Form D · Hedge Fund

Permal Silk Road Fund, Ltd.

Road Town, Tortola, D8 · CIK 0001458247

Offering snapshot reported Mar 16, 2012 · SEC filing

Reported sold: $2M
Investors reported: 1
Minimum accepted: $100K
First sale: Nov 9, 2007

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$55,513,384 → $2,000,000
Reported investors31 → 1

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Mar 16, 2012	Amendment	$2,000,000	-$53,513,384vs Mar 16, 2011	1	SEC filing
Mar 16, 2011	Initial	$55,513,384	No comparison	31	SEC filing
Mar 16, 2010	Amendment	$61,292,610	-$7,402,314vs Mar 17, 2009	32	SEC filing
Mar 17, 2009	Initial	$68,694,924	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: 021-156874

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

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

Source: Form D, filed Mar 16, 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

PERMAL SILK ROAD FUND LTD.

Investment adviser: ENTRUSTPERMAL MANAGEMENT LLC

Gross asset value: $49.3M
Beneficial owners: 17
ADV minimum commitment: $100K

Reported in Form ADV on Jul 30, 2012. 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 SMITH & WILLIAMSON INVESTMENT MANAGEMENT LIMITED LONDON, United Kingdom Related to adviser: No

Custodian THE BANK OF NEW YORK MELLON CORPORATION NEW YORK, New York, United States 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

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

Filing source

Form ADV 659779 · Jul 30, 2012 · Schedule D 7.B.(1), fund 805-6695140831

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
Michael Delauzun	Director
Gary Gladstein	Director
Christopher Gruninger	Director
Edmond Jousselin	Director
Grant Kvalheim	Director
Raymond Mason	Director
Isaac Souede	Director
William Waters	Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

Harneys Corporate Services Limited Craigmuir Chambers, Box 71
Road Town, Tortola, D8, BVI