Form D · Hedge Fund

SALIENT CONVEXITY OFFSHORE FUND, LTD.

San Francisco, CA · CIK 0001699288

Offering snapshot reported Apr 6, 2018 · SEC filing

Reported sold: $30M
Investors reported: 1
Minimum accepted: $1M
First sale: Mar 30, 2017

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.

No comparable changes in the displayed metrics.

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Apr 6, 2018	Amendment	$30,000,000	$0vs Apr 6, 2017	1	SEC filing
Apr 6, 2018	Amendment	$30,000,000	$0vs Apr 6, 2018	1	SEC filing
Apr 6, 2017	Initial	$30,000,000	No comparison	1	SEC filing

Offering details

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

Sales commissions: $9.6K (estimated)
Finders' fees: $0 (estimated)
Form D file number: 021-284265

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
David Hicks	3253023	Salient Capital L.P. · CRD 147912

Source: Form D, filed Apr 6, 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

SALIENT CONVEXITY OFFSHORE FUND, LTD.

Investment adviser: FORWARD MANAGEMENT, LLC

Gross asset value: $28.2M
Beneficial owners: 1
ADV minimum commitment: $1M

Reported in Form ADV on Jun 6, 2018. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator UMB FUND SERVICES, INC. MILWAUKEE, Wisconsin, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG GEORGE TOWN, Cayman Islands

Custodian CITIBANK, N.A. NEW YORK, New York, United States Related to adviser: No

Marketer APPLIED CAPITAL, LLC INDIANAPOLIS, Indiana, United States Related to adviser: No

Marketer SALIENT CAPITAL L.P. HOUSTON, Texas, United States Related to adviser: Yes

Provider details

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

KPMG
PCAOB 1323

APPLIED CAPITAL, LLC
CRD 166316 · SEC 8-69199

SALIENT CAPITAL L.P.
CRD 147912 · SEC 8-67938

Filing source

Form ADV 1222899 · Jun 6, 2018 · Schedule D 7.B.(1), fund 805-9870763551

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
Paul A. Bachtold	Executive
John A. Blaisdell	Director
Jonathan A. De Priest	Executive
William K. Enszer	Executive
William R. Guinn	Executive
William B. Hunt	Executive
Jeremy L. Radcliffe	Director
N/A Salient Liquid Alts Gp, L.P.	Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

101 California Street 16 Th Floor
San Francisco, CA, 94111