Form D · Hedge Fund

ZAXIS EQUITY NEUTRAL LP

Orinda, CA · CIK 0001131846

Offering snapshot reported Jan 9, 2015 · SEC filing

Reported sold: $161M
Investors reported: 31
Minimum accepted: $1M
First sale: Jan 1, 2001

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.

No comparable changes in the displayed metrics.

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Jan 9, 2015	Amendment	$160,721,753	$0vs Jan 10, 2014	31	SEC filing
Jan 10, 2014	Amendment	$160,721,753	$0vs Jan 18, 2013	31	SEC filing
Jan 18, 2013	Amendment	$160,721,753	$0vs Feb 1, 2012	31	SEC filing
Feb 1, 2012	Amendment	$160,721,753	$12,019,144vs Mar 2, 2011	31	SEC filing
Mar 2, 2011	Amendment	$148,702,609	$12,000,000vs Mar 17, 2010	29	SEC filing
Mar 17, 2010	Amendment	$136,702,609	$250,000vs Mar 11, 2009	27	SEC filing
Mar 11, 2009	Amendment	$136,452,609	No comparison	Not reported	SEC filing

Offering details

Securities: Pooled investment fund, Other
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: 021-42223

Limited Partner Interests

Source: Form D, filed Jan 9, 2015. 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

ZAXIS EQUITY NEUTRAL, L.P.

Investment adviser: APEX CAPITAL, LLC

Gross asset value: $229M
Beneficial owners: 5
ADV minimum commitment: $1M

Reported in Form ADV on Aug 14, 2015. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator CITCO FUND SERVICES (CURACAO) N.V. WILLEMSTAD, CURACAO, Netherlands Antilles Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS LLP NEW YORK, New York, United States

Custodian J.P. MORGAN CHASE BANK NEW YORK, New York, United States Related to adviser: No

Custodian STATE STREET CORPORATION BOSTON, Massachusetts, United States Related to adviser: No

Marketer BTIG, LLC SAN FRANCISCO, California, United States Related to adviser: No

Prime broker CREDIT SUISSE PRIME SECURITIES SERVICES (USA) LLC NEW YORK, New York, United States

Prime broker GOLDMAN, SACHS & CO. NEW YORK, New York, United States

Prime broker J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States

Prime broker MORGAN STANLEY & CO. LLC BROOKLYN, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

BTIG, LLC
CRD 122225 · SEC 8-65473

CREDIT SUISSE PRIME SECURITIES SERVICES (USA) LLC
CRD 151470 · SEC 8-68376

GOLDMAN, SACHS & CO.
CRD 361 · SEC 8-129

J.P. MORGAN CLEARING CORP.
CRD 28432 · SEC 8-43724

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

Filing source

Form ADV 941016 · Aug 14, 2015 · Schedule D 7.B.(1), fund 805-5230510885

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
N/A Apex Capital, Llc	Executive
Sanford J. Colen	Executive
Kara Dille	Executive
Kara Singleton	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

25 Orinda Way, Suite 300
Orinda, CA, 94563