Form D · Hedge Fund

WIND ROSE FUND LTD

Grand Cayman, E9 · CIK 0001424917

Offering snapshot reported Feb 26, 2016 · SEC filing

Reported sold
$34.8M
Indefinite offering
Investors reported
8
Form D · investor count
Minimum accepted
$1M
Reported outside-investor minimum
First sale
Jul 1, 2007
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$17.4M$34.8MMar 16, 2009: $9,645,538.00Mar 16, 2009Mar 9, 2010: $9,645,538.00Mar 9, 2011: $9,645,538.00Mar 9, 2012: $23,065,000.00Mar 8, 2013: $26,690,000.00Feb 20, 2014: $33,296,000.00Feb 17, 2015: $33,835,000.00Feb 26, 2016: $34,779,000.00Feb 26, 2016

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$33,835,000 → $34,779,000

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Feb 26, 2016Amendment$34,779,000$944,000vs Feb 17, 20158SEC filing
Feb 17, 2015Amendment$33,835,000$539,000vs Feb 20, 20148SEC filing
Feb 20, 2014Amendment$33,296,000$6,606,000vs Mar 8, 20138SEC filing
Mar 8, 2013Amendment$26,690,000$3,625,000vs Mar 9, 20125SEC filing
Mar 9, 2012Amendment$23,065,000$13,419,462vs Mar 9, 20113SEC filing
Mar 9, 2011Amendment$9,645,538$0vs Mar 9, 20104SEC filing
Mar 9, 2010Amendment$9,645,538$0vs Mar 16, 20094SEC filing
Mar 16, 2009Amendment$9,645,538No comparisonNot reportedSEC filing
Jan 22, 2008PaperNot reportedNo 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
Finders' fees
$0
Form D file number
021-113776

Source: Form D, filed Feb 26, 2016. 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

WIND ROSE FUND LTD

Investment adviser: TRUE BEARING ASSET MANAGEMENT LP

Gross asset value
$15.6M
Beneficial owners
6
ADV minimum commitment
$1M

Reported in Form ADV on Nov 14, 2016. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator TRIDENT FUND SERVICES ATLANTA, Georgia, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG SAN FRANCISCO, California, United States
Custodian FIDELITY BROKERAGE SERVICES LLC BOSTON, Massachusetts, United States Related to adviser: No
Prime broker FIDELITY BROKERAGE SERVICES LLC BOSTON, Massachusetts, United States
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

FIDELITY BROKERAGE SERVICES LLC
SEC 8-23292

FIDELITY BROKERAGE SERVICES LLC
CRD 7784 · SEC 8-23292

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

Filing source

Form ADV 1050432 · Nov 14, 2016 · Schedule D 7.B.(1), fund 805-5114813685

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
David Bree Director
Roger Hanson Director
Kenneth Heller Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
C/O Maples Corporate Services Limited Ugland House P.O. Box 309
Grand Cayman, E9, KY1-1104