0001193125-14-427973.txt : 20141128 0001193125-14-427973.hdr.sgml : 20141127 20141128115829 ACCESSION NUMBER: 0001193125-14-427973 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20141124 ITEM INFORMATION: Entry into a Material Definitive Agreement ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20141128 DATE AS OF CHANGE: 20141128 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Equinox Frontier Funds CENTRAL INDEX KEY: 0001261379 STANDARD INDUSTRIAL CLASSIFICATION: [6221] IRS NUMBER: 386815533 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-51274 FILM NUMBER: 141255524 BUSINESS ADDRESS: STREET 1: 1775 SHERMAN STREET, SUITE 2500 CITY: DENVER STATE: CO ZIP: 80203 BUSINESS PHONE: 303-837-0600 MAIL ADDRESS: STREET 1: 1775 SHERMAN STREET, SUITE 2500 CITY: DENVER STATE: CO ZIP: 80203 FORMER COMPANY: FORMER CONFORMED NAME: FRONTIER FUND DATE OF NAME CHANGE: 20030826 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Equinox Frontier Masters Fund CENTRAL INDEX KEY: 0001450722 IRS NUMBER: 386815533 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-53761 FILM NUMBER: 141255525 BUSINESS ADDRESS: STREET 1: C/O EQUINOX FUND MANAGEMENT LLC STREET 2: 1775 SHERMAN STREET, SUITE 2500 CITY: DENVER STATE: CO ZIP: 80203 BUSINESS PHONE: 303-837-0600 MAIL ADDRESS: STREET 1: C/O EQUINOX FUND MANAGEMENT LLC STREET 2: 1775 SHERMAN STREET, SUITE 2500 CITY: DENVER STATE: CO ZIP: 80203 FORMER COMPANY: FORMER CONFORMED NAME: FRONTIER MASTERS SERIES, a series of The Frontier Fund DATE OF NAME CHANGE: 20081125 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Equinox Frontier Balanced 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: 141255526 BUSINESS ADDRESS: STREET 1: C/0 EQUINOX FUND MANAGEMENT LLC STREET 2: 1775 SHERMAN STREET, SUITE 2500 CITY: DENVER STATE: CO ZIP: 80203 BUSINESS PHONE: 303-837-0600 MAIL ADDRESS: STREET 1: C/0 EQUINOX FUND MANAGEMENT LLC STREET 2: 1775 SHERMAN STREET, SUITE 2500 CITY: DENVER STATE: CO ZIP: 80203 FORMER COMPANY: FORMER CONFORMED NAME: BALANCED SERIES, a series of The Frontier Fund DATE OF NAME CHANGE: 20070206 8-K 1 d829859d8k.htm 8-K 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): November 24, 2014

 

 

EQUINOX FRONTIER FUNDS

EQUINOX FRONTIER BALANCED FUND

EQUINOX FRONTIER MASTERS FUND

(Exact Name of Registrant as Specified in Charter)

 

 

 

Delaware   000-51274   36-6815533

(State or Other Jurisdiction

of Incorporation)

  

(Commission

File Number)

  

(IRS Employer

Identification No.)

c/o Equinox Fund Management, LLC

1775 Sherman Street, Suite 2500

Denver, Colorado 80203

(Address of Principal Executive Offices)

(303) 837-0600

(Registrant’s telephone number, including area code)

 

 

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:

 

  ¨ Written communications pursuant to Rule 425 under the Securities Act.

 

  ¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act.

 

  ¨ Pre-commencement communications pursuant to Rule 14d-2b under the Exchange Act.

 

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

 

 

 

Item 1.01. Entry into a Material Definitive Agreement.

Effective November 24, 2014, Brandywine Asset Management, Inc. was added to the portfolio of Equinox Frontier Balanced Fund as a major advisor. The advisory agreement with respect to the arrangement with Brandywine Asset Management, Inc. is substantially similar to the Form of Advisory Agreement, which was included as Exhibit 10.3 to the Registration Statement on Form S-1 filed by The Frontier Fund on February 2, 2010 and incorporated herein by reference.

Effective November 26, 2014, Emil Van Essen LLC was added to the portfolio of the Equinox Frontier Masters Fund as a major advisor. The advisory agreement with respect to the arrangement with Emil Van Essen LLC is substantially similar to the Form of Advisory Agreement, which was included as Exhibit 10.3 to the Registration Statement on Form S-1 filed by The Frontier Fund on February 2, 2010 and incorporated herein by reference.

Item 9.01. Financial Statements and Exhibits.

(d) The following exhibit is incorporated by reference:

 

Exhibit
Number

   

Description

10.3*    Form of Advisory Agreement

 

* Previously filed as like-numbered exhibit to the initial filing to Registration Statement No. 333-164629 and incorporated by reference herein.

 

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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 hereunto duly authorized.

 

    Equinox Frontier Funds
    (Registrant)
Date: November 28, 2014     By:  

/s/ Robert J. Enck

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

 

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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.

 

    Equinox Frontier Balanced Fund,
    a Series of Equinox Frontier Funds
    (Registrant)
Date: November 28, 2014     By:  

/s/ Robert J. Enck

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

 

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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.

 

    Equinox Frontier Masters Fund,
    a Series of Equinox Frontier Funds
    (Registrant)
Date: November 28, 2014     By:  

/s/ Robert J. Enck

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

 

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