Form D · Hedge Fund

dbX-Convertible Arbitrage 14 Fund

St. Helier, Y9 · CIK 0001505660

Offering snapshot reported Apr 11, 2013 · SEC filing

Reported sold
Yet to sell
Offering amount: $150M
Investors reported
0
Form D · investor count
Minimum accepted
$250K
Reported outside-investor minimum
First sale
Yet to occur
As reported in this filing

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Apr 11, 2013AmendmentYet to sellNo comparison0SEC filing
Apr 11, 2012AmendmentYet to sellNo comparison0SEC filing
Apr 11, 2012AmendmentYet to sellNo comparison0SEC filing
Nov 22, 2010InitialYet to sellNo comparison0SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-150887
A placement fee of up to 5% of the relevant subscription amount may be charged to an investor

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Deutsche Bank AGNone
Deutsche Bank Securities Inc.2525

Source: Form D, filed Apr 11, 2013. 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

DBX-CONVERTIBLE ARBITRAGE 14 FUND

Investment adviser: DB INVESTMENT MANAGERS, INC

Gross asset value
$119M
Beneficial owners
19
ADV minimum commitment
$250K

Reported in Form ADV on Mar 31, 2014. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator DB FUND SERVICES LLC SANTA ANA, California, United States Investor statements: No (provided to no investors) Related to adviser: Yes
Auditor KPMG DUBLIN, Ireland
Custodian DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: Yes
Custodian DEUTSCHE BANK TRUST COMPANY AMERICAS NEW YORK, New York, United States Related to adviser: Yes
Marketer DEUTSCHE BANK AG, LONDON BRANCH LONDON, United Kingdom Related to adviser: Yes
Marketer DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: Yes
Prime broker DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

DEUTSCHE BANK SECURITIES INC.
SEC 8-17822

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 801-9638

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 8-17822

Filing source

Form ADV 813520 · Mar 31, 2014 · Schedule D 7.B.(1), fund 805-7050471575

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
Peter Becker Director
Alan Booth Director
Paul Cope Director
N/A Deutsche International Corporate Services Limited Promoter
N/A Deutsche International Custodial Services Limited Promoter
Ed Fletcher Director
Niall Gorman Director
Avril Anne Kerr Director
N/A Lazard Asset Management Llc Executive
David Mc Guinness Director
Jonathan Peake Director
Tina Saunders Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
Deutsche International Corp Services Ltd St. Paul's Gate, New Street
St. Helier, Y9, JE4 8ZB