Form D · Hedge Fund

Whitebox Asymmetric Opportunities Fund, Ltd

Grand Cayman, E9 · CIK 0001489003

Offering snapshot reported Dec 19, 2019 · SEC filing

Reported sold
$1.01B
Indefinite offering
Investors reported
68
Form D · investor count
Minimum accepted
$1M
Reported outside-investor minimum
First sale
Apr 1, 2010
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$503M$1.01BApr 12, 2010: $2,250,000.00Apr 12, 2010Apr 6, 2011: $6,150,000.00Apr 5, 2012: $8,103,384.00Apr 4, 2013: $18,373,384.00Mar 31, 2014: $99,668,404.00Mar 6, 2015: $212,320,802.00Jul 22, 2015: $311,035,294.00Jul 22, 2016: $611,030,151.00Jun 29, 2017: $850,665,151.00Dec 19, 2017: $895,665,151.00Dec 19, 2018: $963,665,151.00Dec 19, 2019: $1,005,253,261.00Dec 19, 2019

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$963,665,151 → $1,005,253,261
  • Reported investors63 → 68

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Dec 19, 2019Amendment$1,005,253,261$41,588,110vs Dec 19, 201868SEC filing
Dec 19, 2018Amendment$963,665,151$68,000,000vs Dec 19, 201763SEC filing
Dec 19, 2017Amendment$895,665,151$45,000,000vs Jun 29, 201760SEC filing
Jun 29, 2017Amendment$850,665,151$239,635,000vs Jul 22, 201659SEC filing
Jul 22, 2016Amendment$611,030,151$299,994,857vs Jul 22, 201552SEC filing
Jul 22, 2015Amendment$311,035,294$98,714,492vs Mar 6, 201535SEC filing
Mar 6, 2015Amendment$212,320,802$112,652,398vs Mar 31, 201426SEC filing
Mar 31, 2014Amendment$99,668,404$81,295,020vs Apr 4, 201317SEC filing
Apr 4, 2013Amendment$18,373,384$10,270,000vs Apr 5, 20129SEC filing
Apr 5, 2012Amendment$8,103,384$1,953,384vs Apr 6, 20115SEC filing
Apr 6, 2011Amendment$6,150,000$3,900,000vs Apr 12, 20104SEC filing
Apr 12, 2010Initial$2,250,000No comparison2SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$1.38M (estimated)
Finders' fees
$0 (estimated)
Form D file number
021-140395

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Constellar Capital Partners Hong Kong LimitedNone

Source: Form D, filed Dec 19, 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

WHITEBOX ASYMMETRIC OPPORTUNITIES FUND, LTD

Investment adviser: WHITEBOX ADVISORS LLC

Gross asset value
Not reported
Beneficial owners
Not reported
ADV minimum commitment
Not reported

Reported in Form ADV on Feb 14, 2023. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

No provider names available in this fund's imported disclosure.

Provider details
Annual audit
Not reported
Prime brokers
Not reported
Custodians
Not reported
Administrator other than the adviser
Not reported
External marketing
Not reported
Filing source

Form ADV 1714223 · Feb 14, 2023 · Schedule D 7.B.(1), fund 805-9060318153

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
George Bashforth Director
Richard Gordon Director
William Harris Director
Calum Mc Kenzie Director
Richard Mc Millan Director
Andrew Redleaf Executive
Mark Strefling Executive
Whitebox Advisors Llc Executive
N/A Whitebox Advisors Llc Executive
N/A Whitebox Asymmetric Advisors, Llc Promoter
Jonathan D. Wood Director, Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
Mourant Ozannes Corp Servs (Cayman) 94 Solaris Avenue, Camana Bay
Grand Cayman, E9, KY1-1108