The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM D

Notice of Exempt Offering of Securities

OMB APPROVAL
OMB Number: 3235-0076
Estimated average burden
hours per response: 4.00

1. Issuer's Identity

CIK (Filer ID Number) Previous Names
X None
Entity Type
0001439862
   Corporation
   Limited Partnership
   Limited Liability Company
   General Partnership
   Business Trust
X Other (Specify)

Cayman Islands Exempted Company
Name of Issuer
ALPHAGEN HOKUTO FUND LTD
Jurisdiction of Incorporation/Organization
CAYMAN ISLANDS
Year of Incorporation/Organization
X Over Five Years Ago
   Within Last Five Years (Specify Year)
   Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
ALPHAGEN HOKUTO FUND LTD
Street Address 1 Street Address 2
Ugland House South Church Street
City State/Province/Country ZIP/PostalCode Phone Number of Issuer
George Town, Grand Cayman CAYMAN ISLANDS KY1-1104 1 345 914 7552

3. Related Persons

Last Name First Name Middle Name
Aitkenhead Les
Street Address 1 Street Address 2
24 The Avenue
City State/Province/Country ZIP/PostalCode
Hitchin, Hertfordshire UNITED KINGDOM SG4 9RL
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):


Last Name First Name Middle Name
Bovet Robert
Street Address 1 Street Address 2
Rue de Chateau
City State/Province/Country ZIP/PostalCode
Vullierens SWITZERLAND CH1115
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):


Last Name First Name Middle Name
Leckie Stuart
Street Address 1 Street Address 2
2202 Tower Two, Lippo Centre, 89
City State/Province/Country ZIP/PostalCode
Queensway HONG KONG 00000
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):


Last Name First Name Middle Name
Hugh Ward
Street Address 1 Street Address 2
Sunset Lodge, La Rue Du Haut
City State/Province/Country ZIP/PostalCode
St. Brelade JERSEY JE3 8AR
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):


Last Name First Name Middle Name
Steward Andrew
Street Address 1 Street Address 2
Henderson Global Investors 201 Bishopsgate
City State/Province/Country ZIP/PostalCode
London UNITED KINGDOM EC2M 3AE
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):


4. Industry Group

   Agriculture
Banking & Financial Services
   Commercial Banking
   Insurance
   Investing
   Investment Banking
X Pooled Investment Fund
X Hedge Fund
   Private Equity Fund
   Venture Capital Fund
   Other Investment Fund
Is the issuer registered as
an investment company under
the Investment Company
Act of 1940?
   Yes X No
   Other Banking & Financial Services
   Business Services
Energy
   Coal Mining
   Electric Utilities
   Energy Conservation
   Environmental Services
   Oil & Gas
   Other Energy
Health Care
   Biotechnology
   Health Insurance
   Hospitals & Physicians
   Pharmaceuticals
   Other Health Care
   Manufacturing
Real Estate
   Commercial
   Construction
   REITS & Finance
   Residential
   Other Real Estate
  
Retailing
  
Restaurants
Technology
   Computers
   Telecommunications
   Other Technology
Travel
   Airlines & Airports
   Lodging & Conventions
   Tourism & Travel Services
   Other Travel
  
Other

5. Issuer Size

Revenue Range OR Aggregate Net Asset Value Range
   No Revenues    No Aggregate Net Asset Value
   $1 - $1,000,000    $1 - $5,000,000
   $1,000,001 - $5,000,000    $5,000,001 - $25,000,000
   $5,000,001 - $25,000,000    $25,000,001 - $50,000,000
   $25,000,001 - $100,000,000    $50,000,001 - $100,000,000
   Over $100,000,000    Over $100,000,000
   Decline to Disclose X Decline to Disclose
   Not Applicable    Not Applicable

6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)

   Rule 504(b)(1) (not (i), (ii) or (iii))    Rule 505
   Rule 504 (b)(1)(i) X Rule 506
   Rule 504 (b)(1)(ii)    Securities Act Section 4(5)
   Rule 504 (b)(1)(iii) X Investment Company Act Section 3(c)
X Section 3(c)(1)    Section 3(c)(9)  
   Section 3(c)(2)    Section 3(c)(10)
   Section 3(c)(3)    Section 3(c)(11)
   Section 3(c)(4)    Section 3(c)(12)
   Section 3(c)(5)    Section 3(c)(13)
   Section 3(c)(6)    Section 3(c)(14)
   Section 3(c)(7)

7. Type of Filing

   New Notice Date of First Sale 2001-05-01    First Sale Yet to Occur
X Amendment

8. Duration of Offering

Does the Issuer intend this offering to last more than one year?
X Yes    No

9. Type(s) of Securities Offered (select all that apply)

X Equity X Pooled Investment Fund Interests
   Debt    Tenant-in-Common Securities
   Option, Warrant or Other Right to Acquire Another Security    Mineral Property Securities
   Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security    Other (describe)

10. Business Combination Transaction

Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer?
   Yes X No

Clarification of Response (if Necessary):

11. Minimum Investment

Minimum investment accepted from any outside investor $100,000 USD

12. Sales Compensation

Recipient
Recipient CRD Number    None
CORINNE T. LAMBERT 2348439
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Gartmore Distribution Services, Inc. 143032
Street Address 1 Street Address 2
737 N. MICHIGAN AVE. SUITE 1700
City State/Province/Country ZIP/Postal Code
CHICAGO UNITED KINGDOM 60611
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
   All States
   Foreign/non-US
RHODE ISLAND
SOUTH CAROLINA
NEW YORK
NORTH CAROLINA
VIRGINIA
LOUISIANA
NEW HAMPSHIRE
GEORGIA
DISTRICT OF COLUMBIA
MONTANA
COLORADO
WISCONSIN
OHIO
OKLAHOMA
NEVADA
NEBRASKA
MINNESOTA
MARYLAND
MICHIGAN
TEXAS
KENTUCKY
WASHINGTON
VERMONT
ARIZONA
ILLINOIS
OREGON
NEW MEXICO
MASSACHUSETTS
MISSISSIPPI
DELAWARE
ALABAMA
WEST VIRGINIA
CALIFORNIA
UTAH
WYOMING
HAWAII
NORTH DAKOTA
PENNSYLVANIA
ARKANSAS
FLORIDA
CONNECTICUT
KANSAS
NEW JERSEY
SOUTH DAKOTA
ALASKA
MISSOURI
IOWA
IDAHO

Recipient
Recipient CRD Number    None
MARTIN J. PHIPPS 5267004
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
GARTMORE DISTRIBUTION SERVICES, INC. 143032
Street Address 1 Street Address 2
737 N. MICHIGAN AVE. SUITE 1700
City State/Province/Country ZIP/Postal Code
CHICAGO ILLINOIS 60611
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
   All States
   Foreign/non-US
SOUTH CAROLINA
VIRGINIA
LOUISIANA
GEORGIA
DISTRICT OF COLUMBIA
OHIO
MINNESOTA
KENTUCKY
WASHINGTON
ILLINOIS
OREGON
NEW MEXICO
MASSACHUSETTS
DELAWARE
MISSISSIPPI
WEST VIRGINIA
HAWAII
FLORIDA
KANSAS
SOUTH DAKOTA
ALASKA
TENNESSEE
IDAHO
RHODE ISLAND
NEW YORK
NORTH CAROLINA
NEW HAMPSHIRE
MONTANA
WISCONSIN
COLORADO
OKLAHOMA
NEBRASKA
NEVADA
MICHIGAN
MARYLAND
TEXAS
VERMONT
ARIZONA
INDIANA
ALABAMA
CALIFORNIA
UTAH
WYOMING
NORTH DAKOTA
PENNSYLVANIA
ARKANSAS
CONNECTICUT
NEW JERSEY
MAINE
MISSOURI
IOWA

Recipient
Recipient CRD Number    None
JOHN A. EARLY III 2726671
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
GARTMORE DISTRIBUTION SERVICES, INC 143032
Street Address 1 Street Address 2
737 N. MICHIGAN AVE. SUITE 1700
City State/Province/Country ZIP/Postal Code
CHICAGO ILLINOIS 60611
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
   All States
   Foreign/non-US
SOUTH CAROLINA
VIRGINIA
LOUISIANA
GEORGIA
DISTRICT OF COLUMBIA
OHIO
MINNESOTA
KENTUCKY
WASHINGTON
ILLINOIS
OREGON
NEW MEXICO
MASSACHUSETTS
DELAWARE
MISSISSIPPI
WEST VIRGINIA
HAWAII
FLORIDA
KANSAS
SOUTH DAKOTA
ALASKA
TENNESSEE
IDAHO
RHODE ISLAND
NEW YORK
NORTH CAROLINA
NEW HAMPSHIRE
MONTANA
WISCONSIN
COLORADO
OKLAHOMA
NEBRASKA
NEVADA
MICHIGAN
MARYLAND
TEXAS
VERMONT
ARIZONA
INDIANA
ALABAMA
CALIFORNIA
UTAH
WYOMING
NORTH DAKOTA
PENNSYLVANIA
ARKANSAS
CONNECTICUT
NEW JERSEY
MAINE
MISSOURI
IOWA

Recipient
Recipient CRD Number    None
JAMES P. MACMILLAN 1609239
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
GARTMORE DISTRIBUTION SERVICES, INC. 143032
Street Address 1 Street Address 2
737 N. MICHIGAN AVE. SUITE 1700
City State/Province/Country ZIP/Postal Code
CHICAGO ILLINOIS 60611
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
   All States
   Foreign/non-US
SOUTH CAROLINA
VIRGINIA
LOUISIANA
GEORGIA
DISTRICT OF COLUMBIA
OHIO
MINNESOTA
KENTUCKY
WASHINGTON
ILLINOIS
OREGON
NEW MEXICO
MASSACHUSETTS
DELAWARE
MISSISSIPPI
WEST VIRGINIA
HAWAII
FLORIDA
KANSAS
SOUTH DAKOTA
ALASKA
TENNESSEE
IDAHO
RHODE ISLAND
NEW YORK
NORTH CAROLINA
NEW HAMPSHIRE
MONTANA
WISCONSIN
COLORADO
OKLAHOMA
NEBRASKA
NEVADA
MICHIGAN
MARYLAND
TEXAS
VERMONT
ARIZONA
INDIANA
ALABAMA
CALIFORNIA
UTAH
WYOMING
NORTH DAKOTA
PENNSYLVANIA
ARKANSAS
CONNECTICUT
NEW JERSEY
MAINE
MISSOURI
IOWA

Recipient
Recipient CRD Number    None
NATIONWIDE FUND DISTRIBUTORS LLC 25910
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NATIONWIDE FUND DISTRIBUTORS LLC 25910
Street Address 1 Street Address 2
1000 CONTINTENTAL DRIVE SUITE 400
City State/Province/Country ZIP/Postal Code
King of Prussia PENNSYLVANIA 19406
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
   All States
   Foreign/non-US
SOUTH CAROLINA
VIRGINIA
LOUISIANA
GEORGIA
DISTRICT OF COLUMBIA
OHIO
MINNESOTA
KENTUCKY
WASHINGTON
ILLINOIS
OREGON
NEW MEXICO
MASSACHUSETTS
DELAWARE
MISSISSIPPI
WEST VIRGINIA
HAWAII
FLORIDA
KANSAS
SOUTH DAKOTA
ALASKA
TENNESSEE
IDAHO
RHODE ISLAND
NEW YORK
NORTH CAROLINA
NEW HAMPSHIRE
MONTANA
WISCONSIN
COLORADO
OKLAHOMA
NEBRASKA
NEVADA
MICHIGAN
MARYLAND
TEXAS
VERMONT
ARIZONA
PUERTO RICO
INDIANA
ALABAMA
CALIFORNIA
UTAH
WYOMING
NORTH DAKOTA
PENNSYLVANIA
ARKANSAS
CONNECTICUT
NEW JERSEY
MAINE
MISSOURI
IOWA

Recipient
Recipient CRD Number    None
HENDERSON GLOBAL INVESTORS EQUITY PLANNING, INC. 101640
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
HENDERSON GLOBAL INVESTORS EQUITY PLANNING, INC. 101640
Street Address 1 Street Address 2
737 N. MICHIGAN AVE. SUITE 1700
City State/Province/Country ZIP/Postal Code
CHICAGO ILLINOIS 60611
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
   All States
   Foreign/non-US
SOUTH CAROLINA
VIRGINIA
LOUISIANA
GEORGIA
DISTRICT OF COLUMBIA
OHIO
MINNESOTA
KENTUCKY
WASHINGTON
ILLINOIS
OREGON
NEW MEXICO
MASSACHUSETTS
DELAWARE
MISSISSIPPI
WEST VIRGINIA
HAWAII
FLORIDA
KANSAS
SOUTH DAKOTA
ALASKA
TENNESSEE
IDAHO
RHODE ISLAND
NEW YORK
NORTH CAROLINA
NEW HAMPSHIRE
MONTANA
WISCONSIN
COLORADO
OKLAHOMA
NEBRASKA
NEVADA
MICHIGAN
MARYLAND
TEXAS
VERMONT
ARIZONA
INDIANA
ALABAMA
CALIFORNIA
UTAH
WYOMING
NORTH DAKOTA
PENNSYLVANIA
ARKANSAS
CONNECTICUT
NEW JERSEY
MAINE
MISSOURI
IOWA

13. Offering and Sales Amounts

Total Offering Amount USD
or X Indefinite
Total Amount Sold $51,653,000 USD
Total Remaining to be Sold USD
or X Indefinite

Clarification of Response (if Necessary):

14. Investors

  
Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering.
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering:
7

15. Sales Commissions & Finder's Fees Expenses

Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.

Sales Commissions $1,000,000 USD
X Estimate
Finders' Fees $0 USD
   Estimate

Clarification of Response (if Necessary):

The Issuer's Investment Manager compensates the placement agents, which may include a portion of the Investment Manager's management fee while the investor remains invested. This estimate is based on the expected fees over the life of the offering.

16. Use of Proceeds

Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.

$0 USD
X Estimate

Clarification of Response (if Necessary):

Signature and Submission

Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.

Terms of Submission

In submitting this notice, each issuer named above is:
  • Notifying the SEC and/or each State in which this notice is filed of the offering of securities described and undertaking to furnish them, upon written request, in the accordance with applicable law, the information furnished to offerees.*
  • Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator or other legally designated officer of the State in which the issuer maintains its principal place of business and any State in which this notice is filed, as its agents for service of process, and agreeing that these persons may accept service on its behalf, of any notice, process or pleading, and further agreeing that such service may be made by registered or certified mail, in any Federal or state action, administrative proceeding, or arbitration brought against the issuer in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in connection with the offering of securities that is the subject of this notice, and (b) is founded, directly or indirectly, upon the provisions of:  (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii) the laws of the State in which the issuer maintains its principal place of business or any State in which this notice is filed.
  • Certifying that, if the issuer is claiming a Rule 505 exemption, the issuer is not disqualified from relying on Rule 505 for one of the reasons stated in Rule 505(b)(2)(iii).

Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.

For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.

Issuer Signature Name of Signer Title Date
ALPHAGEN HOKUTO FUND LTD Hugh Ward Hugh Ward Director 2012-10-14

Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.

* This undertaking does not affect any limits Section 102(a) of the National Securities Markets Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to require information. As a result, if the securities that are the subject of this Form D are "covered securities" for purposes of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot routinely require offering materials under this undertaking or otherwise and can require offering materials only to the extent NSMIA permits them to do so under NSMIA's preservation of their anti-fraud authority.