0001607346-20-000001.txt : 20200608 0001607346-20-000001.hdr.sgml : 20200608 20200608145220 ACCESSION NUMBER: 0001607346-20-000001 CONFORMED SUBMISSION TYPE: D/A PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b ITEM INFORMATION: Investment Company Act Section 3(c) ITEM INFORMATION: Section 3(c)(7) FILED AS OF DATE: 20200608 DATE AS OF CHANGE: 20200608 EFFECTIVENESS DATE: 20200608 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CAIS OZMF Ltd. CENTRAL INDEX KEY: 0001607346 IRS NUMBER: 000000000 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: D/A SEC ACT: 1933 Act SEC FILE NUMBER: 021-217071 FILM NUMBER: 20948909 BUSINESS ADDRESS: STREET 1: CAPITAL INTEGRATION SYSTEMS LLC, STREET 2: 598 MADISON AVENUE, 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212- 790-0000 MAIL ADDRESS: STREET 1: CAPITAL INTEGRATION SYSTEMS LLC, STREET 2: 598 MADISON AVENUE, 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 D/A 1 primary_doc.xml X0708 D/A LIVE 0001607346 CAIS OZMF Ltd. Maples Corporate Services Limited Ugland House Grand Cayman E9 CAYMAN ISLANDS KY1-1104 345-949-8066 CAYMAN ISLANDS None None Other Cayman Islands Exempted Company true n/a Capital Integration Systems LLC 527 Madison Avenue, 2nd Floor New York NY NEW YORK 10022 Promoter Sponsor Matthew C. Brown Capital Integration Systems LLC 527 Madison Avenue,2nd Floor New York NY NEW YORK 10022 Executive Officer Managing Principal of Sponsor Sam Ellis MaplesFS Limited P.O. Box 1093, Boundary Hall Grand Cayman E9 CAYMAN ISLANDS KY1-1102 Director Omar Wright MaplesFS Limited P.O. Box 1093, Boundary Hall Grand Cayman E9 CAYMAN ISLANDS KY1-1102 Director Pooled Investment Fund Hedge Fund false Decline to Disclose 06b 3C 3C.7 true 0001523894-19-000004 2013-11-01 true true false 100000 D. A. Davidson & Co. 199 None None 8 Third Street North Great Falls MT MONTANA 59401 AL ALABAMA AK ALASKA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE DC DISTRICT OF COLUMBIA FL FLORIDA GA GEORGIA HI HAWAII ID IDAHO IL ILLINOIS IN INDIANA IA IOWA KS KANSAS KY KENTUCKY LA LOUISIANA ME MAINE MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MS MISSISSIPPI MO MISSOURI MT MONTANA NE NEBRASKA NV NEVADA NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA ND NORTH DAKOTA OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA RI RHODE ISLAND SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VT VERMONT VA VIRGINIA WA WASHINGTON WV WEST VIRGINIA WI WISCONSIN WY WYOMING false Summit Equities, LLC 11039 None None 4 Campus Dr. Parsippany NJ NEW JERSEY 07054 AL ALABAMA AK ALASKA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE DC DISTRICT OF COLUMBIA FL FLORIDA GA GEORGIA HI HAWAII IL ILLINOIS IN INDIANA IA IOWA KS KANSAS KY KENTUCKY LA LOUISIANA ME MAINE MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MO MISSOURI MT MONTANA NE NEBRASKA NV NEVADA NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA PR PUERTO RICO RI RHODE ISLAND SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VT VERMONT VA VIRGINIA WA WASHINGTON WI WISCONSIN WY WYOMING false Dominick & Dominick LLC 7344 None None 150 East 52nd Street 3rd Floor New York NY NEW YORK 10022 AL ALABAMA AK ALASKA AZ ARIZONA CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE DC DISTRICT OF COLUMBIA FL FLORIDA GA GEORGIA HI HAWAII ID IDAHO IL ILLINOIS IN INDIANA IA IOWA KS KANSAS KY KENTUCKY LA LOUISIANA ME MAINE MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MS MISSISSIPPI MO MISSOURI MT MONTANA NE NEBRASKA NV NEVADA NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA ND NORTH DAKOTA OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA PR PUERTO RICO RI RHODE ISLAND SC SOUTH CAROLINA TN TENNESSEE TX TEXAS UT UTAH VT VERMONT VA VIRGINIA WA WASHINGTON WV WEST VIRGINIA WI WISCONSIN WY WYOMING false Macquarie Capital (USA) Inc. 36368 None None 125 West 55th Street Level 22 New York NY NEW YORK 10019 All States false Arete Wealth Management LLC 44856 None None 1115 W Fulton Market 3rd Floor Chicago IL ILLINOIS 60607 AL ALABAMA AK ALASKA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE DC DISTRICT OF COLUMBIA FL FLORIDA GA GEORGIA HI HAWAII ID IDAHO IL ILLINOIS IN INDIANA IA IOWA KS KANSAS KY KENTUCKY LA LOUISIANA ME MAINE MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MS MISSISSIPPI MO MISSOURI MT MONTANA NE NEBRASKA NV NEVADA NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA ND NORTH DAKOTA OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA PR PUERTO RICO RI RHODE ISLAND SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VT VERMONT VA VIRGINIA WA WASHINGTON WV WEST VIRGINIA WI WISCONSIN WY WYOMING false Wunderlich Securities Inc. 2543 None None 6000 Poplar Avenue Suite 150 Memphis TN TENNESSEE 38119 All States false Indefinite 16412585 Indefinite false 78 80872 true 0 0 false CAIS OZMF Ltd. Timothy Shannon Timothy Shannon President 2020-06-08