Form D · Hedge Fund

Proxima Capital Offshore, Ltd.

Grand Cayman, E9 · CIK 0001488920

Offering snapshot reported Apr 18, 2019 · SEC filing

Reported sold: $106M
Investors reported: 21
Minimum accepted: $100K
First sale: Jan 1, 2010

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$105,575,892 → $105,746,892

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Apr 18, 2019	Amendment	$105,746,892	$171,000vs Apr 18, 2018	21	SEC filing
Apr 18, 2018	Amendment	$105,575,892	$31,614,000vs Apr 18, 2017	21	SEC filing
Apr 18, 2017	Amendment	$73,961,892	$3,500vs Apr 18, 2016	15	SEC filing
Apr 18, 2016	Amendment	$73,958,392	$549,500vs Apr 16, 2015	15	SEC filing
Apr 16, 2015	Amendment	$73,408,892	$57,650,014vs Apr 16, 2014	15	SEC filing
Apr 16, 2014	Amendment	$15,758,878	-$221,579,000vs Apr 18, 2013	10	SEC filing
Apr 18, 2013	Amendment	$237,337,878	-$15,206,000vs Apr 18, 2012	30	SEC filing
Apr 18, 2012	Amendment	$252,543,878	$64,716,550vs Apr 8, 2011	32	SEC filing
Apr 8, 2011	Amendment	$187,827,328	$127,162,526vs Apr 9, 2010	23	SEC filing
Apr 9, 2010	Initial	$60,664,802	No comparison	10	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: 021-140325

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 OFFSHORE, LTD

Investment adviser: PROXIMA CAPITAL MANAGEMENT, LLC

Gross asset value: $131M
Beneficial owners: 18
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 CAYMAN LTD. GRAND CAYMAN, Cayman Islands

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 805-6972395653

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
Evan Burtton	Director
Scott Dakers	Director
Julie Hughes	Director
Youlia Miteva	Director
Proxima Capital Management, Llc	Executive
Youlia Rowland	Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

C/O Intertrust Services (Cayman) Limited 190 Elgin Avenue, George Town
Grand Cayman, E9, KY1-9007