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EDGAR Submission
|
| Schema Version: X0707 |
| Submission Type: D |
| Test or Live: LIVE |
| Primary Issuer: |
| CIK: 1592624 |
| Entity Name: SwanCap Opportunities Fund SCS - SIF |
| Issuer Address: |
| | Street 1: 5, RUE HEIENHAFF |
| | City: SENNINGERBERG |
| | State or Country: N4 |
| | State or Country Description: LUXEMBOURG |
| | ZIP Code: L-1736 |
| Issuer Phone Number: 352-2848-0043 |
| Jurisdiction of Inc.: LUXEMBOURG |
| Issuer Previous Name List: |
| | Value: None |
| EDGAR Previous Name List: |
| | Value: None |
| Entity Type: Other |
| Entity Type Other Desc: Specialized Investment Fund |
| Year of Inc.: |
| | Within Five Years? Yes |
| | Value: 2013 |
| Related-Persons List: |
| Related-Person Info: |
| | Related-Person Name: |
| | | First Name: N/A |
| | | Last Name: SwanCap Investment Management SA |
| | Related-Person Address: |
| | | Street 1: 5, rue Heienhaff |
| | | City: Senningerberg |
| | | State or Country: N4 |
| | | State or Country Description: LUXEMBOURG |
| | | ZIP Code: L-1736 |
| | Related-Person Relationship List: |
| | | Relationship: Executive Officer |
| | Relationship Clarification: Manager of the Issuer (the "Manager") |
| Related-Person Info: |
| | Related-Person Name: |
| | | First Name: N/A |
| | | Last Name: UniCredit Bank AG |
| | Related-Person Address: |
| | | Street 1: Arabellastrasse 14 |
| | | City: Munich |
| | | State or Country: 2M |
| | | State or Country Description: GERMANY |
| | | ZIP Code: D-81925 |
| | Related-Person Relationship List: |
| | | Relationship: Promoter |
| | Relationship Clarification: Promoter of the Issuer (the "Promoter") |
| Related-Person Info: |
| | Related-Person Name: |
| | | First Name: N/A |
| | | Last Name: SwanCap Partners Beteiligungsverwaltungs GmbH |
| | Related-Person Address: |
| | | Street 1: HRB 20697 |
| | | Street 2: Arabellastrasse 14 |
| | | City: Munich |
| | | State or Country: 2M |
| | | State or Country Description: GERMANY |
| | | ZIP Code: D-81925 |
| | Related-Person Relationship List: |
| | | Relationship: Executive Officer |
| | Relationship Clarification: General Partner of the Issuer (the "General Partner") |
| Related-Person Info: |
| | Related-Person Name: |
| | | First Name: Kreitmeier |
| | | Last Name: Florian |
| | Related-Person Address: |
| | | Street 1: Arabellastrasse 14 |
| | | City: Munich |
| | | State or Country: 2M |
| | | State or Country Description: GERMANY |
| | | ZIP Code: D-81925 |
| | Related-Person Relationship List: |
| | | Relationship: Director |
| | Relationship Clarification: Managing Director of the General Partner of the Issuer |
| Related-Person Info: |
| | Related-Person Name: |
| | | First Name: Burke |
| | | Last Name: Gavin |
| | Related-Person Address: |
| | | Street 1: 150 East 42nd Street |
| | | Street 2: 29th Floor |
| | | City: New York |
| | | State or Country: NY |
| | | State or Country Description: NEW YORK |
| | | ZIP Code: 10017 |
| | Related-Person Relationship List: |
| | | Relationship: Director |
| | Relationship Clarification: Managing Director of the General Partner of the Issuer |
| Related-Person Info: |
| | Related-Person Name: |
| | | First Name: Mansfeldt |
| | | Last Name: Claus |
| | Related-Person Address: |
| | | Street 1: 5, rue Heienhaff |
| | | City: Senningerberg |
| | | State or Country: N4 |
| | | State or Country Description: LUXEMBOURG |
| | | ZIP Code: L-1736 |
| | Related-Person Relationship List: |
| | | Relationship: Director |
| | Relationship Clarification: Director of the Manager of the Issuer |
| Related-Person Info: |
| | Related-Person Name: |
| | | First Name: Millioni |
| | | Last Name: Andrea |
| | Related-Person Address: |
| | | Street 1: 5, rue Heienhaff |
| | | City: Senningerberg |
| | | State or Country: N4 |
| | | State or Country Description: LUXEMBOURG |
| | | ZIP Code: L-1736 |
| | Related-Person Relationship List: |
| | | Relationship: Director |
| | Relationship Clarification: Director of the Manager of the Issuer |
| Related-Person Info: |
| | Related-Person Name: |
| | | First Name: Weimerskirch |
| | | Last Name: Pierre |
| | Related-Person Address: |
| | | Street 1: 5, rue Heienhaff |
| | | City: Senningerberg |
| | | State or Country: N4 |
| | | State or Country Description: LUXEMBOURG |
| | | ZIP Code: L-1736 |
| | Related-Person Relationship List: |
| | | Relationship: Director |
| | Relationship Clarification: Director of the Manager of the Issuer |
| Related-Person Info: |
| | Related-Person Name: |
| | | First Name: Brodel |
| | | Last Name: Ralph |
| | Related-Person Address: |
| | | Street 1: 5, rue Heienhaff |
| | | City: Senningberg |
| | | State or Country: N4 |
| | | State or Country Description: LUXEMBOURG |
| | | ZIP Code: L-1736 |
| | Related-Person Relationship List: |
| | | Relationship: Director |
| | Relationship Clarification: Director of the Manager of the Issuer |
| Related-Person Info: |
| | Related-Person Name: |
| | | First Name: Pfister |
| | | Last Name: Wolfgang |
| | Related-Person Address: |
| | | Street 1: Arabellastrasse 14 |
| | | City: Munich |
| | | State or Country: 2M |
| | | State or Country Description: GERMANY |
| | | ZIP Code: D-81925 |
| | Related-Person Relationship List: |
| | | Relationship: Promoter |
| | Relationship Clarification: Managing Director of the Promoter of the Issuer |
| Related-Person Info: |
| | Related-Person Name: |
| | | First Name: Langer |
| | | Last Name: Martin |
| | Related-Person Address: |
| | | Street 1: Arabellastrasse 14 |
| | | City: Munich |
| | | State or Country: 2M |
| | | State or Country Description: GERMANY |
| | | ZIP Code: D-81925 |
| | Related-Person Relationship List: |
| | | Relationship: Promoter |
| | Relationship Clarification: Managing Director of the Promoter of the Issuer |
| Related-Person Info: |
| | Related-Person Name: |
| | | First Name: Buzzi-Ferraris |
| | | Last Name: Cesare |
| | Related-Person Address: |
| | | Street 1: Piazza Gae Aulenti 4 Palazzo C |
| | | City: Milan |
| | | State or Country: L6 |
| | | State or Country Description: ITALY |
| | | ZIP Code: 20154 |
| | Related-Person Relationship List: |
| | | Relationship: Promoter |
| | Relationship Clarification: Managing Director of the Promoter of the Issuer |
| Offering Data: |
| Industry Group: |
| | Industry Group Type: Pooled Investment Fund |
| | Investment Fund Info: |
| | | Investment Fund Type: Private Equity Fund |
| | | Is '40 Act? No |
| Issuer Size: |
| | Revenue Range: Decline to Disclose |
| Federal Exemptions Exclusions: |
| | Item: 06b |
| | Item: 3C |
| | Item: 3C.7 |
| Type of Filing: |
| | New or Amendment: |
| | | Is Amendment? No |
| | Date of First Sale: |
| | | Value: 11/11/13 |
| Duration of Offering: |
| | More Than One Year? No |
| Types of Securities Offered: |
| | Is Pooled Investment Fund Type? Yes |
| Business-Combination Transaction: |
| | Is Business-Combination Transaction? No |
| | Clarification of Response: |
| Minimum Investment Accepted: 0 |
| Sales Compensation List: |
| | Recipient: |
| | | Recipient Name: UBS Securities LLC |
| | | Recipient CRD Number: 7654 |
| | | Associated BD Name: None |
| | | Associated BDCRD Number: None |
| | | Recipient Address: |
| Street 1: 1285 Avenue of the Americas |
| City: New York |
| State or Country: NY |
| State or Country Description: NEW YORK |
| ZIP Code: 10019 |
| | | States of Solicitation List: |
| Value: All States |
| | | Foreign Solicitation? No |
| Offering Sales Amounts: |
| | Total Offering Amount: 200,000,000 |
| | Total Amount Sold: 200,000,000 |
| | Total Remaining: 0 |
| | Clarification of Response: Offering under Reg S and Reg D. Shown is amount sold to US investors only. Total Offering Amount $1.51 billion, converted from EUR to USD 11/11/13 at prevailing exchange rate. |
| Investors: |
| | Has Non-Accredited Investors? No |
| | Total Number Already Invested: 21 |
| Sales Commissions Finders Fees: |
| | Sales Commissions: |
| | | Dollar Amount: 0 |
| | Finders Fees: |
| | | Dollar Amount: 0 |
| | Clarification of Response: Sales commissions not yet known, based on certain facts which are not yet final. |
| Use of Proceeds: |
| | Gross Proceeds Used: |
| | | Dollar Amount: 0 |
| | Clarification of Response: An affiliate of the General Partner of the Issuer will receive a fee for management services at an annual rate as a percentage of each investor's subscription to the Issuer, as specified in the Issuer's limited partnership agreement. |
| Signature Block: |
| | Authorized Representative? No |
| | Signature: |
| | | Issuer Name: SwanCap Opportunities Fund SCS - SIF |
| | | Signature Name: Claus Mansfeldt |
| | | Name of Signer: Claus Mansfeldt |
| | | Signature Title: Director |
| | | Signature Date: 11/25/13 |
