Form D
View Original Filing
Notice of Exempt Offering of Securities
Item 1. Issuer's Identity
Name of Issuer:
OMEGA FUND IV, L.P.
Jurisdiction of Incorporation/Organization
CA
Year of Incorporation/Organization
2010
Item 2 Issuer Principal Place of Business and Contact Information
1 ROYAL PLAZA, ROYAL AVENUE
ST. PETER PORT, Y7 GY1 2HL
Phone Number:
subscription required
Item 3. Related Persons
Name
N/A OMEGA FUND IV GP, L.P.
Address
subscription required
Relationship(s)
Clarification of Response
GENERAL PARTNER TO THE ISSUER
Item 3. Related Persons
Name
N/A OMEGA FUND IV GP MANAGER, LTD.
Address
subscription required
Relationship(s)
Clarification of Response
THE GENERAL PARTNER OF THE GENERAL PARTNER TO THE ISSUER (GP LTD)
Item 3. Related Persons
Name
N/A OMEGA FUND MANAGEMENT LIMITED
Address
subscription required
Relationship(s)
Clarification of Response
MANAGEMENT COMPANY TO THE ISSUER
Item 3. Related Persons
Name
MR. OTELLO STAMPACCHIA
Address
subscription required
Relationship(s)
Clarification of Response
A DIRECTOR OF GP LTD
Item 3. Related Persons
Name
MR. RICHARD LIM
Address
subscription required
Relationship(s)
Clarification of Response
A DIRECTOR OF GP LTD
Item 3. Related Persons
Name
MS. RENEE AGUIAR-LUCANDER
Address
subscription required
Relationship(s)
Clarification of Response
A DIRECTOR OF GP LTD
Item 3. Related Persons
Name
MS. ANNE-MARI PASTER
Address
subscription required
Relationship(s)
Clarification of Response
A DIRECTOR OF GP LTD
Item 4. Industry Group
POOLED INVESTMENT FUND
- OTHER INVESTMENT FUND
Item 5. Issuer Size
Aggregate Net Asset Value Range (for issuer specifying "hedge" or "other investment" fund in item 4 above)
DECLINE TO DISCLOSE
Item 6. Federal Exemptions and Exclusions Claimed
Item 7. Type of Filing
New Notice
Date of First Sale in this Offering:
First Sale Yet to Occur
Item 8. Duration of Offering
Does the issuer intend this offering to last more than one year?
Yes
Item 9. Type(s) of Securities Offered
- Pooled Investment Fund Interests
Item 10. Business Combination Transaction
Is this offering being made in connection with a business combination
transaction, such as a merger, acquisition or exchange offer?
No
Clarification of Response
Item 11. Minimum Investment
Minimum Investment accepted from any outside investor
0
Item 12. Sales Compensation
Recipient
COMPASS SECURITIES CORPORATION
Recipient CRD Number
16168
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
50 BRAINTREE HILL PARK, SUITE 105
BRAINTREE, MA 02184
States of Solicitation
- CA
- CO
- CT
- DC
- FL
- GA
- IL
- ME
- MD
- MA
- MN
- MO
- NJ
- NY
- NC
- OH
- PA
- TX
- UT
- VA
Item 12. Sales Compensation
Recipient
FARRELL MARSH CO.
Recipient CRD Number
31971
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
500 THE TIMES BUILDING, SUBURBAN SQUARE
ARDMORE, PA 19003
States of Solicitation
- AZ
- CA
- CO
- CT
- DE
- DC
- FL
- GA
- IL
- IN
- IA
- KY
- MD
- MA
- MI
- MN
- MO
- MT
- NJ
- NM
- NY
- NC
- OH
- PA
- RI
- SC
- TX
- VA
- WI
Item 13. Offering and Sales Amounts
Total Offering Amount
250000000
Total Amount Sold
0
Total Remaining to be Sold
250000000
Clarification of Response
Item 14. Investors
Securities in the offering have been or may be sold to persons
who do not qualify as accredited investors,
Number of non-accredited investors who already have invested in the offering:
Total number of investors who already have invested in the offering:
0
Item 15. Sales Commissions and Finders' Fees Expenses
Sales Commissions:
0.0
Finders' Fees
0.0
Clarification of Response
Item 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.
0.0
Clarification of Response
THE ISSUER IS OBLIGATED TO PAY A MANAGEMENT FEE TO THE GENERAL PARTNER (OR AFFILIATES THEREOF).
Signature and Submission
Issuer Name
OMEGA FUND IV, L.P.
Issuer Signature
/S/ RICHARD LIM
Signer Name
RICHARD LIM
Signer Title
A DIRECTOR OF OMEGA FUND IV GP MANAGER, LTD.
Signature Date
08/24/2011