Form D · Hedge Fund

Owl Creek Asia Fund, Ltd.

Camana Bay, Grand Cayman, E9 · CIK 0001528994

Offering snapshot reported Dec 2, 2016 · SEC filing

Reported sold
$28.5M
Indefinite offering
Investors reported
24
Form D · investor count
Minimum accepted
$100K
Reported outside-investor minimum
First sale
Aug 1, 2011
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$14.2M$28.5MSep 9, 2011: $3,500,000.00Sep 9, 2011Mar 7, 2012: $8,700,000.00Mar 4, 2013: $11,200,000.00Oct 16, 2013: $14,150,000.00Oct 16, 2014: $28,052,706.00Mar 4, 2015: $28,052,706.00Mar 4, 2016: $28,237,706.00Dec 2, 2016: $28,487,706.00Dec 2, 2016

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$28,237,706 → $28,487,706
  • Reported investors23 → 24

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Dec 2, 2016Amendment$28,487,706$250,000vs Mar 4, 201624SEC filing
Mar 4, 2016Amendment$28,237,706$185,000vs Mar 4, 201523SEC filing
Mar 4, 2015Amendment$28,052,706$0vs Oct 16, 201423SEC filing
Oct 16, 2014Amendment$28,052,706$13,902,706vs Oct 16, 201323SEC filing
Oct 16, 2013Amendment$14,150,000$5,450,000vs Mar 7, 20129SEC filing
Mar 4, 2013Amendment$11,200,000$2,500,000vs Mar 7, 20125SEC filing
Mar 7, 2012Amendment$8,700,000$5,200,000vs Sep 9, 20114SEC filing
Sep 9, 2011Initial$3,500,000No comparison1SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$269K
Finders' fees
$0
Form D file number
021-165571
Includes sales commissions paid to all placement agents listed in this Form D.

Sales compensation recipients

Scroll to see all columns →

RecipientCRDAssociated broker-dealer
Barclays Capital Inc. (Barclays Wealth Americas)19714
Barclays Bank PLCNone
Stifel, Nicolaus & Company, Inc.793
Owl Creek Asset Management Marketing, LLC38008

Source: Form D, filed Dec 2, 2016. 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

OWL CREEK ASIA FUND, LTD

Investment adviser: OWL CREEK ASSET MANAGEMENT, L.P.

Gross asset value
Not reported
Beneficial owners
Not reported
ADV minimum commitment
Not reported

Reported in Form ADV on Mar 1, 2022. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

No provider names available in this fund's imported disclosure.

Provider details
Annual audit
Not reported
Prime brokers
Not reported
Custodians
Not reported
Administrator other than the adviser
Not reported
External marketing
Not reported
Filing source

Form ADV 1601871 · Mar 1, 2022 · Schedule D 7.B.(1), fund 805-3379834734

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
Jeffrey A. Altman Director
Owl Creek Asset Management, L.P. Promoter
Geoff Ruddick Director
W. William Woods Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
Citco Fund Admin. (Cayman Islands) Ltd. 89 Nexus Way, 2 Fl., P.O. Box 31106
Camana Bay, Grand Cayman, E9, KY1-1205