Form D · Hedge Fund

Water Island Event-Driven Fund, LLC

New York, NY · CIK 0001702406

Offering snapshot reported Feb 20, 2020 · SEC filing

Reported sold: $7.9M
Investors reported: 7
Minimum accepted: $1M
First sale: May 1, 2017

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Feb 20, 2020	Initial	$7,900,000	No comparison	7	SEC filing
Mar 31, 2017	Initial	Yet to sell	No comparison	0	SEC filing

Offering details

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

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-360958

Source: Form D, filed Feb 20, 2020. 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

WATER ISLAND EVENT-DRIVEN FUND, LLC

Investment adviser: WATER ISLAND CAPITAL,LLC

Gross asset value: $6.95M
Beneficial owners: 7
ADV minimum commitment: $1M

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 SEI INVESTMENTS COMPANY OAKS, Pennsylvania, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor WARREN AVERETT ATLANTA, Georgia, United States

Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No

Prime broker MORGAN STANLEY & CO. LLC 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

WARREN AVERETT
PCAOB 2226

MORGAN STANLEY & CO. LLC
SEC 8-15869

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Filing source

Form ADV 1386961 · Mar 27, 2020 · Schedule D 7.B.(1), fund 805-1872852231

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
John S Orrico	Executive
Water Island Holdings, Llc Water Island Holdings, Llc	Executive
N/A Water Island Holdings, Llc	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

41 Madison Avenue 42 Nd Floor
New York, NY, 10010