Form D · Hedge Fund
PALO ALTO SMALL CAP OFFSHORE LTD.
Hamilton, D0 · CIK 0001387839
Offering snapshot reported Apr 26, 2012 · SEC filing
- Reported sold
- $43M Offering amount: $500M
- Investors reported
- 12 Form D · investor count
- Minimum accepted
- $1M Reported outside-investor minimum
- First sale
- Dec 11, 2006 As reported in this filing
Fundraising history
Reported soldDates 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.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Apr 26, 2012 | Amendment | $42,980,000 | $0vs Mar 21, 2011 | 12 | SEC filing |
| Mar 21, 2011 | Amendment | $42,980,000 | $0vs Feb 25, 2010 | 12 | SEC filing |
| Feb 25, 2010 | Amendment | $42,980,000 | $300,000vs Mar 6, 2009 | 12 | SEC filing |
| Mar 6, 2009 | Amendment | $42,680,000 | No comparison | Not reported | SEC filing |
| Jan 24, 2007 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Pooled investment fund, Other
- Exemptions
- 06, 3C, 3C.7
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $0 (estimated)
- Finders' fees
- $0 (estimated)
- Form D file number
- 021-99362
Redeemable shares
The issuer does not pay any sales commissions or finders' fees expenses. The investment adviser of the issuer pays a portion of the management fees it receives from the issuer to the firms above.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Morgan Stanley Smith Barney LLC | 149777 | |
| Citigroup Global Markets Inc. | 7059 | |
| Navpoint LLC, dba Blue Trading LLC | 104393 |
Source: Form D, filed Apr 26, 2012. 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
PALO ALTO SMALL CAP OFFSHORE LTD.
Investment adviser: PALO ALTO INVESTORS LP
- Gross asset value
- Not reported
- Beneficial owners
- Not reported
- ADV minimum commitment
- Not reported
Reported in Form ADV on Mar 17, 2017. 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 1078414 · Mar 17, 2017 · Schedule D 7.B.(1), fund 805-7614340032
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.
| Name | Reported role |
|---|---|
| Ronan Guilfoyle | Director |
| Roger H. Hanson | Director |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Hamilton, D0, HM 08