Form D · Hedge Fund

Pine River Baxter Fund LLC

Minnetonka, MN · CIK 0001691996

Offering snapshot reported Dec 12, 2017 · SEC filing

Reported sold: $4.13M
Investors reported: 11
Minimum accepted: $1M
First sale: Dec 1, 2016

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$3,577,652 → $4,127,652
Reported investors6 → 11

Filing history

Scroll to see all columns →

Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Dec 12, 2017	Amendment	$4,127,652	$550,000vs Dec 12, 2016	11	SEC filing
Dec 12, 2016	Initial	$3,577,652	No comparison	6	SEC filing

Offering details

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

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-276052

Source: Form D, filed Dec 12, 2017. 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

PINE RIVER BAXTER FUND LLC

Investment adviser: PINE RIVER CAPITAL MANAGEMENT L.P.

Gross asset value: $16.7M
Beneficial owners: 7
ADV minimum commitment: $1M

Reported in Form ADV on Jun 3, 2019. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator SS&C FINANCIAL SERVICES LLC WINDSOR, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LLP MINNEAPOLIS, Minnesota, United States

Custodian BARCLAYS BANK PLC LONDON, United Kingdom Related to adviser: No

Custodian BARCLAYS CAPITAL INC LONDON, United Kingdom Related to adviser: No

Custodian CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States Related to adviser: No

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

Custodian GOLDMAN SACHS INTERNATIONAL LONDON, United Kingdom Related to adviser: No

Custodian J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No

Custodian THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Related to adviser: No

Prime broker BARCLAYS BANK PLC LONDON, United Kingdom

Prime broker BARCLAYS CAPITAL INC NEW YORK, New York, United States

Prime broker CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States

Prime broker GOLDMAN SACHS & CO. LLC NEW TORK, New York, United States

Prime broker GOLDMAN SACHS INTERNATIONAL LONDON, United Kingdom

Prime broker J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States

Provider details

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

ERNST & YOUNG LLP
PCAOB 42

GOLDMAN SACHS & CO. LLC
SEC 8-129

GOLDMAN SACHS & CO. LLC
CRD 361 · SEC 8-129

Filing source

Form ADV 1326761 · Jun 3, 2019 · Schedule D 7.B.(1), fund 805-4191632387

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
Nicholas Bruce Nusbaum	Executive
Timothy William John O'brien	Executive
Brian Curtis Taylor	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

C/O Pine River Capital Management L.P. 601 Carlson Parkway, 7 Th Floor
Minnetonka, MN, 55305