<SEC-DOCUMENT>0001169581-19-000001.txt : 20190308 <SEC-HEADER>0001169581-19-000001.hdr.sgml : 20190308 <ACCEPTANCE-DATETIME>20190308101506 ACCESSION NUMBER: 0001169581-19-000001 CONFORMED SUBMISSION TYPE: D/A PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: <ITEMS>06b ITEM INFORMATION: Investment Company Act Section 3(c) ITEM INFORMATION: Section 3(c)(1) FILED AS OF DATE: 20190308 DATE AS OF CHANGE: 20190308 EFFECTIVENESS DATE: 20190308 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RAFFLES ASSOCIATES LP CENTRAL INDEX KEY: 0001169581 IRS NUMBER: 043272997 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: D/A SEC ACT: 1933 Act SEC FILE NUMBER: 021-129602 FILM NUMBER: 19667883 BUSINESS ADDRESS: STREET 1: ONE PENN PLAZA STREET 2: SUITE 1628 CITY: NEW YORK STATE: NY ZIP: 10119 BUSINESS PHONE: 212-760-2322 MAIL ADDRESS: STREET 1: ONE PENN PLAZA STREET 2: SUITE 1628 CITY: NEW YORK STATE: NY ZIP: 10119 </SEC-HEADER> <DOCUMENT> <TYPE>D/A <SEQUENCE>1 <FILENAME>primary_doc.xml <TEXT> <XML> <?xml version="1.0"?> <edgarSubmission> <schemaVersion>X0708</schemaVersion> <submissionType>D/A</submissionType> <testOrLive>LIVE</testOrLive> <primaryIssuer> <cik>0001169581</cik> <entityName>RAFFLES ASSOCIATES LP</entityName> <issuerAddress> <street1>ONE PENN PLAZA</street1> <street2>SUITE 1628</street2> <city>NEW YORK</city> <stateOrCountry>NY</stateOrCountry> <stateOrCountryDescription>NEW YORK</stateOrCountryDescription> <zipCode>10119</zipCode> </issuerAddress> <issuerPhoneNumber>212-760-2322</issuerPhoneNumber> <jurisdictionOfInc>DELAWARE</jurisdictionOfInc> <issuerPreviousNameList> <value>None</value> </issuerPreviousNameList> <edgarPreviousNameList> <value>None</value> </edgarPreviousNameList> <entityType>Limited Partnership</entityType> <yearOfInc> <overFiveYears>true</overFiveYears> </yearOfInc> </primaryIssuer> <relatedPersonsList> <relatedPersonInfo> <relatedPersonName> <firstName>Paul</firstName> <middleName>H.</middleName> <lastName>O'Leary</lastName> </relatedPersonName> <relatedPersonAddress> <street1>One Penn Plaza</street1> <street2>Suite 1628</street2> <city>New York</city> <stateOrCountry>NY</stateOrCountry> <stateOrCountryDescription>NEW YORK</stateOrCountryDescription> <zipCode>10119</zipCode> </relatedPersonAddress> <relatedPersonRelationshipList> <relationship>Executive Officer</relationship> <relationship>Director</relationship> </relatedPersonRelationshipList> <relationshipClarification>Paul H. O'Leary is the Managing Member of Raffles Capital Advisors, LLC, the General Partner of the Issuer.</relationshipClarification> </relatedPersonInfo> <relatedPersonInfo> <relatedPersonName> <firstName>-</firstName> <middleName>-</middleName> <lastName>Raffles Capital Advisors, LLC</lastName> </relatedPersonName> <relatedPersonAddress> <street1>One Penn Plaza</street1> <street2>Suite 1628</street2> <city>New York</city> <stateOrCountry>NY</stateOrCountry> <stateOrCountryDescription>NEW YORK</stateOrCountryDescription> <zipCode>10119</zipCode> </relatedPersonAddress> <relatedPersonRelationshipList> <relationship>Promoter</relationship> </relatedPersonRelationshipList> <relationshipClarification>General Partner of the Issuer.</relationshipClarification> </relatedPersonInfo> <relatedPersonInfo> <relatedPersonName> <firstName>-</firstName> <middleName>-</middleName> <lastName>Raffles Capital Management, LLC</lastName> </relatedPersonName> <relatedPersonAddress> <street1>One Pen Plaza</street1> <street2>Suite 1628</street2> <city>New York</city> <stateOrCountry>NY</stateOrCountry> <stateOrCountryDescription>NEW YORK</stateOrCountryDescription> <zipCode>10119</zipCode> </relatedPersonAddress> <relatedPersonRelationshipList> <relationship>Promoter</relationship> </relatedPersonRelationshipList> <relationshipClarification>Investment Manager of the Issuer.</relationshipClarification> </relatedPersonInfo> </relatedPersonsList> <offeringData> <industryGroup> <industryGroupType>Pooled Investment Fund</industryGroupType> <investmentFundInfo> <investmentFundType>Hedge Fund</investmentFundType> <is40Act>false</is40Act> </investmentFundInfo> </industryGroup> <issuerSize> <aggregateNetAssetValueRange>Decline to Disclose</aggregateNetAssetValueRange> </issuerSize> <federalExemptionsExclusions> <item>06b</item> <item>3C</item> <item>3C.1</item> </federalExemptionsExclusions> <typeOfFiling> <newOrAmendment> <isAmendment>true</isAmendment> <previousAccessionNumber>0001169581-18-000001</previousAccessionNumber> </newOrAmendment> <dateOfFirstSale> <value>1996-10-01</value> </dateOfFirstSale> </typeOfFiling> <durationOfOffering> <moreThanOneYear>true</moreThanOneYear> </durationOfOffering> <typesOfSecuritiesOffered> <isPooledInvestmentFundType>true</isPooledInvestmentFundType> </typesOfSecuritiesOffered> <businessCombinationTransaction> <isBusinessCombinationTransaction>false</isBusinessCombinationTransaction> <clarificationOfResponse></clarificationOfResponse> </businessCombinationTransaction> <minimumInvestmentAccepted>250000</minimumInvestmentAccepted> <salesCompensationList></salesCompensationList> <offeringSalesAmounts> <totalOfferingAmount>Indefinite</totalOfferingAmount> <totalAmountSold>66500000</totalAmountSold> <totalRemaining>Indefinite</totalRemaining> <clarificationOfResponse>Minimum Investment in Item 11 may be reduced at the discretion of the General Partner. The amount sold and the number of investors on this Form D does not take redemptions and/or withdrawals into consideration.</clarificationOfResponse> </offeringSalesAmounts> <investors> <hasNonAccreditedInvestors>false</hasNonAccreditedInvestors> <totalNumberAlreadyInvested>94</totalNumberAlreadyInvested> </investors> <salesCommissionsFindersFees> <salesCommissions> <dollarAmount>0</dollarAmount> </salesCommissions> <findersFees> <dollarAmount>0</dollarAmount> </findersFees> <clarificationOfResponse></clarificationOfResponse> </salesCommissionsFindersFees> <useOfProceeds> <grossProceedsUsed> <dollarAmount>0</dollarAmount> <isEstimate>true</isEstimate> </grossProceedsUsed> <clarificationOfResponse>The persons named in Item 3 or affiliates thereof may receive management fees and/or incentive allocations based on the capital accounts of the limited partners in the Issuer. The amount of such fees may vary and cannot be estimated at this time.</clarificationOfResponse> </useOfProceeds> <signatureBlock> <authorizedRepresentative>false</authorizedRepresentative> <signature> <issuerName>RAFFLES ASSOCIATES LP</issuerName> <signatureName>/Paul H. O'Leary/</signatureName> <nameOfSigner>Paul H. O'Leary</nameOfSigner> <signatureTitle>Managing Member of the General Partner</signatureTitle> <signatureDate>2019-03-08</signatureDate> </signature> </signatureBlock> </offeringData> </edgarSubmission> </XML> </TEXT> </DOCUMENT> </SEC-DOCUMENT>