Form D · Hedge Fund

Permal Asian Holdings N.V.

Curacao, P8 · CIK 0001458292

Offering snapshot reported Mar 14, 2013 · SEC filing

Reported sold: $428M
Investors reported: 32
Minimum accepted: $50K
First sale: Dec 28, 1994

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$412,273,377 → $428,255,003
Reported investors12 → 32

Filing history

Scroll to see all columns →

Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Mar 14, 2013	Amendment	$428,255,003	$15,981,626vs Mar 16, 2012	32	SEC filing
Mar 16, 2012	Amendment	$412,273,377	$293,514,553vs Mar 16, 2011	12	SEC filing
Mar 16, 2011	Initial	$118,758,824	No comparison	92	SEC filing
Mar 16, 2010	Amendment	$130,430,522	-$70,236,488vs Mar 16, 2009	92	SEC filing
Mar 16, 2009	Initial	$200,667,010	No comparison	Not reported	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: 021-156837

The agreement with C.P. Eaton and Associates has been terminated since September 30, 2008. The agreement with Maybridge Partners Inc. terminated on or around May 11, 2011. Neither firm currently solicits for the Issuer.

Sales compensation recipients

Scroll to see all columns →

Recipient	CRD	Associated broker-dealer
Maybridge Partners, Inc.	None
C.P.Eaton and Associates	31170

Source: Form D, filed Mar 14, 2013. 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

PERMAL ASIAN HOLDINGS N.V.

Investment adviser: ENTRUSTPERMAL MANAGEMENT LLC

Gross asset value: $52.5M
Beneficial owners: 43
ADV minimum commitment: $100K

Reported in Form ADV on Jul 23, 2013. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator CITCO FUND SERVICES (CURACAO) B.V. WILLEMSTED, Netherlands Antilles Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSE COOPERS LLP TORONTO, Canada

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

Custodian CITCO BANKING CORPORATION N.V. WILLEMSTAD, Netherlands Antilles Related to adviser: No

Custodian CITCO BANK & TRUST COMPANY (BAHAMAS) LIMITED NASSAU, Bahamas, The Related to adviser: No

Custodian CITIC SECURITIES BROKERAGE HONG KONG, Hong Kong Related to adviser: No

Custodian GOLDMAN, SACHS & CO. NEW YORK, New York, United States Related to adviser: No

Custodian SMITH & WILLIAMSON INVESTMENT MANAGEMENT LIMITED LONDON, United Kingdom Related to adviser: No

Marketer PERMAL INVESTMENT MANAGEMENT SERVICES LIMITED LONDON, United Kingdom Related to adviser: Yes

Provider details

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

GOLDMAN, SACHS & CO.
SEC 8-129

PERMAL INVESTMENT MANAGEMENT SERVICES LIMITED
CRD 138297 · SEC 801-65843

Filing source

Form ADV 748424 · Jul 23, 2013 · Schedule D 7.B.(1), fund 805-7295686349

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
Michel Delauzun	Director
Gary Gladstein	Director
Christopher Gruninger	Director
Edmond De La Haye Jousselin	Director
Raymond A Mason	Director
Isaac Souede	Director
William Waters	Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

Citco Fund Services (Curacao) N.V. Kaya Flamboyan 9
Curacao, P8, NETHERLAND