Form D · Hedge Fund

Universa Premium Fund III Ltd.

George Town, Grand Cayman, E9 · CIK 0001533508

Offering snapshot reported Aug 6, 2019 · SEC filing

Reported sold
$22M
Indefinite offering
Investors reported
15
Form D · investor count
Minimum accepted
$1M
Reported outside-investor minimum
First sale
Nov 1, 2011
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$11M$22MOct 27, 2011Aug 30, 2013: $12,041,142.00Aug 28, 2014: $20,270,719.00Aug 25, 2015: $20,270,719.00Aug 25, 2016: $20,270,719.00Aug 17, 2017: $21,902,719.00Aug 6, 2018: $22,029,376.00Aug 6, 2019: $22,029,376.00Aug 6, 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.

No comparable changes in the displayed metrics.

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Aug 6, 2019Amendment$22,029,376$0vs Aug 6, 201815SEC filing
Aug 6, 2018Amendment$22,029,376$126,657vs Aug 17, 201715SEC filing
Aug 17, 2017Amendment$21,902,719$1,632,000vs Aug 25, 201616SEC filing
Aug 25, 2016Amendment$20,270,719$0vs Aug 25, 201516SEC filing
Aug 25, 2015Amendment$20,270,719$0vs Aug 28, 201416SEC filing
Aug 28, 2014Amendment$20,270,719$8,229,577vs Aug 30, 201316SEC filing
Aug 30, 2013Amendment$12,041,142No comparison15SEC filing
Oct 27, 2011InitialYet to sellNo comparison0SEC 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
021-167867
Redeemable Shares

Source: Form D, filed Aug 6, 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

UNIVERSA PREMIUM FUND III LTD

Investment adviser: UNIVERSA INVESTMENTS L.P.

Gross asset value
$1.09B
Beneficial owners
25
ADV minimum commitment
$50M

Reported in Form ADV on Nov 23, 2020. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator STONE COAST FUND SERVICES GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ERNST & YOUNG LTD. GRAND CAYMAN, Cayman Islands
Custodian BOFA SECURITIES, INC. NEW YORK, New York, United States Related to adviser: No
Custodian THE NORTHERN TRUST INTERNATIONAL BANKING CORPORATION JERSEY CITY, New Jersey, United States Related to adviser: No
Prime broker BOFA 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
No

ERNST & YOUNG LTD.
PCAOB 1655

BOFA SECURITIES, INC.
SEC 8-69787

BOFA SECURITIES, INC.
CRD 283942 · SEC 8-69787

Filing source

Form ADV 1467107 · Nov 23, 2020 · Schedule D 7.B.(1), fund 805-1008585078

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
Laren B. Gillespie Director
Jonathan D. Herrick Director
Robert Meschi Director
Richard A. Ruffer, Jr. Director
Michelle M. Wilson Clarke Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
Stone Coast Fund Services, Ltd. 27 Hospital Road
George Town, Grand Cayman, E9, KY1-9008