Form D · Hedge Fund

PROXIMA CAPITAL, LP

New York, NY · CIK 0001412006

Offering snapshot reported Apr 18, 2019 · SEC filing

Reported sold: $435M
Investors reported: 92
Minimum accepted: $0
First sale: Sep 1, 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$433,530,490 → $435,336,371
Reported investors91 → 92

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Apr 18, 2019	Amendment	$435,336,371	$1,805,881vs Apr 18, 2018	92	SEC filing
Apr 18, 2018	Amendment	$433,530,490	$16,705,500vs Apr 20, 2017	91	SEC filing
Apr 20, 2017	Amendment	$416,824,990	$0vs Jun 13, 2016	90	SEC filing
Jun 13, 2016	Amendment	$416,824,990	$12,329,047vs Jun 11, 2015	90	SEC filing
Jun 11, 2015	Amendment	$404,495,943	$71,500,000vs Jun 11, 2014	90	SEC filing
Jun 11, 2014	Initial	$332,995,943	No comparison	83	SEC filing
Jun 12, 2013	Amendment	$271,458,638	$42,605,638vs Jun 15, 2012	78	SEC filing
Jun 15, 2012	Amendment	$228,853,000	$27,439,000vs Jun 17, 2011	71	SEC filing
Jun 17, 2011	Amendment	$201,414,000	$140,239,000vs Jun 7, 2010	60	SEC filing
Jun 7, 2010	Amendment	$61,175,000	$44,025,000vs Jun 11, 2009	41	SEC filing
Jun 11, 2009	Amendment	$17,150,000	No comparison	19	SEC filing
Sep 10, 2007	Paper	Not reported	No comparison	Not reported	SEC filing

Offering details

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

Sales commissions: $0 (estimated)
Finders' fees: $0 (estimated)
Form D file number: 021-218948

The recipient listed in Item 12 is paid an amount equal to a percentage of the management fee paid to the Manager (or its affiliate) attributable to certain assets under management and/or the incentive allocation.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Caplink Securities, Inc.	130702

Source: Form D, filed Apr 18, 2019. 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

PROXIMA CAPITAL, LP

Investment adviser: PROXIMA CAPITAL MANAGEMENT, LLC

Gross asset value: $113M
Beneficial owners: 28
ADV minimum commitment: $2M

Reported in Form ADV on Dec 27, 2016. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

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

Auditor RSM US LLP NEW YORK, New York, United States

Custodian HSBC BANK USA NEW YORK, New York, United States Related to adviser: No

Provider details

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

Filing source

Form ADV 1058044 · Dec 27, 2016 · Schedule D 7.B.(1), fund 805-1785729474

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
Youlia Miteva	Executive
Proxima Capital Management, Llc	Executive
Rigil Kent, Llc	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

845 Third Avenue 16 Th Floor
New York, NY, 10022