Form D · Hedge Fund

OC 535 Offshore Fund SPC - Segregated Portfolio 5

Grand Cayman, E9 · CIK 0001740453

Offering snapshot reported May 29, 2020 · SEC filing

Reported sold
$200M
Indefinite offering
Investors reported
18
Form D · investor count
Minimum accepted
$100K
Reported outside-investor minimum
First sale
May 7, 2018
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$99.8M$200MMay 15, 2018: $106,570,000.00May 15, 2018Mar 1, 2019: $120,670,000.00Mar 1, 2019May 29, 2019: $189,320,000.00May 29, 2020: $199,580,000.00May 29, 2020

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$189,320,000 → $199,580,000

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
May 29, 2020Amendment$199,580,000$10,260,000vs May 29, 201918SEC filing
May 29, 2019Amendment$189,320,000$68,650,000vs Mar 1, 201918SEC filing
Mar 1, 2019Amendment$120,670,000$14,100,000vs May 15, 201818SEC filing
May 15, 2018Initial$106,570,000No comparison17SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$0 (estimated)
Finders' fees
$0
Form D file number
021-312396
Includes only securities sold to U.S. investors by the Issuer in reliance on Regulation D (e.g., excludes securities sold to non-U.S. investors in reliance on Regulation S).

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
UBS Asset Management (US) Inc.583

Source: Form D, filed May 29, 2020. 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 535 OFFSHORE FUND SPC - SEGREGATED PORTFOLIO 5

Investment adviser: UBS OCONNOR LLC

Gross asset value
$380M
Beneficial owners
16
ADV minimum commitment
$100K

Reported in Form ADV on Mar 5, 2020. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator MUFG ALTERNATIVE FUND SERVICES (CAYMAN) LIMITED GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ERNST & YOUNG GRAND CAYMAN, Cayman Islands
Custodian BARCLAYS BANK PLC NEW YORK, New York, United States Related to adviser: No
Custodian CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States Related to adviser: No
Custodian CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States Related to adviser: No
Custodian J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No
Custodian MUFG ALTERNATIVE FUND SERVICES (CAYMAN) LIMITED GRAND CAYMAN, Cayman Islands Related to adviser: No
Marketer PAAMCO IRVINE, California, United States Related to adviser: No
Prime broker BARCLAYS BANK PLC NEW YORK, New York, United States
Prime broker CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States
Prime broker CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States
Prime broker J.P. MORGAN 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
PCAOB 42

BARCLAYS BANK PLC
LEI G5GSEF7VJP5I7OUK5573

CITIGROUP GLOBAL MARKETS INC.
SEC 8-8177

CREDIT SUISSE SECURITIES (USA) LLC
SEC 8-422

J.P. MORGAN SECURITIES LLC
SEC 8-35008

MUFG ALTERNATIVE FUND SERVICES (CAYMAN) LIMITED
LEI 549300E78YO4UPWUBK86

CITIGROUP GLOBAL MARKETS INC.
CRD 7059 · SEC 8-8177

CREDIT SUISSE SECURITIES (USA) LLC
CRD 816 · SEC 8-422

J.P. MORGAN SECURITIES LLC
CRD 79 · SEC 8-35008

Filing source

Form ADV 1390792 · Mar 5, 2020 · Schedule D 7.B.(1), fund 805-3868060572

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
Connor Burke Executive
Philip Dickie Director
N/A Ubs O'connor Limited Executive
N/A Ubs O'connor Llc Executive
William E.J. Walmsley Director
Joseph C. Workman Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
Maples Corporate Services Limited Ugland House, South Church Street
Grand Cayman, E9, KY1-1104