Form D · Hedge Fund

Spectrum Fund Ltd

Hamilton, D0 · CIK 0001347973

Offering snapshot reported Jan 7, 2020 · SEC filing

Reported sold
$188M
Indefinite offering
Investors reported
48
Form D · investor count
Minimum accepted
$100K
Reported outside-investor minimum
First sale
Jul 1, 2005
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$107M$214MDec 2, 2005Oct 23, 2009: $206,119,361.00Nov 18, 2010: $214,213,029.00Dec 7, 2011: $214,213,029.00Mar 15, 2013: $188,176,298.00Mar 20, 2014: $188,176,298.00Feb 6, 2015: $188,176,298.00Jan 28, 2016: $188,176,298.00Jan 26, 2017: $188,176,298.00Jan 19, 2018: $188,176,298.00Jan 10, 2019: $188,176,298.00Jan 10, 2019: $188,176,298.00Jan 7, 2020: $188,176,298.00Jan 7, 2020

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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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jan 7, 2020Amendment$188,176,298$0vs Jan 10, 201948SEC filing
Jan 10, 2019Amendment$188,176,298$0vs Jan 19, 201848SEC filing
Jan 10, 2019Amendment$188,176,298$0vs Jan 19, 201848SEC filing
Jan 19, 2018Amendment$188,176,298$0vs Jan 26, 201748SEC filing
Jan 26, 2017Amendment$188,176,298$0vs Jan 28, 201648SEC filing
Jan 28, 2016Amendment$188,176,298$0vs Mar 20, 201448SEC filing
Feb 6, 2015Amendment$188,176,298$0vs Mar 20, 201448SEC filing
Mar 20, 2014Amendment$188,176,298$0vs Mar 15, 201348SEC filing
Mar 15, 2013Amendment$188,176,298-$26,036,731vs Dec 7, 201148SEC filing
Dec 7, 2011Amendment$214,213,029$0vs Nov 18, 201045SEC filing
Nov 18, 2010Amendment$214,213,029$8,093,668vs Oct 23, 200945SEC filing
Oct 23, 2009Amendment$206,119,361No comparison39SEC filing
Dec 2, 2005PaperNot reportedNo comparisonNot reportedSEC filing

Offering details

Securities
Equity, 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
021-84423
Amount provided is an estimate and includes non U.S. investor information for periods prior to January 1, 2013.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
KKR Capital Markets, LLC143571KKR Capital Markets, LLC · CRD 143571
Man Investments Inc.15770Man Investments Inc. · CRD 15770
Man Investments AGNone

Source: Form D, filed Jan 7, 2020. 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

SPECTRUM FUND, LTD

Investment adviser: NEPHILA CAPITAL LTD.

Gross asset value
$3.25M
Beneficial owners
9
ADV minimum commitment
$1M

Reported in Form ADV on Mar 23, 2016. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator MITSUBISHI UFJ FUND SERVICES (BERMUDA) LIMITED HAMILTON, Bermuda Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor DELOITTE LTD HAMILTON, Bermuda
Custodian BANK OF NEW YORK MELLON NEW YORK, New York, United States Related to adviser: No
Custodian HSBC BANK BERMUDA LIMITED HAMILTON, Bermuda Related to adviser: No
Custodian WELLS FARGO BANK, N.A. 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 983168 · Mar 23, 2016 · Schedule D 7.B.(1), fund 805-7665989235

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
NameReported role
John Collis Director
Steven Glassman Director, Executive
Dawn Griffiths Director
Greg Hagood Director, Executive
Gregory P Hagood Director, Executive
Elliot Hubbard Director
Frank Majors Director
Maria Marsh Director
David Oliveira Director
Adolfo Pena Director
Paul M Pereech Executive
Barney Schauble Director
Guy Swayne Director
Laura Taylor Director, Executive
Helen Thornton Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
Victoria Place, 3 Rd Floor West 31 Victoria Street
Hamilton, D0, HM 10