Form D · Hedge Fund

O'Connor Opportunistic Strategies Ltd

Grand Cayman, E9 · CIK 0001488762

Offering snapshot reported May 5, 2011 · SEC filing

Reported sold: $184M
Investors reported: 1
Minimum accepted: $100K
First sale: Apr 1, 2010

Fundraising history

Reported sold

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$147,000,000 → $183,791,821

Filing history

Scroll to see all columns →

Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
May 5, 2011	Amendment	$183,791,821	$36,791,821vs May 21, 2010	1	SEC filing
May 21, 2010	Initial	$147,000,000	No comparison	1	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06, 3C, 3C.7
Duration over one year: Yes
Business combination: No

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-142415

Source: Form D, filed May 5, 2011. 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

OCONNOR OPPORTUNISTIC STRATEGIES LIMITED

Investment adviser: UBS OCONNOR LLC

Gross asset value: $56.1M
Beneficial owners: 1
ADV minimum commitment: $5M

Reported in Form ADV on Feb 27, 2013. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator UBS FUND SERVICES (CAYMAN) LIMITED GEORGE TOWN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: Yes

Auditor ERNST & YOUNG CHICAGO, Illinois, United States

Custodian BARCLAYS BANK PLC LONDON, United Kingdom Related to adviser: No

Custodian BARCLAYS CAPITAL INC. NEW YORK, New York, United States Related to adviser: No

Custodian BARCLAYS CAPITAL SECURITY LIMITED LONDON, United Kingdom Related to adviser: No

Custodian CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States Related to adviser: No

Custodian CREDIT SUISSE INTERNATIONAL LONDON, United Kingdom Related to adviser: No

Custodian CREDIT SUISSE SECURITIES (EUROPE) LIMITED LONDON, United Kingdom Related to adviser: No

Custodian CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States Related to adviser: No

Custodian J.P. MORGAN CLEARING CORP. BROOKLYN, 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 THE BANK OF NEW YORK MELLON LAKE MARY, Florida, United States Related to adviser: No

Custodian UBS FUND SERVICES (CAYMAN) LIMITED GEORGE TOWN, Cayman Islands Related to adviser: Yes

Prime broker BARCLAYS BANK PLC LONDON, United Kingdom

Prime broker BARCLAYS CAPITAL INC. NEW YORK, New York, United States

Prime broker BARCLAYS CAPITAL SECURITIES LIMITED LONDON, United Kingdom

Prime broker CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States

Prime broker CREDIT SUISSE INTERNATIONAL LONDON, United Kingdom

Prime broker CREDIT SUISSE SECURITIES (EUROPE) LIMITED LONDON, United Kingdom

Prime broker CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States

Prime broker J.P. MORGAN CLEARING CORP. BROOKLYN, 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: No

BARCLAYS CAPITAL INC.
SEC 8-41342

CITIGROUP GLOBAL MARKETS INC.
SEC 8-8177

CREDIT SUISSE SECURITIES (USA) LLC
SEC 8-422

J.P. MORGAN CLEARING CORP.
SEC 8-43724

J.P. MORGAN SECURITIES LLC
SEC 8-35008

BARCLAYS CAPITAL INC.
CRD 19714 · SEC 8-41342

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

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

J.P. MORGAN CLEARING CORP.
CRD 28432 · SEC 8-43724

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

Filing source

Form ADV 702833 · Feb 27, 2013 · Schedule D 7.B.(1), fund 805-5233720510

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
Name	Reported role
Philip Dickie	Director
William J. Ferri	Director
N/A Ubs O'connor Llc	Promoter
William E.J. Walmsley	Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

Ubs Fund Services (Cayman) Ltd. Ubs House, 227 Elgin Avenue, P.O Box 852
Grand Cayman, E9, KY1-1103