Form D · Hedge Fund

Universa Black Swan Protection Protocol Offshore IV Ltd.

George Town, Grand Cayman, E9 · CIK 0001533535

Offering snapshot reported May 29, 2019 · SEC filing

Reported sold: $100M
Investors reported: 18
Minimum accepted: $1M
First sale: Apr 1, 2011

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$99,495,056 → $100,491,605

Filing history

Scroll to see all columns →

Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
May 29, 2019	Amendment	$100,491,605	$996,549vs Jun 12, 2018	18	SEC filing
Jun 12, 2018	Amendment	$99,495,056	$26,720,805vs Jun 20, 2017	18	SEC filing
Jun 20, 2017	Amendment	$72,774,251	$5,740,710vs Jun 22, 2016	9	SEC filing
Jun 22, 2016	Amendment	$67,033,541	$911,077vs Jul 8, 2015	9	SEC filing
Jul 8, 2015	Amendment	$66,122,464	$5,363,290vs Jul 11, 2014	9	SEC filing
Jul 11, 2014	Amendment	$60,759,174	$8,644,180vs Oct 24, 2012	9	SEC filing
Oct 24, 2012	Amendment	$52,114,994	$27,752,665vs Oct 27, 2011	9	SEC filing
Oct 27, 2011	Initial	$24,362,329	No comparison	6	SEC filing

Offering details

Securities: Pooled investment fund, Other
Exemptions: 06b, 3C, 3C.7
Duration over one year: Yes
Business combination: No

Sales commissions: $0 (estimated)
Finders' fees: $0 (estimated)
Form D file number: 021-167868

Redeemable Shares

Source: Form D, filed May 29, 2019. 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

UNIVERSA BLACK SWAN PROTECTION PROTOCOL OFFSHORE IV LTD.

Investment adviser: UNIVERSA INVESTMENTS L.P.

Gross asset value: $19.3M
Beneficial owners: 7
ADV minimum commitment: $50M

Reported in Form ADV on Mar 29, 2019. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator STONE COAST FUND SERVICES GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LTD GEORGE TOWN, Cayman Islands

Custodian INTERACTIVE BROKERS LLC CHICAGO, Illinois, United States Related to adviser: No

Custodian MERRILL LYNCH PROFESSIONAL CLEARING CORP. NEW YORK, New York, United States Related to adviser: No

Custodian THE NORTHERN TRUST INTERNATIONAL BANKING CORPORATION JERSEY CITY, New Jersey, United States Related to adviser: No

Prime broker INTERACTIVE BROKERS LLC CHICAGO, Illinois, United States

Prime broker MERRILL LYNCH PROFESSIONAL CLEARING CORP. NEW YORK, New York, United States

Provider details

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

ERNST & YOUNG LTD
PCAOB 1655

INTERACTIVE BROKERS LLC
SEC 8-47257

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
SEC 8-33359

INTERACTIVE BROKERS LLC
CRD 36418 · SEC 8-47257

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
CRD 16139 · SEC 8-33359

Filing source

Form ADV 1268519 · Mar 29, 2019 · Schedule D 7.B.(1), fund 805-3320047536

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
Laren Gillespie	Director
Jonathan D. Herrick	Director
Scott P. Lennon	Director
Robert Meschi	Director
Richard A. Ruffer, Jr.	Director
Michelle M. Wilson Clarke	Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

Stone Coast Fund Services, Ltd. Cayman Corp Centre, 27 Hospital Rd
George Town, Grand Cayman, E9, KY1-9008