Form D · Hedge Fund

ROUND TABLE INTEREST RATE FUND, LTD

Grand Cayman, E9 · CIK 0001425703

Offering snapshot reported Aug 11, 2014 · SEC filing

Reported sold: $75M
Investors reported: 4
Minimum accepted: $1M
First sale: Jan 2, 2008

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$135,500,000 → $75,000,000
Reported investors5 → 4

Filing history

Scroll to see all columns →

Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Aug 11, 2014	Amendment	$75,000,000	-$60,500,000vs Mar 5, 2014	4	SEC filing
Mar 5, 2014	Amendment	$135,500,000	$60,500,000vs Mar 5, 2013	5	SEC filing
Mar 5, 2013	Amendment	$75,000,000	$0vs Mar 5, 2012	4	SEC filing
Mar 5, 2012	Amendment	$75,000,000	-$80,781,765vs Mar 5, 2010	4	SEC filing
Mar 5, 2010	Amendment	$155,781,765	No comparison	6	SEC filing
Jan 30, 2008	Paper	Not reported	No comparison	Not reported	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: 021-114195

Source: Form D, filed Aug 11, 2014. 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

ROUND TABLE INTEREST RATE FUND, LTD

Investment adviser: ROUND TABLE INVESTMENT MANAGEMENT COMPANY, LP

Gross asset value: $127M
Beneficial owners: 5
ADV minimum commitment: $1M

Reported in Form ADV on Dec 4, 2014. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator CITCO CANADA INC. TORONTO, Canada Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor DELOITTE GRAND CAYMAN, Cayman Islands

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

Custodian CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States Related to adviser: No

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

Marketer MISCHLER FINANCIAL GROUP, INC. CORONA DEL MAR, California, United States Related to adviser: No

Prime broker CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States

Prime broker J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

CITIGROUP GLOBAL MARKETS INC.
SEC 8-8177

J.P. MORGAN CLEARING CORP.
SEC 8-43724

MISCHLER FINANCIAL GROUP, INC.
CRD 37818 · SEC 8-48067

CITIGROUP GLOBAL MARKETS INC.
CRD 7059 · SEC 8-8177

J.P. MORGAN CLEARING CORP.
CRD 28432 · SEC 8-43724

Filing source

Form ADV 850153 · Dec 4, 2014 · Schedule D 7.B.(1), fund 805-6507768619

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
Ian G. Banwell	Director
David T. Lewis	Director
Robert J. Miller	Director
Jason D. Osier	Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

C/O Citco Fund Services (Cayman Is) Ltd 89 Nexus Way, Camana Bay, Po Box 31106
Grand Cayman, E9, KY1-1205