Form D · Private Equity Fund
NovaQuest Pharma Opportunities Fund III, L.P.
Raleigh, NC · CIK 0001506260
Offering snapshot reported Nov 14, 2012 · SEC filing
- Reported sold
- $426M Offering amount: $500M
- Investors reported
- 8 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Nov 12, 2010 As reported in this filing
Fundraising history
Reported soldDates 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$182,099,500 → $426,099,500
- Reported investors7 → 8
Filing history
Scroll to see all columns →
| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Nov 14, 2012 | Amendment | $426,099,500 | $244,000,000vs Jan 5, 2012 | 8 | SEC filing |
| Jan 5, 2012 | Amendment | $182,099,500 | $5,000,000vs Nov 24, 2010 | 7 | SEC filing |
| Oct 7, 2011 | Amendment | $177,099,500 | $0vs Nov 24, 2010 | 6 | SEC filing |
| Nov 24, 2010 | Initial | $177,099,500 | No comparison | 6 | SEC filing |
Offering details
- Securities
- Pooled investment fund
- Exemptions
- 06, 3C, 3C.7
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $0 (estimated)
- Finders' fees
- $0
- Form D file number
- 021-150993
Excludes the interest of the General Partner, which has committed $4,931,100.
Atlantic-Pacific Capital, Inc. and Mallory Capital Group, LLC will each receive certain fees based on a percentage of the total amount each sells to investors in the U.S. and Canada (excluding certain named potential investors) not exceeding 2.25%.
Sales compensation recipients
Scroll to see all columns →
| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Mallory Capital Group, LLC | 108486 | |
| Atlantic-Pacific Capital, Inc. | 38356 |
Source: Form D, filed Nov 14, 2012. 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
NOVAQUEST PHARMA OPPORTUNITIES FUND III, L.P.
Investment adviser: NOVAQUEST CAPITAL MANAGEMENT, L.L.C.
- Gross asset value
- $48.1M
- Beneficial owners
- 14
- ADV minimum commitment
- $10M
Reported in Form ADV on Oct 11, 2024. Fund assets and beneficial owners measure different things from Form D sales and investors.
Service providers
Provider details
- Annual audit
- Yes
- Prime brokers
- Yes
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- Yes
BDO CAYMAN LTD.
PCAOB 2162
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
SEC 8-7221
SILICON VALLEY BANK, A DIVISION OF FIRST CITIZENS BANK
LEI 0K2D5AK28E3O5CC06E35
WELLS FARGO BANK, N.A.
LEI KB1H1DSPRFMYMCUFXT09
ATLANTIC - PACIFIC CAPITAL, INC.
CRD 38356 · SEC 8-48198
FIRST AVENUE
CRD 145860 · SEC 8-67758
MALLORY CAPITAL GROUP, LLC
CRD 108486 · SEC 8-53084
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD 7691 · SEC 8-7221
Filing source
Form ADV 1907003 · Oct 11, 2024 · Schedule D 7.B.(1), fund 805-9764753148
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.
| Name | Reported role |
|---|---|
| John L. Bradley | Director |
| Ernest Gerald Brown | Director |
| Fred Cohen | Director |
| Tadahiro Dantsuka | Director |
| Chris Gordon | Director |
| N/A Nq Hcif General Partner, L.P. | Executive |
| N/A Nq Hcif Gp, Ltd. | Executive |
| James O'brien | Director |
| Akito Umeda | Director |
| Ronald J. Wooten | Director |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Raleigh, NC, 27609