Form D · Hedge Fund

Waterstone Market Neutral Fund, L.P.

St. Louis Park, MN · CIK 0001259323

Offering snapshot reported Feb 1, 2017 · SEC filing

Reported sold
$871M
Indefinite offering
Investors reported
91
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Jul 1, 2003
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$436M$871MMar 11, 2009: $392,255,063.00Mar 11, 2009Feb 22, 2010: $457,909,938.00Feb 3, 2011: $547,965,704.00Feb 7, 2012: $610,941,704.00Feb 12, 2013: $688,081,758.00Feb 12, 2014: $708,649,758.00Feb 12, 2015: $710,399,758.00Feb 12, 2016: $710,399,758.00Feb 1, 2017: $871,301,455.00Feb 1, 2017

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$710,399,758 → $871,301,455
  • Reported investors88 → 91

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Feb 1, 2017Amendment$871,301,455$160,901,697vs Feb 12, 201691SEC filing
Feb 12, 2016Amendment$710,399,758$0vs Feb 12, 201588SEC filing
Feb 12, 2015Amendment$710,399,758$1,750,000vs Feb 12, 201488SEC filing
Feb 12, 2014Amendment$708,649,758$20,568,000vs Feb 12, 201388SEC filing
Feb 12, 2013Amendment$688,081,758$77,140,054vs Feb 7, 201285SEC filing
Feb 7, 2012Amendment$610,941,704$62,976,000vs Feb 3, 201179SEC filing
Feb 3, 2011Amendment$547,965,704$90,055,766vs Feb 22, 201070SEC filing
Feb 22, 2010Amendment$457,909,938$65,654,875vs Mar 11, 200958SEC filing
Mar 11, 2009Amendment$392,255,063No comparisonNot reportedSEC filing

Offering details

Securities
Equity, Pooled investment fund
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
021-57708

Source: Form D, filed Feb 1, 2017. 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

WATERSTONE MARKET NEUTRAL FUND, LP.

Investment adviser: WATERSTONE CAPITAL MANAGEMENT, L.P.

Gross asset value
$55.3M
Beneficial owners
4
ADV minimum commitment
$1M

Reported in Form ADV on Apr 21, 2015. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator GLOBEOP FINANCIAL SERVICES HARTFORD, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ERNST & YOUNG LLP MINNEAPOLIS, Minnesota, United States
Custodian DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: No
Custodian J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States Related to adviser: No
Prime broker DEUTSCHE BANK AG 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

DEUTSCHE BANK SECURITIES INC.
SEC 8-17822

J.P. MORGAN CLEARING CORP.
SEC 8-43724

Filing source

Form ADV 912658 · Apr 21, 2015 · Schedule D 7.B.(1), fund 805-4455112612

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
Shawn Bergerson Executive
Waterstone Capital Advisors, Llc Executive
Waterstone Capital Management, L.P. Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
Waterstone Capital Advisors, Llc 6465 Wayzata Blvd. Suite 300
St. Louis Park, MN, 55426