Form D · Hedge Fund

Universa Black Swan Protection Protocol V L.P.

Santa Monica, CA · CIK 0001458563

Offering snapshot reported Apr 5, 2012 · SEC filing

Reported sold
$129M
Indefinite offering
Investors reported
3
Form D · investor count
Minimum accepted
$1M
Reported outside-investor minimum
First sale
Apr 1, 2009
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$64.7M$129MMar 13, 2009Apr 1, 2010: $57,250,000.00Apr 1, 2010Apr 11, 2011: $103,000,000.00Apr 11, 2011Apr 5, 2012: $129,465,000.00Apr 5, 2012

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$57,250,000 → $129,465,000
  • Reported investors2 → 3

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Apr 5, 2012Amendment$129,465,000$72,215,000vs Apr 1, 20103SEC filing
Apr 11, 2011Amendment$103,000,000$45,750,000vs Apr 1, 20102SEC filing
Apr 1, 2010Amendment$57,250,000No comparison2SEC filing
Mar 13, 2009InitialYet to sellNo comparisonNot reportedSEC filing

Offering details

Securities
Pooled investment fund, Other
Exemptions
06, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$0 (estimated)
Finders' fees
$0 (estimated)
Form D file number
021-127793
Limited partner interests

Source: Form D, filed Apr 5, 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

UNIVERSA BLACK SWAN PROTECTION PROTOCOL V L.P.

Investment adviser: UNIVERSA INVESTMENTS L.P.

Gross asset value
$4.94M
Beneficial owners
3
ADV minimum commitment
$50M

Reported in Form ADV on Aug 17, 2012. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator CITCO FUND SERVICES (BERMUDA) INC. SAN FRANCISCO, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ROTHSTEIN KASS & COMPANY LLP ROSELAND, New Jersey, United States
Custodian J.PMORGAN CHASE BANK, N.A. NEW YORK, New York, United States Related to adviser: No
Custodian MERRILL LYNCH PROFESSIONAL CLEARING CORP. NEW YORK, New York, United States Related to adviser: No
Prime broker MERRILL LYNCH PROFESSIONAL CLEARING CORP. NEW YORK, New York, United States
Prime broker UBS SECURITIES LLC SAN FRANCISCO, California, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
SEC 8-33359

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

UBS SECURITIES LLC
CRD 7654 · SEC 8-22651

Filing source

Form ADV 665297 · Aug 17, 2012 · Schedule D 7.B.(1), fund 805-5881084501

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
Eric Spencer Executive, Promoter
Mark W. Spitznagel Executive, Promoter
N/A Universa Black Swan Gp Llc Executive, Promoter
N/A Universa Black Swan Gp V Llc Executive, Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
1414 Second Street
Santa Monica, CA, 90401