Attached files
| file | filename |
|---|---|
| EX-10.3 - EX-10.3 - Equinox Frontier Diversified Fund | d273320dex103.htm |
| EX-10.2 - EX-10.2 - Equinox Frontier Diversified Fund | d273320dex102.htm |
| EX-10.1 - EX-10.1 - Equinox Frontier Diversified Fund | d273320dex101.htm |
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): October 19, 2016 (October 14, 2016)
EQUINOX FRONTIER FUNDS
EQUINOX FRONTIER DIVERSIFIED FUND
EQUINOX FRONTIER LONG/SHORT COMMODITY FUND
EQUINOX FRONTIER MASTERS FUND
EQUINOX FRONTIER BALANCED FUND
EQUINOX FRONTIER HERITAGE FUND
EQUINOX FRONTIER SELECT FUND
EQUINOX FRONTIER WINTON FUND
(Exact Name of Registrant as Specified in Charter)
| Delaware | 000-51274 | 36-6815533 | ||
| (State or Other Jurisdiction of Incorporation or Organization) |
(Commission File Number) |
(I.R.S. Employer Identification No.) |
c/o Equinox Fund Management, LLC
1775 Sherman Street, Suite 2010
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
On October 14, 2016, following the completion of the transition of each series of the Registrant to the commodity pools on the Galaxy Plus Platform pursuant to the Platform Agreement by and among Galaxy Plus Fund LLC, Gemini Alternative Funds, LLC and Equinox Fund Management, Gemini Fund Services, LLC replaced Phoenix American Financial Services, LLC as the independent, third party transfer agent for the Registrant and its trading companies in certain capacities related to sales and commissions processing. The fund services agreement with Gemini Fund Services, LLC is substantially similar to the Form of Fund Services Agreement, which is attached hereto as Exhibit 10.2 and incorporated herein by reference.
In connection with the foregoing, Gemini Hedge Fund Services, LLC officially replaced BNP Paribas Financial Services, LLC as the independent, third party administrator for the Registrant and its trading companies in certain capacities related to accounting and financial bookkeeping. The administrative services agreement with Gemini Hedge Fund Services, LLC is substantially similar to the Form of Administrative Services Agreement, which is attached hereto as Exhibit 10.3 and incorporated herein by reference.
Item 9.01. Financial Statements and Exhibits.
(d) The following exhibits are filed herewith:
| Exhibit |
Description | |
| 10.1 | Form of Platform Agreement | |
| 10.2 | Form of Fund Services Agreement | |
| 10.3 | Form of Administrative Services Agreement | |
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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 hereunto duly authorized.
| Equinox Frontier Funds | ||||||
| (Registrant) | ||||||
| Date: October 19, 2016 | By: | /s/ Robert J. Enck | ||||
| Robert J. Enck | ||||||
| President and Chief Executive Officer of Equinox Fund Management, LLC, the Managing Owner | ||||||
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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 hereunto duly authorized.
| Equinox Frontier Diversified Fund, | ||||||
| a Series of Equinox Frontier Funds | ||||||
| (Registrant) | ||||||
| Date: October 19, 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 | ||||||
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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 hereunto duly authorized.
| Equinox Frontier Long/Short Commodity Fund, | ||||||
| a Series of Equinox Frontier Funds | ||||||
| (Registrant) | ||||||
| Date: October 19, 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 | ||||||
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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 hereunto duly authorized.
| Equinox Frontier Masters Fund, | ||||||
| a Series of Equinox Frontier Funds | ||||||
| (Registrant) | ||||||
| Date: October 19, 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 | ||||||
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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 hereunto duly authorized.
| Equinox Frontier Balanced Fund, | ||||||
| a Series of Equinox Frontier Funds | ||||||
| (Registrant) | ||||||
| Date: October 19, 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 | ||||||
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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 hereunto duly authorized.
| Equinox Frontier Heritage Fund, | ||||||
| a Series of Equinox Frontier Funds | ||||||
| (Registrant) | ||||||
| Date: October 19, 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 | ||||||
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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 hereunto duly authorized.
| Equinox Frontier Select Fund, | ||||||
| a Series of Equinox Frontier Funds | ||||||
| (Registrant) | ||||||
| Date: October 19, 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 | ||||||
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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 hereunto duly authorized.
| Equinox Frontier Winton Fund, | ||||||
| a Series of Equinox Frontier Funds | ||||||
| (Registrant) | ||||||
| Date: October 19, 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 | ||||||
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