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

Previous Name(s)

Entity Type
OTHER

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)
  • PROMOTER
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)
  • PROMOTER
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)
  • PROMOTER
Clarification of Response
MANAGEMENT COMPANY TO THE ISSUER

Item 3. Related Persons

Name
MR. OTELLO STAMPACCHIA
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response
A DIRECTOR OF GP LTD

Item 3. Related Persons

Name
MR. RICHARD LIM
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response
A DIRECTOR OF GP LTD

Item 3. Related Persons

Name
MS. RENEE AGUIAR-LUCANDER
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response
A DIRECTOR OF GP LTD

Item 3. Related Persons

Name
MS. ANNE-MARI PASTER
Address
subscription required
Relationship(s)
  • DIRECTOR
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
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