Form D · Hedge Fund

OC 528 Offshore Fund, Ltd.

Grand Cayman, E9 · CIK 0001584533

Offering snapshot reported Aug 17, 2017 · SEC filing

Reported sold
$112M
Indefinite offering
Investors reported
19
Form D · investor count
Minimum accepted
$100K
Reported outside-investor minimum
First sale
Aug 1, 2013
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$147M$294MAug 15, 2013: $100,310,000.00Aug 15, 2013Aug 15, 2014: $101,160,000.00Aug 15, 2014Aug 17, 2015: $294,061,533.00Aug 17, 2015Aug 17, 2016: $257,000,000.00Aug 17, 2016Aug 17, 2017: $112,000,000.00Aug 17, 2017

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$257,000,000 → $112,000,000
  • Reported investors28 → 19

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Aug 17, 2017Amendment$112,000,000-$145,000,000vs Aug 17, 201619SEC filing
Aug 17, 2016Amendment$257,000,000$156,690,000vs Aug 15, 201328SEC filing
Aug 17, 2015Amendment$294,061,533$193,751,533vs Aug 15, 201325SEC filing
Aug 15, 2014Amendment$101,160,000$850,000vs Aug 15, 201319SEC filing
Aug 15, 2013Initial$100,310,000No comparison18SEC 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
021-201410

Source: Form D, filed Aug 17, 2017. 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

OC 528 OFFSHORE FUND LTD

Investment adviser: ONE RIVER ASSET MANAGEMENT, LLC

Gross asset value
$1.69B
Beneficial owners
29
ADV minimum commitment
$250K

Reported in Form ADV on Mar 29, 2018. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator NORTHERN TRUST HEDGE FUND SERVICES CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ERNST & YOUNG LOS ANGELES, California, United States
Custodian NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Related to adviser: No
Prime broker BARCLAYS BANK PLC NEW YORK, New York, United States
Prime broker BARCLAYS CAPITAL INC. NEW YORK, New York, United States
Prime broker DEUTSCHE BANK AG NEW YORK, New York, United States
Prime broker DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States
Prime broker SG AMERICAS SECURITIES, LLC NEW YORK, New York, United States
Prime broker SOCIETE GENERALE NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

ERNST & YOUNG
PCAOB 42

NORTHERN TRUST COMPANY
LEI 549300V2JE4TO35DC098

BARCLAYS CAPITAL INC.
CRD 19714 · SEC 8-41342

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 8-17822

SG AMERICAS SECURITIES, LLC
CRD 128351 · SEC 8-66125

Filing source

Form ADV 1194628 · Mar 29, 2018 · Schedule D 7.B.(1), fund 805-2509393367

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
Joshua Barlow Director
Todd Groome Director
Steve Lisenby Director
Ian Malloch Director
One River Asset Management, Llc Promoter
Peters Capital Group, Llc Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
C/O Intertrust Corp. Svcs. (Cayman) Ltd. 190 Elgin Avenue, George Town
Grand Cayman, E9, KY1-9005