Form D · Hedge Fund

Optima Emerging Markets Fund LTD

Pembroke, D0 · CIK 0001297333

Offering snapshot reported Oct 30, 2014 · SEC filing

Reported sold: $1.49M
Investors reported: 5
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$1,458,000 → $1,492,000

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Oct 30, 2014	Amendment	$1,492,000	$34,000vs Oct 1, 2013	5	SEC filing
Oct 1, 2013	Amendment	$1,458,000	$83,000vs Nov 9, 2012	5	SEC filing
Nov 9, 2012	Amendment	$1,375,000	-$1,152,000vs Mar 22, 2012	5	SEC filing
Mar 22, 2012	Amendment	$2,527,000	$0vs Oct 27, 2011	6	SEC filing
Oct 27, 2011	Amendment	$2,527,000	-$5,649,000vs Nov 4, 2010	6	SEC filing
Nov 4, 2010	Initial	$8,176,000	No comparison	8	SEC filing

Offering details

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

Sales commissions: $106K
Finders' fees: $0
Form D file number: 021-150035

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 Deutsche Bank Securities Inc. to date.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Deutsche Bank Securities Inc.	2525

Source: Form D, filed Oct 30, 2014. 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 LIMITED

Investment adviser: OPTIMA FUND MANAGEMENT LIMITED PARTNERSHIP

Gross asset value: $9.85M
Beneficial owners: 12
ADV minimum commitment: $250K

Reported in Form ADV on Oct 7, 2014. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator MERIDIAN FUND SERVICES (BERMUDA) LIMITED HAMILTON, Bermuda Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor DELOITTE & TOUCHE HAMILTON, Bermuda

Custodian HSBC INSTITUTIONAL TRUST SERVICES (IRELAND) LIMITED DUBLIN, Ireland Related to adviser: No

Marketer ALPHEUS GROUP LTD. HAMILTON, Bermuda 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: Yes
External marketing: Yes

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

Filing source

Form ADV 848573 · Oct 7, 2014 · Schedule D 7.B.(1), fund 805-2697863858

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
Dennie Dixon Boardman	Director
John Charles Ross Collis	Director
Thomas Haskins Davis	Director
Neil Glass	Director
Ronald Aaron Lake	Director
Geoffrey Manfred Lewis	Director
Optima Fund Limited Partnership	Promoter
Robert Richard Rans	Director
William Donald Thomson	Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

The Belvedere Building 69 Pitts Bay Road
Pembroke, D0, HM08