Form D Raw Data - Electronic Filing Depository

EFDID: 134263EFD: Raw Data

Issuer: North Rock Fund, Ltd (0001631067) - D

Accession: 0001631067-15-000001 () (EDGAR Files) (Form D)

Edgar Posted: Jan. 20, 2015
EFD Posted: Jan. 21, 2015

- < edgarSubmission >

< schemaVersion > X0707 </ schemaVersion >

< submissionType > D </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001631067 </ cik >

< entityName > North Rock Fund, Ltd </ entityName >

- < issuerAddress >

< street1 > 190 ELGIN AVENUE </ street1 >

< street2 > GEORGE TOWN </ street2 >

< city > GRAND CAYMAN </ city >

< stateOrCountry > E9 </ stateOrCountry >

< stateOrCountryDescription > CAYMAN ISLANDS </ stateOrCountryDescription >

< zipCode > KY1-9005 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > 345-946-7412 </ issuerPhoneNumber >

< jurisdictionOfInc > CAYMAN ISLANDS </ jurisdictionOfInc >

- < issuerPreviousNameList >

< value > None </ value >

</ issuerPreviousNameList >

- < edgarPreviousNameList >

< value > None </ value >

</ edgarPreviousNameList >

< entityType > Other </ entityType >

< entityTypeOtherDesc > exempted company </ entityTypeOtherDesc >

- < yearOfInc >

< withinFiveYears > true </ withinFiveYears >

< value > 2015 </ value >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > N/A </ firstName >

< lastName > North Rock Capital Management, LLC </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 3801 PGA Blvd. </ street1 >

< street2 > Suite 500 </ street2 >

< city > Palm Beach Gardens </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33410 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Promoter </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Investment Manager </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > N/A </ firstName >

< lastName > Lighthouse Investment Partners, LLC </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 3801 PGA Blvd. </ street1 >

< street2 > Suite 500 </ street2 >

< city > Palm Beach Gardens </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33410 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Promoter </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Owner of IM </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > N/A </ firstName >

< lastName > LMA Ireland </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 75 Saint Stephens' Green </ street1 >

< city > Dublin </ city >

< stateOrCountry > L2 </ stateOrCountry >

< stateOrCountryDescription > IRELAND </ stateOrCountryDescription >

< zipCode > 2 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Promoter </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Umbrella trust established by an affiliate of IM </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > N/A </ firstName >

< lastName > North Rock SPC </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 45 Market Street, Suite 3205 </ street1 >

< street2 > 2nd Floor, Gardenia Court </ street2 >

< city > Grand Cayman </ city >

< stateOrCountry > E9 </ stateOrCountry >

< stateOrCountryDescription > CAYMAN ISLANDS </ stateOrCountryDescription >

< zipCode > KY1-9003 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Promoter </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Affiliated fund </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > N/A </ firstName >

< lastName > North Rock Master Fund, Limited </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 190 Elgin Avenue </ street1 >

< street2 > George Town </ street2 >

< city > Grand Cayman </ city >

< stateOrCountry > E9 </ stateOrCountry >

< stateOrCountryDescription > CAYMAN ISLANDS </ stateOrCountryDescription >

< zipCode > KY1-9005 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Promoter </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > N/A </ firstName >

< lastName > North Rock Fund, L.P. </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 3801 PGA Blvd. </ street1 >

< street2 > Suite 500 </ street2 >

< city > Palm Beach Gardens </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33410 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Promoter </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Parallel fund/affiliated U.S. fund </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > N/A </ firstName >

< lastName > GlobeOp Financial Services LLC </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 45 Market Street, Suite 3205 </ street1 >

< street2 > 2nd Floor, Gardenia Court </ street2 >

< city > Grand Cayman </ city >

< stateOrCountry > E9 </ stateOrCountry >

< stateOrCountryDescription > CAYMAN ISLANDS </ stateOrCountryDescription >

< zipCode > KY1-9003 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Promoter </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Administrator </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > N/A </ firstName >

< lastName > HFA Holdings Limited </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > Level 5 </ street1 >

< street2 > 151 Macquarie Street </ street2 >

< city > Sydney </ city >

< stateOrCountry > C3 </ stateOrCountry >

< stateOrCountryDescription > AUSTRALIA </ stateOrCountryDescription >

< zipCode > NSW 2000 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Promoter </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Indirect owner of Lighthouse and IM </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Sean </ firstName >

< middleName > G. </ middleName >

< lastName > McGould </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 3801 PGA Blvd. </ street1 >

< street2 > Suite 500 </ street2 >

< city > Palm Beach Gardens </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33410 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > President & Co-Chief Investment Officer of IM and Lighthouse </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Kelly </ firstName >

< middleName > R. </ middleName >

< lastName > Perkins </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 3801 PGA Blvd. </ street1 >

< street2 > Suite 500 </ street2 >

< city > Palm Beach Gardens </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33410 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Co-Chief Investment Officer of IM and Lighthouse </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Robert </ firstName >

< middleName > P. </ middleName >

< lastName > Swan, III </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 3801 PGA Blvd. </ street1 >

< street2 > Suite 500 </ street2 >

< city > Palm Beach Gardens </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33410 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > COO of IM and Lighthouse </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > J. </ firstName >

< middleName > Scott </ middleName >

< lastName > Perkins </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 3801 PGA Blvd. </ street1 >

< street2 > Suite 500 </ street2 >

< city > Palm Beach Gardens </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33410 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Executive Managing Director of IM and Lighthouse </ 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.7 </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > false </ isAmendment >

</ newOrAmendment >

- < dateOfFirstSale >

< yetToOccur > true </ yetToOccur >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > true </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isEquityType > true </ isEquityType >

< isPooledInvestmentFundType > true </ isPooledInvestmentFundType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 100000 </ minimumInvestmentAccepted >

< salesCompensationList />

- < offeringSalesAmounts >

< totalOfferingAmount > Indefinite </ totalOfferingAmount >

< totalAmountSold > 0 </ totalAmountSold >

< totalRemaining > Indefinite </ totalRemaining >

< clarificationOfResponse />

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 0 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 0 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ findersFees >

< clarificationOfResponse > Placement agents may receive an upfront placement fee based on amount invested by shareholders they introduce to the fund. Placement agents may also receive from the IM a portion of the Management Fee on an ongoing basis. </ clarificationOfResponse >

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 0 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ grossProceedsUsed >

< clarificationOfResponse > IM is entitled to a management fee at a monthly rate of 0.166% (2.0% annually) of capital month-end net asset value of each member's participating shares. </ clarificationOfResponse >

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > North Rock Fund, Ltd </ issuerName >

< signatureName > J. Scott Perkins </ signatureName >

< nameOfSigner > J. Scott Perkins </ nameOfSigner >

< signatureTitle > Ex. Mng. Dir., North Rock Capital Management, LLC, IM </ signatureTitle >

< signatureDate > 2015-01-20 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >