Form D · Hedge Fund

BERENS CAPITAL ASIA (EX-JAPAN) LLC

New York, NY · CIK 0001405406

Offering snapshot reported Nov 1, 2016 · SEC filing

Reported sold
$169M
Indefinite offering
Investors reported
140
Form D · investor count
Minimum accepted
$1
Reported outside-investor minimum
First sale
Jul 1, 2004
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$84.3M$169MMar 13, 2009: $144,010,451.00Mar 13, 2009Mar 10, 2010: $147,261,633.00Jan 28, 2011: $150,160,786.00Mar 20, 2012: $156,760,786.00Mar 19, 2013: $161,013,341.00Mar 19, 2014: $164,763,341.00Mar 20, 2015: $167,222,331.00Nov 1, 2016: $168,605,056.00Nov 1, 2016

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$167,222,331 → $168,605,056

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Nov 1, 2016Amendment$168,605,056$1,382,725vs Mar 20, 2015140SEC filing
Mar 20, 2015Amendment$167,222,331$2,458,990vs Mar 19, 2014140SEC filing
Mar 19, 2014Amendment$164,763,341$3,750,000vs Mar 19, 2013136SEC filing
Mar 19, 2013Amendment$161,013,341$4,252,555vs Mar 20, 2012135SEC filing
Mar 20, 2012Amendment$156,760,786$6,600,000vs Jan 28, 2011131SEC filing
Jan 28, 2011Amendment$150,160,786$2,899,153vs Mar 10, 2010120SEC filing
Mar 10, 2010Amendment$147,261,633$3,251,182vs Mar 13, 2009118SEC filing
Mar 13, 2009Amendment$144,010,451No comparisonNot reportedSEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$68.7K (estimated)
Finders' fees
$0
Form D file number
021-105430

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Seth Adam Damski2940303Old City Securities, LLC · CRD 171910
Robert Carter Lyster315477Lyster Watson Securities, Inc. · CRD 30210

Source: Form D, filed Nov 1, 2016. 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

BERENS CAPITAL ASIA (EX-JAPAN) LLC

Investment adviser: BERENS CAPITAL MANAGEMENT, LLC

Gross asset value
$48.2M
Beneficial owners
37
ADV minimum commitment
$1M

Reported in Form ADV on Mar 29, 2018. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator APEX FUND SERVICES (CHARLOTTE) LLC CHARLOTTE, North Carolina, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor MARCUM LLP MELVILLE, New York, United States
Custodian FIRST REPUBLIC BANK 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

MARCUM LLP
PCAOB 688

Filing source

Form ADV 1195653 · Mar 29, 2018 · Schedule D 7.B.(1), fund 805-3370262348

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
Frank Brochin Executive
James P. Canales Executive
Peter Cassidy Executive
Zineb Guessous Executive
Judy Halaby Executive
Ernest H. Pomerantz Executive
John Santoleri Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
C/O Berens Capital Management, Llc 717 Fifth Avenue, Floor 12 A
New York, NY, 10022