Attached files
| file | filename |
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| EX-31.02 - EX-31.02 - RJO GLOBAL TRUST | ex31-02.htm |
| EX-32.02 - EX-32.02 - RJO GLOBAL TRUST | ex32-02.htm |
| EX-31.01 - EX-31.01 - RJO GLOBAL TRUST | ex31-01.htm |
| EX-3.03 - EX-3.03 - RJO GLOBAL TRUST | ex3-03.htm |
| EX-32.01 - EX-32.01 - RJO GLOBAL TRUST | ex32-01.htm |
| EX-10.01 - EX-10.01 - RJO GLOBAL TRUST | ex10-01.htm |
| EX-99.01 - EX-99.01 - RJO GLOBAL TRUST | ex99-01.htm |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-Q Amendment #1
x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
For the quarterly period ended September 30, 2013
OR
o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
For the transition period from _______ to _______
Commission File Number: 000-22887
RJO GLOBAL TRUST
(Exact name of registrant as specified in its charter)
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Delaware
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36-4113382
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(State or other jurisdiction of incorporation or organization)
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(I.R.S. Employer Identification No.)
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c/o R.J. O’Brien Fund Management, LLC
222 South Riverside Plaza
Suite 900
Chicago, IL 60606
(Address of principal executive offices) (Zip Code)
(312) 373-5000
(Registrant's telephone number, including area code)
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days.
x Yes ¨ No
Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files).
x Yes ¨ No
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definitions of “large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange Act.
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Large accelerated filer £
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Accelerated filer £
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Non-accelerated filer £ (Do not check if smaller reporting company)
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Smaller reporting company x
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Indicate by check mark whether the Registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).
o Yes x No
Explanatory Note: The sole purpose of this Amendment to RJO Global Trust’s Quarterly Report on Form 10-Q for the fiscal quarter ended September 30, 2013, filed with the Securities and Exchange Commission on November 13, 2013 (the “Form 10-Q”), is to file (i) the Second Amendment to the Ninth Amended and Restated Declaration and Agreement of Trust of the Registrant, dated as of October 18, 2013 (Exhibit Number 3.03); (ii) the Investment Management Agreement, entered into as of August, 2013, among RJO Global Trust, R.J. O’Brien Fund Management LLC and RPM Risk and Portfolio Management AB (Exhibit Number 10.01) and (iii) the Notice to Unitholders dated October 18, 2013 (Exhibit 99.01). Each of the foregoing exhibits were included in Item 6 of the Form 10-Q, but were not submitted with such filing. No other changes have been made to the Form 10-Q.
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a)
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Exhibits
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Exhibit Number
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Description of Document
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3.01
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Ninth Amended and Restated Declaration and Agreement of Trust of the Registrant, dated as of September 1, 2010.(1)
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3.02
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First Amendment to the Ninth Amended and Restated Declaration and Agreement of Trust of the Registrant, dated as of July 13, 2011.(2)
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3.03
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3.04
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Restated Certificate of Trust of the Registrant.(3)
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10.01**
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31.01
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31.02
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32.01
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32.02
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99.01
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101.INS*
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XBRL Instance Document
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101.SCH*
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XBRL Taxonomy Extension Schema
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101.CAL*
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XBRL Taxonomy Extension Calculation Linkbase
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101.DEF*
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XBRL Taxonomy Extension Definition Linkbase
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101.LAB*
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XBRL Taxonomy Extension Label Linkbase
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101.PRE*
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XBRL Taxonomy Extension Presentation Linkbase
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(1) Incorporated by reference herein from the exhibit of the same description filed on September 7, 2010 on Form 8-K.
(2) Incorporated by reference herein from the exhibit of the same description filed on July 15, 2011 on Form 8-K.
(3) Incorporated by reference herein from the exhibit of the same description filed on September 30, 2008 on Form 8-K.
* These exhibits were previously included in the Company’s Quarterly Report on Form 10-Q for the period ended September 30, 2013 filed with the Securities and Exchange Commission on November 13, 2013.
** Certain information in this exhibit has been redacted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.
*** Filed herewith.
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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 and thereunto duly authorized.
RJO Global Trust
Date: April 4, 2014
By: R.J. O’Brien Fund Management, LLC
Managing Owner
By: /s/ Julie M. DeMatteo
Julie M. DeMatteo
Chief Executive Officer
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