV 1279286 · Mar 27, 2019 · Schedule D 7.B.(1), fund 805-3591358830

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
Ronan Daly Director
Martin John Lang Director
Carol Ann Michael Green Director
None Northwest Investment Management (Hong Kong) Ltd Promoter
Neale Safaty Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
11 F Kinwick Centre 32 Hollywood Road
Hong Kong, K3, NONE