Attached files
| file | filename |
|---|---|
| EX-10.37 - EX-10.37 - AMERICAN BAR ASSOCIATION MEMBERS / NORTHERN TRUST COLLECTIVE TR | d616206dex1037.htm |
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 (Date of earliest event reported): October 22, 2013
AMERICAN BAR ASSOCIATION MEMBERS /
NORTHERN TRUST COLLECTIVE TRUST
(Exact Name of Registrant as Specified in Charter)
| Illinois | 033-50080 | 04-6691601 | ||
| (State or Other Jurisdiction of Incorporation) |
(Commission File Number) |
(IRS Employer Identification No.) | ||
| 50 South LaSalle Street Chicago, Illinois |
60603 | |||
| (Address of Principal Executive Offices) | (Zip Code) | |||
Registrant’s telephone number, including area code: (312) 630-6000
(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:
| ¨ | 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)) |
ITEM 1.01. Entry into a Material Definitive Agreement.
On October 22, 2013, Northern Trust Investments, Inc. (the “Trustee”), as trustee of the American Bar Association Members/Northern Trust Collective Trust, entered into an Investment Advisor Agreement with Aristotle Capital Management, LLC (“Aristotle”) pursuant to which Aristotle will provide investment advisory services with respect to a portion of the Large Cap Equity Fund. On or about November 1, 2013, approximately 27% of the assets of the Large Cap Equity Fund will be allocated to Aristotle.
The foregoing summary does not purport to be complete and is qualified in its entirety by reference to the Investment Advisory Agreement filed as Exhibit 10.37 hereto and which is incorporated herein by reference.
Aristotle was retained by the Trustee to provide investment advisory services with respect to the portion of the Large Cap Equity Fund previously advised with the assistance of C.S. McKee, L.P. (“C.S. McKee”). Refer to Item 1.02 below for additional information.
ITEM 1.02. Termination of a Material Definitive Agreement.
On October 22, 2013, the Trustee terminated the Investment Advisor Agreement by and between the Trustee and C.S. McKee, pursuant to which C.S. McKee provided investment advice with respect to the Large Cap Equity Fund.
ITEM 9.01. Financial Statements and Exhibits.
(d) Exhibits.
| Exhibit No. | Description of Exhibit | |
| 10.37 | Investment Advisor Agreement by and between Northern Trust Investments, Inc. and Aristotle Capital Management, LLC, executed October 22, 2013. |
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SIGNATURE
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.
| AMERICAN BAR ASSOCIATION MEMBERS / NORTHERN TRUST COLLECTIVE TRUST | ||||||
| Date: October 25, 2013 | By: | /s/ Randal Rein | ||||
| Name: Randal Rein | ||||||
| Title: Principal Financial Officer | ||||||
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EXHIBIT INDEX
| Exhibit No. | Description of Exhibit | |
| 10.37 | Investment Advisor Agreement by and between Northern Trust Investments, Inc. and Aristotle Capital Management, LLC, executed October 22, 2013. |
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