Form D · Hedge Fund

Optima Emerging Markets Fund LP

New York, NY · CIK 0001297410

Offering snapshot reported Oct 27, 2011 · SEC filing

Reported sold: $14.8M
Investors reported: 16
Minimum accepted: $250K
First sale: Jul 1, 2004

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$13,991,000 → $14,810,000

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Oct 27, 2011	Amendment	$14,810,000	$819,000vs Nov 4, 2010	16	SEC filing
Nov 4, 2010	Initial	$13,991,000	No comparison	16	SEC filing

Offering details

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

Sales commissions: $171K
Finders' fees: $0
Form D file number: 021-150028

Item (b) represents the total amount outstanding as of the date of this filing in reliance on the Regulation D exemption. The original Form D was filed by paper in July 2004.

The amount of sales commission represents the total portion of management fees paid to both Credit Suisse Securities (USA) LLC ($75,614.50) and Deutsche Bank Securities Inc. ($95,704.66) to date.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Deutsche Bank Securities Inc.	2525
Credit Suisse Securities (USA) LLC	816

Source: Form D, filed Oct 27, 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

THE OPTIMA EMERGING MARKETS FUND LP

Investment adviser: OPTIMA FUND MANAGEMENT LLC

Gross asset value: $11.7M
Beneficial owners: 31
ADV minimum commitment: $250K

Reported in Form ADV on Mar 28, 2012. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Auditor MCGLADERY & PULLEN, LLP NEW YORK, New York, United States

Custodian BANK OF AMERICA, NA NEW YORK, New York, United States Related to adviser: No

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

Marketer DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: No
External marketing: Yes

CREDIT SUISSE SECURITIES (USA) LLC
CRD 816 · SEC 801-56264

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 801-9638

Filing source

Form ADV 624594 · Mar 28, 2012 · Schedule D 7.B.(1), fund 805-2999631900

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
Optima Group Holdings Llc	Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

10 East 53 St 29 Th Floor
New York, NY, 10022