The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM D Notice of Exempt Offering of Securities |
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1. Issuer's Identity
CIK (Filer ID Number) | Previous Names |
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Entity Type | ||||||||||||
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0001708693 |
Cayman Islands Exempted Limited Company |
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Name of Issuer | |||||||||||||||
Aspect Core Trend HV Fund | |||||||||||||||
Jurisdiction of Incorporation/Organization | |||||||||||||||
CAYMAN ISLANDS | |||||||||||||||
Year of Incorporation/Organization | |||||||||||||||
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2. Principal Place of Business and Contact Information
Name of Issuer | |||
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Aspect Core Trend HV Fund | |||
Street Address 1 | Street Address 2 | ||
MAPLES CORPORATE SERVICES LIMITED | UGLAND HOUSE, BOX 309, SOUTH CHURCH ST. | ||
City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
GEORGE TOWN, GRAND CAYMAN | CAYMAN ISLANDS | KY1-1104 | 44.20717.09700 |
3. Related Persons
Last Name | First Name | Middle Name |
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Todd | Anthony | |
Street Address 1 | Street Address 2 | |
10 Portman Square | ||
City | State/Province/Country | ZIP/PostalCode |
London | UNITED KINGDOM | W1H 6AZ |
Relationship: | Executive Officer | X | Director | X | Promoter |
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Clarification of Response (if Necessary):
Director of Aspect Capital Limited, the investment manager of the Issuer.Last Name | First Name | Middle Name |
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Lueck | Martin | |
Street Address 1 | Street Address 2 | |
10 Portman Square | ||
City | State/Province/Country | ZIP/PostalCode |
London | UNITED KINGDOM | W1H 6AZ |
Relationship: | Executive Officer | X | Director | X | Promoter |
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Clarification of Response (if Necessary):
Director of Aspect Capital Limited, the investment manager of the Issuer.Last Name | First Name | Middle Name |
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Hope | Kenneth | |
Street Address 1 | Street Address 2 | |
10 Portman Square | ||
City | State/Province/Country | ZIP/PostalCode |
London | UNITED KINGDOM | W1H 6AZ |
Relationship: | Executive Officer | X | Director | X | Promoter |
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Clarification of Response (if Necessary):
Director of Aspect Capital Limited, the investment manager of the Issuer.Last Name | First Name | Middle Name |
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Dalton | Barney | |
Street Address 1 | Street Address 2 | |
10 Portman Square | ||
City | State/Province/Country | ZIP/PostalCode |
London | UNITED KINGDOM | W1H 6AZ |
Relationship: | Executive Officer | X | Director | X | Promoter |
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Clarification of Response (if Necessary):
Past Director of Aspect Capital Limited, the investment manager of the Issuer, withdrawn 8th February 2019.Last Name | First Name | Middle Name |
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Greenwold | Jonathan | |
Street Address 1 | Street Address 2 | |
10 Portman Square | ||
City | State/Province/Country | ZIP/PostalCode |
London | UNITED KINGDOM | W1H 6AZ |
Relationship: | Executive Officer | X | Director | X | Promoter |
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Clarification of Response (if Necessary):
Past Director of Aspect Capital Limited, the investment manager of the Issuer, withdrawn April 19, 2019.Last Name | First Name | Middle Name |
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Carter | Kevin | James |
Street Address 1 | Street Address 2 | |
10 Portman Square | ||
City | State/Province/Country | ZIP/PostalCode |
London | UNITED KINGDOM | W1H 6AZ |
Relationship: | Executive Officer | X | Director | X | Promoter |
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Clarification of Response (if Necessary):
Non-Executive Director of Aspect Capital Limited, the investment manager of the Issuer.Last Name | First Name | Middle Name |
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Gibbs | Peter | John |
Street Address 1 | Street Address 2 | |
10 Portman Square | ||
City | State/Province/Country | ZIP/PostalCode |
London | UNITED KINGDOM | W1H 6AZ |
Relationship: | Executive Officer | X | Director | X | Promoter |
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Clarification of Response (if Necessary):
Past Non-Executive Director of Aspect Capital Limited, the investment manager of the Issuer, withdrawn February 1, 2021.Last Name | First Name | Middle Name |
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Aspect Capital Limited | N/A | |
Street Address 1 | Street Address 2 | |
10 Portman Square | ||
City | State/Province/Country | ZIP/PostalCode |
London | UNITED KINGDOM | W1H 6AZ |
Relationship: | Executive Officer | Director | X | Promoter |
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Clarification of Response (if Necessary):
The investment manager of the Issuer.Last Name | First Name | Middle Name |
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Heaps | Peter | |
Street Address 1 | Street Address 2 | |
Carne Global Financial Services Limited | 802 West Bay Road, P.O. Box 30872 | |
City | State/Province/Country | ZIP/PostalCode |
Grand Cayman | CAYMAN ISLANDS | KY1-1204 |
Relationship: | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
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Fletcher | Julian | |
Street Address 1 | Street Address 2 | |
Carne Global Financial Services Limited | 802 West Bay Road, P.O. Box 30872 | |
City | State/Province/Country | ZIP/PostalCode |
Grand Cayman | CAYMAN ISLANDS | KY1-1204 |
Relationship: | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
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Hull | Anna | |
Street Address 1 | Street Address 2 | |
10 Portman Square | ||
City | State/Province/Country | ZIP/PostalCode |
London | UNITED KINGDOM | W1H 6AZ |
Relationship: | Executive Officer | X | Director | X | Promoter |
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Clarification of Response (if Necessary):
Past Director of Aspect Capital Limited, the investment manager of the Issuer, withdrawn 4th October 2018.Last Name | First Name | Middle Name |
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Reynolds | Rosemary | |
Street Address 1 | Street Address 2 | |
10 Portman Square | ||
City | State/Province/Country | ZIP/PostalCode |
London | UNITED KINGDOM | W1H 6AZ |
Relationship: | Executive Officer | X | Director | X | Promoter |
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Clarification of Response (if Necessary):
Director of Aspect Capital Limited, the investment manager of the Issuer.Last Name | First Name | Middle Name |
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Burt | Russell | |
Street Address 1 | Street Address 2 | |
c/o Maples Corporate Services Limited | Ugland House, Box 309, South Church St. | |
City | State/Province/Country | ZIP/PostalCode |
George Town, Grand Cayman | CAYMAN ISLANDS | KY1-1104 |
Relationship: | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Director of the managing member of the Issuer.4. Industry Group
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5. Issuer Size
Revenue Range | OR | Aggregate Net Asset Value Range | ||
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No Revenues | No Aggregate Net Asset Value | |||
$1 - $1,000,000 | $1 - $5,000,000 | |||
$1,000,001 - $5,000,000 | $5,000,001 - $25,000,000 | |||
$5,000,001 - $25,000,000 | $25,000,001 - $50,000,000 | |||
$25,000,001 - $100,000,000 | $50,000,001 - $100,000,000 | |||
Over $100,000,000 | Over $100,000,000 | |||
Decline to Disclose | X | Decline to Disclose | ||
Not Applicable | Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
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7. Type of Filing
New Notice | Date of First Sale | 2017-07-17 | First Sale Yet to Occur | ||||||
X | Amendment |
8. Duration of Offering
Does the Issuer intend this offering to last more than one year? |
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9. Type(s) of Securities Offered (select all that apply)
Equity | X | Pooled Investment Fund Interests | |
Debt | Tenant-in-Common Securities | ||
Option, Warrant or Other Right to Acquire Another Security | Mineral Property Securities | ||
Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security | Other (describe) | ||
10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
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Clarification of Response (if Necessary):
11. Minimum Investment
Minimum investment accepted from any outside investor | $100,000 | USD |
12. Sales Compensation
Recipient |
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Agecroft Partners LLC | 139227 | ||||||||
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None | None | ||||||||
Street Address 1 | Street Address 2 | ||||||||
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103 Cantebury Road | |||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||
Richmond | VIRGINIA | 23221 | |||||||
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13. Offering and Sales Amounts
Total Offering Amount | USD |
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Total Amount Sold | $1,205,099,342 | USD | ||||
Total Remaining to be Sold | USD |
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Clarification of Response (if Necessary):
Total amount sold only includes subscriptions from US investors since inception.14. Investors
Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering. | |||
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: |
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15. Sales Commissions & Finder's Fees Expenses
Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
Sales Commissions | $721,356 | USD |
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Finders' Fees | $0 | USD |
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Clarification of Response (if Necessary):
16. Use of Proceeds
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
$0 | USD |
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Clarification of Response (if Necessary):
Signature and Submission
Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.
Terms of Submission
In submitting this notice, each issuer named above is: |
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Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.
For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.
Issuer | Signature | Name of Signer | Title | Date |
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Aspect Core Trend HV Fund | /s/ Elizabeth Daniel | Elizabeth Daniel | Authorized Signatory of Issuer's Investment Manager | 2023-02-01 |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.
* This undertaking does not affect any limits Section 102(a) of the National Securities Markets Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to require information. As a result, if the securities that are the subject of this Form D are "covered securities" for purposes of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot routinely require offering materials under this undertaking or otherwise and can require offering materials only to the extent NSMIA permits them to do so under NSMIA's preservation of their anti-fraud authority.