Form D · Hedge Fund

WARBERG OPPORTUNISTIC TRADING FUND LP

Winnetka, IL · CIK 0001459084

Offering snapshot reported Mar 14, 2014 · SEC filing

Reported sold: $10.8M
Investors reported: 45
Minimum accepted: $500K
First sale: Feb 1, 2009

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$11,115,244 → $10,845,300
Reported investors46 → 45

Filing history

Scroll to see all columns →

Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Mar 14, 2014	Amendment	$10,845,300	-$269,944vs Mar 15, 2013	45	SEC filing
Mar 15, 2013	Amendment	$11,115,244	$1,074,074vs Mar 9, 2011	46	SEC filing
Mar 9, 2011	Amendment	$10,041,170	$2,818,128vs Mar 9, 2010	44	SEC filing
Mar 9, 2010	Amendment	$7,223,042	No comparison	32	SEC filing
Mar 10, 2009	Paper	Not reported	No comparison	Not reported	SEC filing

Offering details

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

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-128269

Source: Form D, filed Mar 14, 2014. 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

WARBERG OPPORTUNISTIC TRADING FUND LP

Investment adviser: WARBERG ASSET MANAGEMENT LLC

Gross asset value: $47.2K
Beneficial owners: 29
ADV minimum commitment: $100K

Reported in Form ADV on Mar 27, 2020. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator NAV CONSULTING OAK BROOK TERRACE, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Custodian FIFTH THIRD BANK CHICAGO, Illinois, United States Related to adviser: No

Custodian NATIONAL FINANCIAL SERVICES. BOSTON, Massachusetts, United States Related to adviser: No

Prime broker NATIONAL FINANCIAL SERVICES BOSTON, Massachusetts, United States

Provider details

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

Filing source

Form ADV 1401699 · Mar 27, 2020 · Schedule D 7.B.(1), fund 805-5899275062

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
Jonathan Blumberg	Executive
N/A Warberg Asset Management Llc	Executive
Daniel R. Warsh	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

716 Oak Street
Winnetka, IL, 60093