-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, WoxqqT7GXbq/qnoElsF6Uo5dzQG5bjCkNgJMaH898tAljL9gh2iwtuQUFdArF/zg 9ecSXu9G0WQwXrT48T3Q3A== 0001193125-09-061267.txt : 20090324 0001193125-09-061267.hdr.sgml : 20090324 20090323215502 ACCESSION NUMBER: 0001193125-09-061267 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20090320 ITEM INFORMATION: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20090324 DATE AS OF CHANGE: 20090323 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FRONTIER FUND CENTRAL INDEX KEY: 0001261379 STANDARD INDUSTRIAL CLASSIFICATION: [6221] IRS NUMBER: 386815533 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-51274 FILM NUMBER: 09700064 BUSINESS ADDRESS: STREET 1: 1660 LINCOLN STREET CITY: DENVER STATE: CO ZIP: 80264 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BALANCED SERIES, a series of The Frontier Fund CENTRAL INDEX KEY: 0001389122 IRS NUMBER: 386815533 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-52468 FILM NUMBER: 09700072 BUSINESS ADDRESS: STREET 1: C/0 EQUINOX FUND MANAGEMENT LLC STREET 2: 1660 LINCOLN ST., SUITE 100 CITY: DENVER STATE: CO ZIP: 80264 BUSINESS PHONE: 303-837-0600 MAIL ADDRESS: STREET 1: C/0 EQUINOX FUND MANAGEMENT LLC STREET 2: 1660 LINCOLN ST., SUITE 100 CITY: DENVER STATE: CO ZIP: 80264 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WINTON/GRAHAM SERIES, a series of The Frontier Fund CENTRAL INDEX KEY: 0001389123 IRS NUMBER: 386815533 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-52467 FILM NUMBER: 09700065 BUSINESS ADDRESS: STREET 1: C/0 EQUINOX FUND MANAGEMENT LLC STREET 2: 1660 LINCOLN ST., SUITE 100 CITY: DENVER STATE: CO ZIP: 80264 BUSINESS PHONE: 303-837-0600 MAIL ADDRESS: STREET 1: C/0 EQUINOX FUND MANAGEMENT LLC STREET 2: 1660 LINCOLN ST., SUITE 100 CITY: DENVER STATE: CO ZIP: 80264 FORMER COMPANY: FORMER CONFORMED NAME: GRAHAM/WINTON SERIES, a series of The Frontier Fund DATE OF NAME CHANGE: 20080508 FORMER COMPANY: FORMER CONFORMED NAME: GRAHAM SERIES, a series of The Frontier Fund DATE OF NAME CHANGE: 20070206 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WINTON SERIES, a series of The Frontier Fund CENTRAL INDEX KEY: 0001389124 IRS NUMBER: 386815533 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-52466 FILM NUMBER: 09700066 BUSINESS ADDRESS: STREET 1: C/0 EQUINOX FUND MANAGEMENT LLC STREET 2: 1660 LINCOLN ST., SUITE 100 CITY: DENVER STATE: CO ZIP: 80264 BUSINESS PHONE: 303-837-0600 MAIL ADDRESS: STREET 1: C/0 EQUINOX FUND MANAGEMENT LLC STREET 2: 1660 LINCOLN ST., SUITE 100 CITY: DENVER STATE: CO ZIP: 80264 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CAMPBELL/GRAHAM/TIVERTON SERIES, a series of The Frontier Fund CENTRAL INDEX KEY: 0001389125 IRS NUMBER: 386815533 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-52465 FILM NUMBER: 09700071 BUSINESS ADDRESS: STREET 1: C/0 EQUINOX FUND MANAGEMENT LLC STREET 2: 1660 LINCOLN ST., SUITE 100 CITY: DENVER STATE: CO ZIP: 80264 BUSINESS PHONE: 303-837-0600 MAIL ADDRESS: STREET 1: C/0 EQUINOX FUND MANAGEMENT LLC STREET 2: 1660 LINCOLN ST., SUITE 100 CITY: DENVER STATE: CO ZIP: 80264 FORMER COMPANY: FORMER CONFORMED NAME: WINTON/CAMPBELL/GRAHAM SERIES, a series of The Frontier Fund DATE OF NAME CHANGE: 20080429 FORMER COMPANY: FORMER CONFORMED NAME: CAMPBELL/GRAHAM SERIES, a series of The Frontier Fund DATE OF NAME CHANGE: 20070206 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CURRENCY SERIES, a series of The Frontier Fund CENTRAL INDEX KEY: 0001389126 IRS NUMBER: 386815533 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-52464 FILM NUMBER: 09700070 BUSINESS ADDRESS: STREET 1: C/0 EQUINOX FUND MANAGEMENT LLC STREET 2: 1660 LINCOLN ST., SUITE 100 CITY: DENVER STATE: CO ZIP: 80264 BUSINESS PHONE: 303-837-0600 MAIL ADDRESS: STREET 1: C/0 EQUINOX FUND MANAGEMENT LLC STREET 2: 1660 LINCOLN ST., SUITE 100 CITY: DENVER STATE: CO ZIP: 80264 FILER: COMPANY DATA: COMPANY CONFORMED NAME: LONG ONLY COMMODITY SERIES, a series of The Frontier Fund CENTRAL INDEX KEY: 0001389127 IRS NUMBER: 386815533 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-52463 FILM NUMBER: 09700069 BUSINESS ADDRESS: STREET 1: C/0 EQUINOX FUND MANAGEMENT LLC STREET 2: 1660 LINCOLN ST., SUITE 100 CITY: DENVER STATE: CO ZIP: 80264 BUSINESS PHONE: 303-837-0600 MAIL ADDRESS: STREET 1: C/0 EQUINOX FUND MANAGEMENT LLC STREET 2: 1660 LINCOLN ST., SUITE 100 CITY: DENVER STATE: CO ZIP: 80264 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FRONTIER LONG/SHORT COMMODITY SERIES, a series of The Frontier Fund CENTRAL INDEX KEY: 0001389128 IRS NUMBER: 386815533 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-52462 FILM NUMBER: 09700068 BUSINESS ADDRESS: STREET 1: C/0 EQUINOX FUND MANAGEMENT LLC STREET 2: 1660 LINCOLN ST., SUITE 100 CITY: DENVER STATE: CO ZIP: 80264 BUSINESS PHONE: 303-837-0600 MAIL ADDRESS: STREET 1: C/0 EQUINOX FUND MANAGEMENT LLC STREET 2: 1660 LINCOLN ST., SUITE 100 CITY: DENVER STATE: CO ZIP: 80264 FORMER COMPANY: FORMER CONFORMED NAME: LONG/SHORT COMMODITY SERIES, a series of The Frontier Fund DATE OF NAME CHANGE: 20070206 FILER: COMPANY DATA: COMPANY CONFORMED NAME: MANAGED FUTURES INDEX SERIES, a series of The Frontier Fund CENTRAL INDEX KEY: 0001389129 IRS NUMBER: 386815533 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-52461 FILM NUMBER: 09700067 BUSINESS ADDRESS: STREET 1: C/0 EQUINOX FUND MANAGEMENT LLC STREET 2: 1660 LINCOLN ST., SUITE 100 CITY: DENVER STATE: CO ZIP: 80264 BUSINESS PHONE: 303-837-0600 MAIL ADDRESS: STREET 1: C/0 EQUINOX FUND MANAGEMENT LLC STREET 2: 1660 LINCOLN ST., SUITE 100 CITY: DENVER STATE: CO ZIP: 80264 8-K 1 d8k.htm FORM 8-K Form 8-K

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

 

FORM 8-K

 

 

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): March 20, 2009

 

 

THE FRONTIER FUND

(a Delaware Statutory Trust)

BALANCED SERIES; CAMPBELL/GRAHAM/TIVERTON SERIES; CURRENCY SERIES;

LONG ONLY COMMODITY SERIES; LONG/SHORT COMMODITY SERIES; MANAGED FUTURES

INDEX SERIES; WINTON SERIES; WINTON/GRAHAM SERIES

(Exact name of issuer as specified in charter)

 

 

 

Delaware   000-51274   38-6815533

(State or other jurisdiction

of incorporation)

   (Commission File Number)  

(I.R.S. Employer

Identification Number)

c/o Equinox Fund Management, LLC

1660 Lincoln Street, Suite 100

Denver, Colorado

(Address of principal executive offices)

80264

(Zip code)

(303) 837-0600

(Registrant’s telephone number, including area code)

N/A

(Former Name or Former Address, if Changed Since Last Report)

 

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

 

¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

¨ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

¨ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 

 

Section 5 – Corporate Governance and Management

 

Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

5.02(b):

John R. Zumbrunn resigned as a member of the management committee, or the Executive Committee, of Equinox Fund Management, LLC, the managing owner of the Registrant (the “Managing Owner”) effective March 20, 2009. The resignation was not the result of any disagreement with the Managing Owner on any matter relating to the Managing Owner’s operations, policies or practices, including as they relate to the Registrant. Mr. Zumbrunn resigned to dedicate himself more fully to his private investment advisory and consulting practices.

5.02(c):

Dr. Ajay R. Dravid, age 55, was appointed as a member of the Executive Committee on March 20, 2009. Dr. Dravid’s role as a member of the Executive Committee will be focused on providing advice and input related to the Registrant.

Dr. Dravid will be a member of the Executive Committee until he resigns or is removed from office. Dr. Dravid has no family relationship with any other member of the Executive Committee. Dr. Dravid has no direct or indirect ownership interest in the Managing Owner, the Registrant or any affiliate of the Managing Owner or the Registrant.

Since January 2009, Dr. Dravid has been an adjunct professor of Finance at the Fox School of Business at Temple University. Since June 2006, he has also acted as a consultant, including acting as a paid consultant to the Managing Owner since July 2008. From December 2004 to May 2006, Dr. Dravid was President of Saranac Capital Management LP, a hedge fund, which managed more than $3 billion in hedge fund assets. From August 1993 to November 2004, he was a Managing Director at Salomon Brothers and Citigroup, each of which is an investment bank, where he helped to build and manage the hedge fund businesses and platforms at Salomon Brothers Asset Management (and its successors, Citigroup Asset Management and Citigroup Alternative Investments). He was also involved in the structuring and marketing of funds, portfolio management, quantitative analysis, risk management and client service.

Dr. Dravid received his Bachelor’s degree in Physics from the University of Poona (India) in 1973. He received an M.A. in Physics from SUNY at Stony Brook in 1975 and an MBA in Finance and Marketing from the University of Rochester in 1977. He was awarded a Ph.D. in Business by Stanford University in 1990.

Pursuant to a letter agreement dated March 20, 2009 between the Managing Owner and Dr. Dravid, as compensation for serving as a member of the Executive Committee, Dr. Dravid will receive $5,000 per quarter from the Managing Owner.

Attached hereto as Exhibit 99.1 is a form of press release which the Managing Owner intends to release announcing the events described in 5.02(b) and 5.02(c) of this Form 8-K.

 

2

Section 9 – Financial Statements and Exhibits

 

Item 9.01 Financial Statements and Exhibits.

9.01(d) Exhibits:

 

Exhibit No.

   

Description of Exhibit

99.1    Form of Press Release

 

3

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

 

  The Frontier Fund
  (Registrant)
Date: March 23, 2009   By:  

/s/ Robert J. Enck

    Robert J. Enck
    President and Chief Executive Officer of Equinox Fund Management, LLC, the Managing Owner of The Frontier Fund

 

4

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

 

  Balanced Series,
  a Series of The Frontier Fund
  (Registrant)
Date: March 23, 2009   By:  

/s/ Robert J. Enck

    Robert J. Enck
    President and Chief Executive Officer of Equinox Fund Management, LLC, the Managing Owner of Balanced Series, a Series of The Frontier Fund

 

5

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

 

  Campbell/Graham/Tiverton Series,
  a Series of The Frontier Fund
  (Registrant)
Date: March 23, 2009   By:  

/s/ Robert J. Enck

    Robert J. Enck
    President and Chief Executive Officer of Equinox Fund Management, LLC, the Managing Owner of Campbell/Graham/Tiverton Series, a Series of The Frontier Fund

 

6

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

 

  Currency Series,
  a Series of The Frontier Fund
  (Registrant)
  By:  

/s/ Robert J. Enck

Date: March 23, 2009     Robert J. Enck
    President and Chief Executive Officer of Equinox Fund Management, LLC, the Managing Owner of Currency Series, a Series of The Frontier Fund

 

7

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

 

  Long Only Commodity Series,
  a Series of The Frontier Fund
  (Registrant)
  By:  

/s/ Robert J. Enck

Date: March 23, 2009     Robert J. Enck
    President and Chief Executive Officer of Equinox Fund Management, LLC, the Managing Owner of Long Only Commodity Series, a Series of The Frontier Fund

 

8

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

 

  Long/Short Commodity Series,
  a Series of The Frontier Fund
  (Registrant)
  By:  

/s/ Robert J. Enck

Date: March 23, 2009     Robert J. Enck
    President and Chief Executive Officer of Equinox Fund Management, LLC, the Managing Owner of Long/Short Commodity Series, a Series of The Frontier Fund

 

9

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

 

  Managed Futures Index Series,
  a Series of The Frontier Fund
  (Registrant)
  By:  

/s/ Robert J. Enck

Date: March 23, 2009     Robert J. Enck
    President and Chief Executive Officer of Equinox Fund Management, LLC, the Managing Owner of Managed Futures Series, a Series of The Frontier Fund

 

10

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

 

  Winton Series,
  a Series of The Frontier Fund
  (Registrant)
  By:  

/s/ Robert J. Enck

Date: March 23, 2009     Robert J. Enck
    President and Chief Executive Officer of Equinox Fund Management, LLC, the Managing Owner of Winton Series, a Series of The Frontier Fund

 

11

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

 

  Winton/Graham Series,
  a Series of The Frontier Fund
  (Registrant)
  By:  

/s/ Robert J. Enck

Date: March 23, 2009     Robert J. Enck
    President and Chief Executive Officer of Equinox Fund Management, LLC, the Managing Owner of Winton/Graham Series, a Series of The Frontier Fund

 

12

Exhibit Index

 

Exhibit No.

   

Description of Exhibit

99.1    Form of Press Release

 

13

EX-99.1 2 dex991.htm FORM OF PRESS RELEASE Form of Press Release

Exhibit 99.1

FOR IMMEDIATE RELEASE

Equinox Fund Management, LLC Appoints New Member to Executive Committee

Denver, Colorado – Equinox Fund Management, LLC (“Equinox”), a commodity pool operator and sponsor of The Frontier Fund, announces the appointment of Ajay Dravid, Ph.D. to its Executive Committee. The Frontier Fund is a public managed futures fund with a family of products available to retail investors. The Fund carries a low minimum investment requirement ($1,000 in most states) and features daily liquidity.

Dr. Dravid replaces John R. Zumbrunn, Ph.D., who served on the Executive Committee from August 2003 through March 20, 2009. Dr. Zumbrunn retired from his post in order to dedicate himself more fully to his private investment advisory and consulting practices.

Dr. Dravid has more than 25 years of experience in financial services and academia. He is an Adjunct Professor of Finance at the Fox School of Business, Temple University, and has also taught MBA and Executive MBA courses at Columbia University, NYU, and Villanova University. He is a member of the Advisory Board of Bridgehampton Capital Management, a hedge fund company.

From 2004 through 2006, Dr. Dravid was President of Saranac Capital Management, a separate entity spun-out from Citigroup Alternative Investments to manage more than $3 billion in hedge fund assets. From 1993 to 2004, Dr. Dravid helped to build and manage the hedge fund businesses and platforms at Salomon Brothers Asset Management (and its successors, Citigroup Asset Management and Citigroup Alternative Investments). He was involved in the structuring and marketing of funds, portfolio management, quantitative analysis, risk management, and client service. Between 1988 and 1993, he was an Assistant Professor of Finance at the Wharton School. Prior to 1988, he worked as a Financial Analyst and Management Accountant for several large manufacturing corporations in India and Dubai.

Dr. Dravid holds an MA in Physics from SUNY at Stony Brook, an MBA from the University of Rochester, and a PhD in Business from Stanford University.

“We are extremely pleased that Ajay Dravid has joined the Executive Committee,” stated Robert J. Enck, President and Chief Executive Officer. “We thank John Zumbrunn for his excellent years of service, and for the invaluable guidance he has provided to The Frontier Fund in its development as one of the foremost public managed futures funds. We believe that Dr. Dravid is joining Equinox and The Frontier Fund at a very promising point, and look forward to his insight and his sage, professional counsel.”

The Frontier Fund

The Frontier Fund is a family of public managed futures funds with more than $650 million in assets under management as of March 13, 2009, a new milestone. As a public managed futures fund, The Frontier Fund is regulated by the SEC, the NFA and FINRA. The Fund is subject to public reporting requirements, and operates trading activity in separate, segregated accounts.

The Frontier Fund is the only public managed futures fund to offer daily liquidity. Other Fund features include no-cost switching among its family of eight* product offerings, low minimums, and low correlation to stocks and bonds.

The Frontier Fund is publicly available to non-accredited investors in most states. The Fund is accessible through many of the largest and most prominent Broker Dealers, as well as through Registered Investment Advisers, and is on several institutional platforms.

For more information, please contact:

Robert J. Enck

Equinox Fund Management, LLC

303-572-1000

www.thefrontierfund.com

benck@equinoxllc.com

PAST PERFORMANCE IS NOT NECESSARILY INDICATIVE OF FUTURE RESULTS.

This is not an offer to sell or a solicitation of an offer to buy interests in The Frontier Fund or any other security. Such offer can be made only by Prospectus, which is available upon request.

Opinions expressed herein are current opinions as of the date appearing in this material only. Equinox Fund Management, LLC, The Frontier Fund and their affiliates do not warrant the information provided in this presentation. While reliable methods were used to obtain information for this presentation, there can be no guarantee of the information for accuracy or reliability. In no event should anything contained herein be construed as an express or implied promise, guarantee or implication by Equinox, the Fund or its affiliates that investment objectives will be met, that they will be profitable, or that they will be able to avoid losses.

* There are currently eight series, seven of which are open to new investment. The Series of The Frontier Fund are sold exclusively through FINRA-member firms. Please see the Prospectus for further details.

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