Form D · Hedge Fund

PK JAPAN

George Town, Grand Cayman, E9 · CIK 0001474326

Offering snapshot reported Sep 28, 2012 · SEC filing

Reported sold
$25M
Indefinite offering
Investors reported
1
Form D · investor count
Minimum accepted
$1M
Reported outside-investor minimum
First sale
Oct 1, 2009
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$12.5M$25MOct 15, 2009: $25,000,000.00Oct 15, 2009Sep 30, 2010: $25,000,000.00Sep 30, 2010Sep 29, 2011: $25,000,000.00Sep 29, 2011Sep 28, 2012: $25,000,000.00Sep 28, 2012

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.

No comparable changes in the displayed metrics.

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Sep 28, 2012Amendment$25,000,000$0vs Sep 29, 20111SEC filing
Sep 29, 2011Amendment$25,000,000$0vs Oct 15, 20091SEC filing
Sep 30, 2010Amendment$25,000,000$0vs Oct 15, 20091SEC filing
Oct 15, 2009Initial$25,000,000No comparison1SEC filing

Offering details

Securities
Equity, 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
021-135336

Source: Form D, filed Sep 28, 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

PK JAPAN

Investment adviser: PK INVESTMENT MANAGEMENT LLP

Gross asset value
$220M
Beneficial owners
24
ADV minimum commitment
$1M

Reported in Form ADV on Nov 12, 2012. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator PHOENIX FINANCIAL SERVICES LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor GRANT THORNTON GEORGE TOWN, Cayman Islands
Auditor GRANT THORNTON DUBLIN, Ireland
Custodian BNP PARIBAS SECURITIES SERVICES S.A. LONDON, United Kingdom Related to adviser: No
Marketer AMBATA SECURITIES, LLC NEW YORK, New York, United States Related to adviser: No
Prime broker GOLDMAN SACHS INTERNATIONAL LONDON, United Kingdom
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

AMBATA SECURITIES, LLC
CRD 131607 · SEC 8-66487

Filing source

Form ADV 679580 · Nov 12, 2012 · Schedule D 7.B.(1), fund 805-8040497642

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
Andrew J. Ashworth Director
Jozef Charles Hendriks Director
Therese Meier Director
David Miller Director
Peter Munster Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
Walkers Spv Limited Walkers House, 87 Mary Street
George Town, Grand Cayman, E9, KY1-9002