Form D · Hedge Fund

UBS GLOBAL ALPHA STRATEGIES LTD

Grand Cayman, E9 · CIK 0001181466

Offering snapshot reported Mar 28, 2014 · SEC filing

Reported sold
$17M
Indefinite offering
Investors reported
13
Form D · investor count
Minimum accepted
$50K
Reported outside-investor minimum
First sale
Jan 1, 2005
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$8.5M$17MMar 12, 2010: $16,561,942.00Mar 12, 2010Mar 11, 2011: $16,561,942.00Mar 11, 2011Mar 28, 2012: $17,001,444.00Mar 28, 2012Mar 28, 2013: $17,001,444.00Mar 28, 2013Mar 28, 2014: $17,001,444.00Mar 28, 2014

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.

  • Minimum accepted$500,000 → $50,000

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Mar 28, 2014Amendment$17,001,444$0vs Mar 28, 201313SEC filing
Mar 28, 2013Amendment$17,001,444$0vs Mar 28, 201213SEC filing
Mar 28, 2012Amendment$17,001,444$439,502vs Mar 11, 201113SEC filing
Mar 11, 2011Amendment$16,561,942$0vs Mar 12, 201012SEC filing
Mar 12, 2010Amendment$16,561,942No comparison12SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$3.83M (estimated)
Finders' fees
$0
Form D file number
021-47322
Includes only securities sold to U.S. investors by the issuer in reliance on Regulation D (e.g., excludes securities sold to non-U.S. investors in reliance on Regulation S).
Includes sales commission paid to all placement agents listed in this Form D.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
UBS AG New York BranchNone
UBS AGNone
UBS Financial Services Inc.8174
UBS Global Asset Management (UK) LtdNone
UBS Global Asset Management (Singapore) LtdNone
UBS AG London BranchNone
UBS AG Jersey BranchNone
UBS Deutschland AG, FrankfurtNone

Source: Form D, filed Mar 28, 2014. Minimum accepted may differ from a standard advertised minimum.

Fund connections

No confirmed ADV fund connection is available for this issuer.

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
Richard E. Douglas Director
William J. Ferri Director
Cassandra Powell Director
Ubs Alternative And Quantitative Investments Llc Ubs Alternative And Quantitative Investments Llc Executive
Ubs Alternative And Quantitative Investments Llc Executive
William E.J. Walmsley Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
Ubs House 227 Elgin Avenue, P.O. Box 852
Grand Cayman, E9, KY1-1103