0001213900-23-025388.txt : 20230331 0001213900-23-025388.hdr.sgml : 20230331 20230331154418 ACCESSION NUMBER: 0001213900-23-025388 CONFORMED SUBMISSION TYPE: NT 10-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221231 FILED AS OF DATE: 20230331 DATE AS OF CHANGE: 20230331 EFFECTIVENESS DATE: 20230331 FILER: COMPANY DATA: COMPANY CONFORMED NAME: 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: NT 10-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-51274 FILM NUMBER: 23787200 BUSINESS ADDRESS: STREET 1: 25568 GENESEE TRAIL ROAD CITY: GOLDEN STATE: CO ZIP: 80401 BUSINESS PHONE: 303-454-5500 MAIL ADDRESS: STREET 1: 25568 GENESEE TRAIL ROAD CITY: GOLDEN STATE: CO ZIP: 80401 FORMER COMPANY: FORMER CONFORMED NAME: Equinox Frontier Funds DATE OF NAME CHANGE: 20131211 FORMER COMPANY: FORMER CONFORMED NAME: FRONTIER FUND DATE OF NAME CHANGE: 20030826 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Frontier Heritage Fund CENTRAL INDEX KEY: 0001389123 STANDARD INDUSTRIAL CLASSIFICATION: [6221] IRS NUMBER: 386815533 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NT 10-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-52467 FILM NUMBER: 23787201 BUSINESS ADDRESS: STREET 1: 25568 GENESEE TRAIL ROAD CITY: GOLDEN STATE: CO ZIP: 80401 BUSINESS PHONE: 303-454-5500 MAIL ADDRESS: STREET 1: 25568 GENESEE TRAIL ROAD CITY: GOLDEN STATE: CO ZIP: 80401 FORMER COMPANY: FORMER CONFORMED NAME: Equinox Frontier Heritage Fund DATE OF NAME CHANGE: 20131212 FORMER COMPANY: FORMER CONFORMED NAME: Frontier Heritage Series, a series of The Frontier Fund DATE OF NAME CHANGE: 20130320 FORMER COMPANY: FORMER CONFORMED NAME: WINTON/GRAHAM SERIES, a series of The Frontier Fund DATE OF NAME CHANGE: 20080515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Frontier Masters Fund CENTRAL INDEX KEY: 0001450722 STANDARD INDUSTRIAL CLASSIFICATION: [6221] IRS NUMBER: 386815533 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NT 10-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-53761 FILM NUMBER: 23787205 BUSINESS ADDRESS: STREET 1: 25568 GENESEE TRAIL ROAD CITY: GOLDEN STATE: CO ZIP: 80401 BUSINESS PHONE: 303-454-5500 MAIL ADDRESS: STREET 1: 25568 GENESEE TRAIL ROAD CITY: GOLDEN STATE: CO ZIP: 80401 FORMER COMPANY: FORMER CONFORMED NAME: Equinox Frontier Masters Fund DATE OF NAME CHANGE: 20131211 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: Frontier Select Fund CENTRAL INDEX KEY: 0001389125 STANDARD INDUSTRIAL CLASSIFICATION: [6221] IRS NUMBER: 386815533 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NT 10-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-52465 FILM NUMBER: 23787203 BUSINESS ADDRESS: STREET 1: 25568 GENESEE TRAIL ROAD CITY: GOLDEN STATE: CO ZIP: 80401 BUSINESS PHONE: 303-454-5500 MAIL ADDRESS: STREET 1: 25568 GENESEE TRAIL ROAD CITY: GOLDEN STATE: CO ZIP: 80401 FORMER COMPANY: FORMER CONFORMED NAME: Equinox Frontier Select Fund DATE OF NAME CHANGE: 20131211 FORMER COMPANY: FORMER CONFORMED NAME: Frontier Select Series, a series of The Frontier Fund DATE OF NAME CHANGE: 20130320 FORMER COMPANY: FORMER CONFORMED NAME: TIVERTON/GRAHAM/TRANSTREND SERIES, a series of The Frontier Fund DATE OF NAME CHANGE: 20120305 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Frontier Long/Short Commodity Fund CENTRAL INDEX KEY: 0001389128 STANDARD INDUSTRIAL CLASSIFICATION: [6221] IRS NUMBER: 386815533 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NT 10-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-52462 FILM NUMBER: 23787206 BUSINESS ADDRESS: STREET 1: 25568 GENESEE TRAIL ROAD CITY: GOLDEN STATE: CO ZIP: 80401 BUSINESS PHONE: 303-454-5500 MAIL ADDRESS: STREET 1: 25568 GENESEE TRAIL ROAD CITY: GOLDEN STATE: CO ZIP: 80401 FORMER COMPANY: FORMER CONFORMED NAME: Equinox Frontier Long/Short Commodity Fund DATE OF NAME CHANGE: 20131211 FORMER COMPANY: FORMER CONFORMED NAME: FRONTIER LONG/SHORT COMMODITY SERIES, a series of The Frontier Fund DATE OF NAME CHANGE: 20081124 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: Frontier Diversified Fund CENTRAL INDEX KEY: 0001450720 STANDARD INDUSTRIAL CLASSIFICATION: [6221] IRS NUMBER: 386815533 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NT 10-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-53763 FILM NUMBER: 23787207 BUSINESS ADDRESS: STREET 1: 25568 GENESEE TRAIL ROAD CITY: DENVER STATE: CO ZIP: 80401 BUSINESS PHONE: 303-454-5500 MAIL ADDRESS: STREET 1: 25568 GENESEE TRAIL ROAD CITY: DENVER STATE: CO ZIP: 80401 FORMER COMPANY: FORMER CONFORMED NAME: Equinox Frontier Diversified Fund DATE OF NAME CHANGE: 20131211 FORMER COMPANY: FORMER CONFORMED NAME: FRONTIER DIVERSIFIED SERIES, a series of The Frontier Fund DATE OF NAME CHANGE: 20081125 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Frontier Balanced Fund CENTRAL INDEX KEY: 0001389122 STANDARD INDUSTRIAL CLASSIFICATION: [6221] IRS NUMBER: 386815533 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NT 10-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-52468 FILM NUMBER: 23787204 BUSINESS ADDRESS: STREET 1: 25568 GENESEE TRAIL ROAD CITY: GOLDEN STATE: CO ZIP: 80401 BUSINESS PHONE: 303-454-5500 MAIL ADDRESS: STREET 1: 25568 GENESEE TRAIL ROAD CITY: GOLDEN STATE: CO ZIP: 80401 FORMER COMPANY: FORMER CONFORMED NAME: Equinox Frontier Balanced Fund DATE OF NAME CHANGE: 20131211 FORMER COMPANY: FORMER CONFORMED NAME: BALANCED SERIES, a series of The Frontier Fund DATE OF NAME CHANGE: 20070206 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Frontier Global Fund CENTRAL INDEX KEY: 0001389124 STANDARD INDUSTRIAL CLASSIFICATION: [6221] IRS NUMBER: 386815533 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NT 10-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-52466 FILM NUMBER: 23787202 BUSINESS ADDRESS: STREET 1: 25568 GENESEE TRAIL ROAD CITY: GOLDEN STATE: CO ZIP: 80401 BUSINESS PHONE: 303-454-5500 MAIL ADDRESS: STREET 1: 25568 GENESEE TRAIL ROAD CITY: GOLDEN STATE: CO ZIP: 80401 FORMER COMPANY: FORMER CONFORMED NAME: Frontier Winton Fund DATE OF NAME CHANGE: 20170504 FORMER COMPANY: FORMER CONFORMED NAME: Equinox Frontier Winton Fund DATE OF NAME CHANGE: 20131212 FORMER COMPANY: FORMER CONFORMED NAME: WINTON SERIES, a series of The Frontier Fund DATE OF NAME CHANGE: 20070206 NT 10-K 1 ea176247-nt10k_frontier.htm NOTIFICATION OF LATE FILING

 

 

  SEC FILE NUMBER
  000-51274
   
  CUSIP NUMBER

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 12b-25

 

NOTIFICATION OF LATE FILING

 

(Check one): ☒ Form 10-K  ☐ Form 20-F  ☐ Form 11-K  ☐ Form 10-Q  ☐ Form 10-D  ☐ Form N-CEN  ☐ Form N-CSR
   
  For Period Ended:  December 31, 2022
   
  ☐ Transition Report on Form 10-K
  ☐ Transition Report on Form 20-F
  ☐ Transition Report on Form 11-K
  ☐ Transition Report on Form 10-Q
   
  For the Transition Period Ended:                                                                                                                                

 

Read Instruction (on back page) Before Preparing Form. Please Print or Type.
Nothing in this form shall be construed to imply that the Commission has verified any information contained herein.

 

If the notification relates to a portion of the filing checked above, identify the Item(s) to which the notification relates:

 

PART I – REGISTRANT INFORMATION

 

Frontier Funds, Frontier Diversified Fund, Frontier Long/Short Commodity Fund, Frontier Masters Fund, Frontier Balanced Fund, Frontier Select Fund, Frontier Global Fund, and Frontier Heritage Fund

Full Name of Registrant

 

 

 

Former Name if Applicable

 

25568 Genesee Trail Road

Address of Principal Executive Office (Street and Number)

 

Golden, Colorado 80401

City, State and Zip Code

 

 

 

 

PART II – RULES 12b-25(b) AND (c)

 

If the subject report could not be filed without unreasonable effort or expense and the registrant seeks relief pursuant to Rule 12b-25(b), the following should be completed. (Check box if appropriate)

 

☒

 

 

 (a) The reason described in reasonable detail in Part III of this form could not be eliminated without unreasonable effort or expense
(b) The subject annual report, semi-annual report, transition report on Form 10-K, Form 20-F, Form 11-K, Form N-CEN or Form N-CSR, or portion thereof, will be filed on or before the fifteenth calendar day following the prescribed due date; or the subject quarterly report or transition report on Form 10-Q or subject distribution report on Form 10-D, or portion thereof, will be filed on or before the fifth calendar day following the prescribed due date; and
(c) The accountant’s statement or other exhibit required by Rule 12b-25(c) has been attached if applicable.

 

PART III – NARRATIVE

 

State below in reasonable detail why Forms 10-K, 20-F, 11-K, 10-Q, 10-D, N-CEN, N-CSR, or the transition report or portion thereof, could not be filed within the prescribed time period.

 

Frontier Funds (the “Trust”) has determined that is unable to file its Annual Report on Form 10-K for the year ended December 31, 2022 (the “Form 10-K”) by the prescribed due date without unreasonable effort or expense because the Trust requires additional information from third parties relating to the Trust’s underlying investments in order for it to complete the Trust’s Form 10-K and to provide sufficient time for its independent registered public accountants, Spicer Jeffries LLP, to complete their review of the Trust’s financial statements for the year ended December 31, 2022. In accordance with Rule 12b-25 of the Securities Exchange Act of 1934, as amended, the Trust expects to file its Form 10-K no later than the fifteenth calendar day following the prescribed due date.

 

The foregoing statement about the anticipated timing of the filing of the Form 10-K is a forward-looking statement within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended. These forward-looking statements are based upon information presently available to the Trust and assumptions that it believes to be reasonable. Investors are cautioned not to place undue reliance upon forward looking statements in this notification of late filing.  The Trust undertakes no obligation to revise or update these forward-looking statements to reflect events or circumstances after the date of this filing, except as required by law.

 

PART IV – OTHER INFORMATION

 

(1)Name and telephone number of person to contact in regard to this notification.

 

Patrick Kane

  

(303)

   454-5500
(Name)   (Area Code)   (Telephone Number)

 

(2)Have all other periodic reports required under Section 13 or 15(d) of the Securities Exchange Act of 1934 or Section 30 of the Investment Company Act of 1940 during the preceding 12 months or for such shorter period that the registrant was required to file such report(s) been filed? If answer is no, identify report(s).

 

 

   Yes ☒ No ☐

 

(3)Is it anticipated that any significant change in results of operations from the corresponding period for the last fiscal year will be reflected by the earnings statements to be included in the subject report or portion thereof?

 

 

   Yes ☐ No ☒

 

If so, attach an explanation of the anticipated change, both narratively and quantitatively, and, if appropriate, state the reasons why a reasonable estimate of the results cannot be made.

 

2

 

 

Frontier Funds, Frontier Diversified Fund, Frontier Long/Short Commodity Fund, Frontier Masters Fund, Frontier Balanced Fund, Frontier Select Fund, Frontier Global Fund, and Frontier Heritage Fund

(Name of Registrant as Specified in Charter)

 

has caused this notification to be signed on its behalf by the undersigned hereunto duly authorized.

 

Date: March 31, 2023 By: /s/ Patrick J. Kane
    Name:  Patrick J. Kane
    Title: Chairman and Chief Financial Officer of Frontier Fund Management LLC, the Managing Owner of Frontier Funds

 

 

3