Form D · Hedge Fund

PROPHECY TRADING ADVISORS INTERNATIONAL LTD.

New York, NY · CIK 0001656775

Offering snapshot reported Mar 28, 2018 · SEC filing

Reported sold: $152M
Investors reported: 44
Minimum accepted: $100K
First sale: Apr 1, 2012

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$62,707,309 → $152,066,769
Reported investors29 → 44

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Mar 28, 2018	Amendment	$152,066,769	$89,359,460vs Dec 7, 2015	44	SEC filing
Dec 7, 2015	Initial	$62,707,309	No comparison	29	SEC filing

Offering details

Securities: Pooled investment fund, Other
Exemptions: 06b, 3C.1
Duration over one year: Yes
Business combination: No

Sales commissions: $558K (estimated)
Finders' fees: $0
Form D file number: 021-252504

The total amount sold and the number of investors do not take redemptions and/or withdrawals into consideration.

Shares. The Board of Directors, in its sole discretion, may accept lesser amounts, than the amount indicated in Item 11.

Sales commissions are paid by the Investment Manager of the Issuer.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
N/A	None	Sapeno Partners, LLP

Source: Form D, filed Mar 28, 2018. 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

PROPHECY TRADING ADVISORS INTERNATIONAL LTD.

Investment adviser: PROPHECY ASSET MANAGEMENT LP

Gross asset value: $231M
Beneficial owners: 38
ADV minimum commitment: $100K

Reported in Form ADV on Dec 18, 2020. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator MUFG FUND SERVICES LTD HAMILTON, Bermuda Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor DELOITTE TOUCHE NEW YORK, New York, United States

Custodian FIRST REPUBLIC BANK NEW YORK, New York, United States Related to adviser: No

Marketer MARCEL MELIS WILLMESTAD, Curacao Related to adviser: No

Marketer RACE ROCK CAPITAL LLC BOSTON, Massachusetts, United States Related to adviser: No

Marketer SAPENO PARTNERS LLP LONDON, United Kingdom Related to adviser: No

Marketer STONE MOUNTAIN CAPITAL LTD LONDON, United Kingdom Related to adviser: No

Provider details

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

DELOITTE TOUCHE
PCAOB 34

RACE ROCK CAPITAL LLC
CRD 153363 · SEC 8-68528

Filing source

Form ADV 1475712 · Dec 18, 2020 · Schedule D 7.B.(1), fund 805-3738283434

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
Richard Bartels, Jr.	Director
Thomas H. Davis	Director
N/A Prophecy Asset Management Lp	Promoter
Jeffrey Spotts	Director, Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

641 Lexington Avenue 13 Th Floor
New York, NY, 10022