The Hawaii Subscription Agreement — A Section 3C1 Fund is a legally binding document that outlines the terms and conditions for individuals or entities seeking to invest in a Section 3C1 Fund based in Hawaii. This investment opportunity is specifically designed for qualified purchasers and serves as a pathway for eligible investors to participate in the fund. The agreement details the rights and obligations of both the Fund and the investor. It includes essential information such as the subscription process, investment minimums, redemption provisions, fees and expenses, and confidentiality clauses. By signing the agreement, investors are expressing their intent to purchase units or shares in the Section 3C1 Fund, thereby becoming part-owners of the investment vehicle. There are various types of Hawaii Subscription Agreement — A Section 3C1 Funds available, catering to different investment strategies or asset classes. These may include: 1. Hawaii Equity Section 3C1 Fund: This type of fund primarily focuses on investing in publicly traded equities, aiming to generate returns through capital appreciation and dividends. It is suited for investors seeking exposure to the stock market while complying with Section 3C1 regulations. 2. Hawaii Fixed Income Section 3C1 Fund: This fund is dedicated to investing in fixed-income securities such as government bonds, corporate bonds, and other debt instruments. It aims to generate income for investors while maintaining relatively lower levels of risk compared to equity-based funds. 3. Hawaii Real Estate Section 3C1 Fund: This category of funds concentrates on acquiring, managing, and developing real estate assets within Hawaii. Investors in this fund participate in the potential returns from rental income, property value appreciation, and real estate development projects. 4. Hawaii Hedge Fund — A Section 3C1 Fund: This type of hedge fund employs various investment strategies, including long and short positions, derivatives, and leverage, to aim for absolute returns in different market conditions. It fulfills the criteria outlined in Section 3C1, allowing eligible investors to take advantage of more diversified and potentially higher-return strategies. It is important for potential investors to carefully review the specific terms and disclosures provided within the Hawaii Subscription Agreement — A Section 3C1 Fund of their interest. Consulting legal and financial professionals is highly recommended ensuring a thorough understanding of the investment opportunity and its associated risks before committing to the agreement.
Hawaii Subscription Agreement - A Section 3C1 Fund
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Types of 3(c)(1) Investors Generally speaking investors in Section 3(c)(1) hedge funds will be both accredited investors and qualified clients. A 3(c)(1) fund must limit its investors to qualified clients if it wants to charge a performance fee.
3(c)(1) In other words, 3C1 allows private funds with 100 or fewer investors (and venture capital funds with fewer than 250 investors) and no plans for an initial public offering to sidestep SEC registration and other requirements, including ongoing disclosure and restrictions on derivatives trading.
Private funds must not plan to issue an IPO and their investors must be qualified purchases to qualify for the 3C7 exemption. There is no maximum limit for the number of purchasers of 3C7 funds. In contrast to 3C7, 3C1 funds deal with no more than 100 accredited investors.
3C1 refers to a portion of the Investment Company Act of 1940 that exempts certain private investment companies from regulations. A firm that's defined as an investment company must meet specific regulatory and reporting requirements stipulated by the SEC.
A 3(c)(1) fund is a pooled investment vehicle that is excluded from the definition of investment company in the Investment Company Act because it has no more than 100 beneficial owners (or, in the case of a qualifying venture capital fund, 250 beneficial owners) and otherwise meets criteria outlined in Section 3(c)(1) ...
For the purpose of section 3(c)(1) of the Act, beneficial ownership by a com- pany owning 10 per centum or more of the outstanding voting securities of any issuer which is a small business in- vestment company licensed to operate under the Small Business Investment Act of 1958, or which has received from the Small ...
Accredited investors can invest only in 3(c)(1) funds, whereas qualified purchasers can typically invest in both 3(c)(1) funds and 3(c)(7) funds. A 3(c)(1) fund allows only 100 accredited investors, or 250 accredited investors if the fund size is less than $10M.
Funds with No More Than 100 Investors Section 3(c)(1) of the Investment Company Act excludes from being an investment company any issuer whose outstanding securities are beneficially owned by not more than 100 persons and that is not making and does not presently propose to make a public offering of its securities.