-----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, MDxtDv6C7It1J9/PmnbDKE59j0WdbN7HzPStQcotdA1TakrHoHRnCyjdBWf9BdTM vUXeMpLwhC3kgsH9MSRR0g== 0000950144-09-003803.txt : 20090501 0000950144-09-003803.hdr.sgml : 20090501 20090501165919 ACCESSION NUMBER: 0000950144-09-003803 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20090501 ITEM INFORMATION: Entry into a Material Definitive Agreement ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20090501 DATE AS OF CHANGE: 20090501 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GreenHaven Continuous Commodity Index Master Fund CENTRAL INDEX KEY: 0001379527 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-33908 FILM NUMBER: 09790204 BUSINESS ADDRESS: STREET 1: C/O GREENHAVEN COMMODITY SERVICES STREET 2: 3340 PEACHTREE ROAD, SUITE 1910 CITY: ATLANTA STATE: GA ZIP: 30326 BUSINESS PHONE: 800-845-8103 MAIL ADDRESS: STREET 1: C/O GREENHAVEN COMMODITY SERVICES STREET 2: 3340 PEACHTREE ROAD, SUITE 1910 CITY: ATLANTA STATE: GA ZIP: 30326 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GreenHaven Continuous Commodity Index Fund CENTRAL INDEX KEY: 0001379606 STANDARD INDUSTRIAL CLASSIFICATION: [6221] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-33909 FILM NUMBER: 09790205 BUSINESS ADDRESS: STREET 1: C/O GREENHAVEN COMMODITY SERVICES STREET 2: 3340 PEACHTREE ROAD, SUITE 1910 CITY: ATLANTA STATE: GA ZIP: 30326 BUSINESS PHONE: 800-845-8103 MAIL ADDRESS: STREET 1: C/O GREENHAVEN COMMODITY SERVICES STREET 2: 3340 PEACHTREE ROAD, SUITE 1910 CITY: ATLANTA STATE: GA ZIP: 30326 8-K 1 g18900e8vk.htm FORM 8-K e8vk
 
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
Date of Report: May 1, 2009
GREENHAVEN CONTINUOUS COMMODITY INDEX FUND
(Registrant)
(Exact name of registrant as specified in its charter)
GREENHAVEN CONTINUOUS COMMODITY INDEX MASTER FUND
(Rule 140 Co-Registrant)
(Exact name of registrant as specified in its charter)
     
Delaware
(State or other jurisdiction of incorporation
or organization)
  26-0151234 (Registrant)
26-0151301 (Co-Registrant)

(IRS Employer ID Number)
     
c/o Greenhaven Commodity Services, LLC
3340 Peachtree Road
Suite 1910
Atlanta, GA

(Address of principal executive offices)
  30346
(Zip Code)
001-33908
001-33909

(Commission File Number)
(404) 239-7942
(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 registrants under any of the following provisions (see General Instruction A.2. below):
o   Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o   Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o   Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o   Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
 
 

 


 

Item 1.01   Entry into Material Definitive Agreements.
On April 30, 2009, GreenHaven Commodity Services, LLC (the Managing Owner of GreenHaven Continuous Commodity Index Fund and GreenHaven Continuous Commodity Index Master Fund) entered into an amendment to its Agreement for Marketing Services (the “Agreement”) with ALPS Fund Services, Inc. (“ALPS”), dated January 14, 2008. Pursuant to the amendment, entitled “Amendment No.1 to Agreement for Marketing Services” (the “Amendment”), it was agreed that ALPS Distributors, Inc. (“ALPS Distributors”), an affiliate of ALPS, replaced ALPS in its entirety as a party to the Agreement and assumed all of ALPS’ duties and obligations set forth in the Agreement, effective as of April 30, 2009.
The foregoing description is qualified in its entirety by the complete form of Amendment, attached hereto as Exhibit 10.1, which is incorporated herein by reference.
Item 9.01.   Financial Statements and Exhibits.
(d) Exhibits
10.1 —
Amendment No.1 to Agreement for Marketing Services, dated April 30, 2009
SIGNATURES
     Pursuant to the requirements of the Securities Exchange Act of 1934 each registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
         
  GREENHAVEN CONTINUOUS COMMODITY INDEX FUND
     By Greenhaven Commodity Services, LLC, the Managing
     Owner

 
 
  By:   /s/ Ashmead Pringle    
    Name:   Ashmead Pringle   
    Title:   Chief Executive Officer   
 
 
  GREENHAVEN CONTINUOUS COMMODITY INDEX MASTER FUND
     By Greenhaven Commodity Services, LLC, the Managing
     Owner

 
 
  By:   /s/ Ashmead Pringle    
    Name:   Ashmead Pringle   
    Title:   Chief Executive Officer   
 
Date: May 1, 2009

 


 

EXHIBIT INDEX
     
Exhibit    
Number   Exhibit Title
 
   
10.1*
  Amendment No.1 to Agreement for Marketing Services, dated April 30, 2009
 
*   Filed herewith.

 

EX-10.1 2 g18900exv10w1.htm EX-10.1 exv10w1
Exhibit 10.1
Amendment No. 1 to Agreement for Marketing Services
     This Amendment No. 1 dated as of April 30, 2009 (this “Amendment”) is to the Agreement for Marketing Services dated January 14, 2008 (the “Agreement”) by and between ALPS Fund Services, Inc., a Colorado corporation located at 1290 Broadway, Suite 1100, Denver, Colorado 80203 (“ALPS”), and GreenHaven Commodity Services, LLC, a Delaware limited liability company located at 3340 Peachtree Road, Suite 1910, Atlanta, Georgia 30326 (the “Managing Owner”).
     WHEREAS, ALPS and the Managing Owner wish to amend the Agreement in certain respects as more fully set forth below; and
     WHEREAS, ALPS Distributors, Inc. (“ALPS Distributors”) is (i) an affiliate of ALPS, (ii) a Colorado corporation, and (iii) a registered broker-dealer under the Securities Exchange Act of 1934, as amended.
     NOW, THEREFORE, in consideration of the mutual covenants herein contained and for good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties hereby agree as follows:
     1. Effective as of April 30, 2009, ALPS Distributors hereby replaces ALPS in its entirety as a party to the Agreement and assumes all of ALPS’ duties and obligations set forth in the Agreement. Moreover, in connection with the foregoing, ALPS hereby assigns to ALPS Distributors all of ALPS’ rights and entitlements under the Agreement, effective as of April 30, 2009.
     2. Except as specifically set forth herein, all other provisions of the Agreement shall remain in full force and effect. Any items not herein defined shall have the meaning ascribed to them in the Agreement.
     IN WITNESS WHEREOF, the parties hereto have duly executed and delivered this Amendment as of the date first written above.

         
GREENHAVEN COMMODITY SERVICES, LLC
 
 
By:   /s/ Ashmead Pringle    
    Name:   Ashmead Pringle   
    Title:   President   
 
         
Accepted and Agreed to this 30th day of April, 2009:


ALPS DISTRIBUTORS, INC.
 
 
By:   /s/  Thomas A. Carter  
    Name:   Thomas A. Carter   
    Title:   President   
 
         
ALPS FUND SERVICES, INC.
 
 
By:   /s/ Jeremy O. May    
    Name:   Jeremy O. May   
    Title:   President   
 


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