Form D · Other Investment Fund

O'Connor Fund of Funds: Masters LLC

Stamford, CT · CIK 0000947895

Offering snapshot reported Nov 30, 2012 · SEC filing

Reported sold: $89.8M
Investors reported: 121
Minimum accepted: $500K
First sale: Jul 1, 1995

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$47,639,764 → $89,831,962

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Nov 30, 2012	Amendment	$89,831,962	$42,192,198vs May 13, 2009	121	SEC filing
Dec 1, 2011	Amendment	$77,831,962	No comparison	108	SEC filing
Dec 2, 2010	Amendment	$72,146,967	$19,107,203vs Dec 2, 2009	98	SEC filing
Dec 2, 2009	Amendment	$53,039,764	$5,400,000vs May 13, 2009	73	SEC filing
May 13, 2009	Amendment	$47,639,764	No comparison	Not reported	SEC filing

Offering details

Securities: Equity, Pooled investment fund
Exemptions: 06, 3C.1
Duration over one year: Yes
Business combination: No

Sales commissions: $808K (estimated)
Finders' fees: $0
Form D file number: 021-94789-4N

Investors may be charged a placement fee of up to 2% of the investor's capital contribution. Placement fees do not constitute assets of the Fund and do not reduce an investor's capital account balance.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
UBS Financial Services Inc.	8174

Source: Form D, filed Nov 30, 2012. 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

O'CONNOR FUND OF FUNDS MASTERS LLC

Investment adviser: UBS HEDGE FUND SOLUTIONS LLC

Gross asset value: $88.7M
Beneficial owners: 63
ADV minimum commitment: $500K

Reported in Form ADV on Jul 23, 2013. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator BNY MELLON INVESTMENT SERVICING (US) INC. WILMINGTON, Delaware, United States Investor statements: No (provided to no investors) Related to adviser: No

Auditor ERNST & YOUNG NEW YORK, New York, United States

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

Marketer UBS FINANCIAL SERVICES INC. WEEHAWKEN, New Jersey, 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

UBS FINANCIAL SERVICES INC.
CRD 8174 · SEC 801-7163

Filing source

Form ADV 748402 · Jul 23, 2013 · Schedule D 7.B.(1), fund 805-1965467176

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
Robert Francis Aufenanger	Director, Executive
Eric Brotman	Director, Executive
William J. Ferri	Executive
Craig K. Goos	Director, Executive
James M. Hnilo	Executive
Stephen Roussin	Director
N/A Ubs Fund Advisor, L.L.C.	Promoter
Nicholas J. Vagra	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

C/O Ubs A&O Investments Llc 677 Washington Boulevard
Stamford, CT, 06901