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): March 15, 2016
EQUINOX FRONTIER FUNDS
EQUINOX FRONTIER DIVERSIFIED FUND;
EQUINOX FRONTIER LONG/SHORT COMMODITY FUND;
EQUINOX FRONTIER MASTERS FUND;
EQUINOX FRONTIER BALANCED FUND;
EQUINOX FRONTIER SELECT FUND;
EQUINOX FRONTIER WINTON FUND;
EQUINOX FRONTIER HERITAGE 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 8.01. | Other Events. |
As previously reported in Equinox Frontier Funds’ (the “Trust”) Form 8-K, which was filed with the Securities and Exchange Commission (“SEC”) on January 15, 2016, Equinox Fund Management, LLC, the managing owner of the Trust (the “Managing Owner”), had executed an offer of settlement with the SEC, which was subsequently accepted, to settle allegations made by each of the SEC and the Commodity Futures Trading Commission (“CFTC”) related to certain disclosures concerning the valuation of certain options invested in by certain of the series of the Trust (each, a “Series” and collectively, the “Series”), as well as the Managing Owner’s calculation and disclosure of management fees paid by investors in certain of the Series.
On January 12, 2016, the Managing Owner executed an offer of settlement that was submitted to the CFTC in relation to the above-mentioned allegations. The CFTC accepted the offer of settlement on or about March 14, 2016 pursuant to which the Managing Owner neither admits nor denies the negligence-based allegations made by the CFTC, as described in further detail in the Form 8-K filed on January 15, 2016, and has agreed to pay a civil monetary penalty of $250,000 to the CTFC.
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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 Funds | ||||||
| (Registrant) | ||||||
| Date: March 15, 2016 | ||||||
| By: | /s/ Robert J. Enck | |||||
| Robert J. Enck | ||||||
| President and Chief Executive Officer of Equinox Fund Management, LLC, the Managing Owner | ||||||
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: March 15, 2016 | ||||||
| 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 | ||||||
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 Heritage Fund, | ||||||
| a Series of Equinox Frontier Funds | ||||||
| (Registrant) | ||||||
| Date: March 15, 2016 | By: | /s/ Robert J. Enck | ||||
| Robert J. Enck | ||||||
| President and Chief Executive Officer of Equinox Fund Management, LLC, the Managing Owner of Equinox Frontier Heritage Fund, a Series of Equinox Frontier Funds | ||||||
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 Winton Fund, | ||||||
| a Series of Equinox Frontier Funds | ||||||
| (Registrant) | ||||||
| Date: March 15, 2016 | ||||||
| By: | /s/ Robert J. Enck | |||||
| Robert J. Enck | ||||||
| President and Chief Executive Officer of Equinox Fund Management, LLC, the Managing Owner of Equinox Frontier Winton Fund, a Series of Equinox Frontier Funds | ||||||
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 Select Fund, | ||||||
| a Series of Equinox Frontier Funds | ||||||
| (Registrant) | ||||||
| Date: March 15, 2016 | ||||||
| By: | /s/ Robert J. Enck | |||||
| Robert J. Enck | ||||||
| President and Chief Executive Officer of Equinox Fund Management, LLC, the Managing Owner of Equinox Frontier Select Fund, a Series of Equinox Frontier Funds | ||||||
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 Long/Short Commodity Fund, | ||||||
| a Series of Equinox Frontier Funds | ||||||
| (Registrant) | ||||||
| Date: March 15, 2016 | ||||||
| By: | /s/ Robert J. Enck | |||||
| Robert J. Enck | ||||||
| President and Chief Executive Officer of Equinox Fund Management, LLC, the Managing Owner of Equinox Frontier Long/Short Commodity Fund, a Series of Equinox Frontier Funds | ||||||
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 Diversified Fund, | ||||||
| a Series of Equinox Frontier Funds | ||||||
| (Registrant) | ||||||
| Date: March 15, 2016 | ||||||
| By: | /s/ Robert J. Enck | |||||
| Robert J. Enck | ||||||
| President and Chief Executive Officer of Equinox Fund Management, LLC, the Managing Owner of Equinox Frontier Diversified Fund, a Series of Equinox Frontier Funds | ||||||
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: March 15, 2016 | ||||||
| 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 | ||||||