Attached files
file | filename |
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EX-31.4 - MAN-AHL 130, LLC | efc10-222_ex314.htm |
EX-32.4 - MAN-AHL 130, LLC | efc10-222_ex324.htm |
EX-32.3 - MAN-AHL 130, LLC | efc10-222_ex323.htm |
EX-31.3 - MAN-AHL 130, LLC | efc10-222_ex313.htm |
EX-13.01 - MAN-AHL 130, LLC | efc10-222_ex1301.htm |
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
10-K/A
(Amendment No.
1)
þ Annual
Report Pursuant to Section 13 or 15(d)
of the
Securities Exchange Act of 1934
For the
Fiscal Year Ended: March 31, 2009
or
¨ Transition
Report Pursuant to Section 13 or 15(d)
of the
Securities Exchange Act of 1934
Commission
File Number: 333-126172
Man-AHL
130, LLC
(Exact
name of registrant as specified in its charter)
Delaware
|
84-1676365
|
|
(State or other jurisdiction of |
(I.R.S.
Employer
|
|
incorporation or organization) |
Identification
No.)
|
c/o MAN INVESTMENTS (USA)
CORP.
123 North
Wacker Drive, 28th Floor
Chicago,
Illinois 60606
(Address
of principal executive offices)
Registrant’s
telephone number, including area
code: (312) 881-6800
Securities
registered pursuant to Section 12(b) of the
Act: None
Securities
registered pursuant to Section 12(g) of the Act: Class A and Class B Units of
Limited Liability Company Interest
|
(Title
of Class)
|
Indicate
by check mark if the registrant is a well-known seasoned issuer, as defined in
Rule 405 of the Securities Act. Yes
[ ] No [X ]
Indicate
by check mark if the registrant is not required to file reports pursuant to
Section 13 or Section 15(d) of the Act. Yes
[ ] No [X ]
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. Yes [X] 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). Yes
[ ] No [ ]
Indicate
by check mark if disclosure of delinquent filers pursuant to Item 405 of
Regulation S-K (§229.405 of this chapter) is not contained herein, and will not
be contained, to the best of registrant’s knowledge, in definitive proxy or
information statements incorporated by reference in Part III of this Form 10-K
or any amendment to this Form 10-K. [X]
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 definition of “large accelerated filer,” “accelerated
filer” and “smaller reporting company” in Rule 12b-2 of the Exchange
Act. (Check one):
Large
accelerated filer
[ ] Accelerated
Filer [ ]
Non-accelerated
filer
[ ]
Smaller reporting company [X]
Indicate
by check mark whether the registrant is a shell company (as defined in Rule
12b-2 of the Act). Yes [ ] No
[ X ]
State the
aggregate market value of the voting and non-voting common equity held by
non-affiliates computed by reference to the price at which the common equity was
last sold, or the average bid and asked price of such common equity, as of the
last business day of the registrant’s most recently completed second fiscal
quarter.
Not
applicable.
Documents
Incorporated by Reference
The
report of Deloitte & Touche and the financial statements of the Registrant
for the year ended March 31, 2009, which constitutes the Registrant’s annual
report to its Unitholders are included herewith as exhibit 13.01 and are
incorporated by reference into Item 8 of this Annual Report on Form
10-K/A.
Explanatory
Note:
The sole purpose of this Amendment No 1
to Registrant's Annual Report on Form 10-K is to included on the audit report
the name of the city and state in which the audit report was
issued.
PART
I
Item
8. Financial Statements and Supplementary Data
Financial
statements required by this item, including the report of the independent
registered accounting firm for the fiscal years ended March 31, 2009 and 2008
are included as Exhibit 13.01 to this report and incorporated by reference into
this Item 8.
The
following summarized quarterly financial information presents the results of
operations of the Class A Units for the three month periods ended June 30,
September 30, December 31 and March 31 during the fiscal years for which Man-AHL
130 was in operation. This information has not been
audited. The Class B Units commenced operations as of April 1,
2008.
Class A
Series 1 Units
Period
Ended:
|
September
30
2007
|
December
31
2007
|
March
31
2008
|
Interest
Income:
|
$812
|
$1,134
|
$1,357
|
Net
Realized and Unrealized Gains (Losses):
|
$3,185
|
$14,491
|
$50,077
|
Expenses:
|
$1,955
|
$5,414
|
$14,692
|
Net
Income (Loss):
|
$2,043
|
$10,212
|
$36,742
|
Increase
(Decrease) in Net Asset Value per Unit
|
$1.70
|
$5.91
|
$27.52
|
Period
Ended:
|
June
30
2008
|
September
30
2008
|
December
31
2008
|
March
31
2009
|
Interest
Income:
|
$1,538
|
$2,252
|
$1,823
|
$764
|
Net
Realized and Unrealized Gains (Losses):
|
$33,058
|
($98,905)
|
$178,466
|
($53,154)
|
Expenses:
|
$11,208
|
$6,260
|
$31,701
|
$10,160
|
Net
Income (Loss):
|
$23,388
|
($102,913)
|
$148,588
|
($62,550)
|
Increase
(Decrease) in Net Asset Value per Unit
|
$5.56
|
($19.22)
|
$23.26
|
($9.94)
|
Class A
Series 2 Units
Period
Ended:
|
June
30
2007
|
September
30
2007
|
December
31
2007
|
March
31
2008
|
Interest
Income:
|
$113,383
|
$105,078
|
$99,125
|
$77,542
|
Net
Realized and Unrealized Gains (Losses):
|
$2,370,435
|
$26,004
|
$1,361,161
|
$2,856,496
|
Expenses:
|
$635,393
|
$202,688
|
$434,346
|
$777,160
|
Net
Income (Loss):
|
$1,848,425
|
$(71,606)
|
$1,025,940
|
$2,156,875
|
Increase
(Decrease) in Net Asset Value per Unit
|
$12.32
|
$(0.48)
|
$6.84
|
$14.39
|
Period
Ended:
|
June
30
2008
|
September
30
2008
|
December
31
2008
|
March
31
2009
|
Interest
Income:
|
$67,771
|
$64,209
|
$46,358
|
$15,919
|
Net
Realized and Unrealized Gains (Losses):
|
$1,260,082
|
($2,902,835)
|
$4,537,777
|
$(1,092,739)
|
Expenses:
|
$403,723
|
$122,311
|
$738,008
|
$156,337
|
Net
Income (Loss):
|
$924,130
|
($2,960,937)
|
$3,846,127
|
$(1,233,157)
|
Increase
(Decrease) in Net Asset Value per Unit
|
$6.04
|
($19.08)
|
$24.08
|
($9.71)
|
Class B
Series 1 Units
Period
Ended:
|
June
30
2008
|
September
30
2008
|
December
31
2008
|
March
31
2009
|
Interest
Income:
|
$6,290
|
$10,947
|
$12,223
|
$5,825
|
Net
Realized and Unrealized Gains (Losses):
|
$120,101
|
($425,947)
|
$1,190,913
|
($405,234)
|
Expenses:
|
$44,411
|
$28,204
|
$214,607
|
$77,862
|
Net
Income (Loss):
|
$81,980
|
($443,204)
|
$988,529
|
($477,271)
|
Increase
(Decrease) in Net Asset Value per Unit
|
$5.26
|
($18.58)
|
$23.33
|
($9.91)
|
Class B
Series 2 Units
Period
Ended:
|
June
30
2008
|
September
30
2008
|
December
31
2008
|
March
31
2009
|
Interest
Income:
|
$9,934
|
$14,648
|
$14,465
|
$6,998
|
Net
Realized and Unrealized Gains (Losses):
|
$186,195
|
($590,936)
|
$1,401,501
|
($483,321)
|
Expenses:
|
$60,187
|
$25,817
|
$233,700
|
$68,913
|
Net
Income (Loss):
|
$135,942
|
($602,105)
|
$1,182,266
|
($545,236)
|
Increase
(Decrease) in Net Asset Value per Unit
|
$5.74
|
($18.43)
|
$24.15
|
$(9.68)
|
There
were no extraordinary, unusual or infrequently occurring items recognized in any
quarter within the two most recent fiscal years. There have been no
year-end adjustments that are material to the results of any fiscal quarter
reported above.
Item
15. Exhibits
and Financial Statement Schedules
(a)(1) Financial Statements
The
following are included with the Report of Independent Registered Public
Accounting Firm dated June 29, 2009 a copy of which is filed herewith
as Exhibit 13.01 :
Condensed
Schedules of Investments (a)
Statements
of Financial Condition (a)
Statements
of Operations (a)
Statements
of Changes in Members’ Equity (a)
Statements
of Cash Flows (b)
Financial
Highlights (b)
|
Notes
to Financial Statements
|
|
(a)
At March 31, 2009 and March 31,
2008
|
|
(b)
For the years ended March 31, 2009 and
2008
|
(a)(2) Financial Statement Schedules
All
Schedules are omitted for the reason that they are not required or are not
applicable because equivalent information has been included in the financial
statements or the notes thereto.
(a)(3) Exhibits as required by Item 601 of Regulation S-K
The
following exhibits are included herewith.
Designation Description
|
13.01
|
Report
of Independent Registered Public Accounting
Firm
|
|
(Amended)
|
|
|
31.3
|
Rule
13a-14(a)/15d-14(a) Certification of Principal Executive
Officer
|
|
31.4
|
Rule
13a-14(a)/15d-14(a) Certification of Principal Financial
Officer
|
|
32.3
|
Section
1350 Certification of Principal Executive
Officer
|
|
32.4
|
Section
1350 Certification of Principal Financial
Officer
|
The
following exhibit is incorporated by reference from the exhibit of the same
number and description filed with Man-AHL 130’s Registration Statement (File No.
333-126172) filed on June 28, 2005 on Form S-1 under the Securities Act of
1933.
|
3.01(i)
|
Certificate
of Formation of
Registrant.
|
The
following exhibit is incorporated by reference from the exhibits of the same
number and description filed with Amendment No. 3 to Man-AHL 130’s Registration
Statement (File No. 333-126172) filed on April 17, 2006 on Form S-1 under the
Securities Act of 1933.
|
10.02
|
Form
of Customer Agreement between the Registrant and Man Financial Inc. (now
MF Global)
|
The
following exhibit is incorporated by reference from the exhibits of the same
number and description filed with Post-Effective Amendment No. 5 to Man-AHL
130’s Registration Statement (File No. 333-126172) filed November 29, 2006 on
Form S-1 under the Securities Act of 1933.
|
10.01
|
Form
of Administration Agreement between Man-AHL 130 and the
Administrator.
|
The
following exhibits are incorporated by reference from the exhibits of the same
number and description filed with Post-Effective Amendment No. 6 to Man-AHL
130’s Registration Statement (File No. 333-126172) filed January 18, 2007 on
Form S-1 under the Securities Act of 1933.
|
1.01
|
Form
of General Distributor’s Agreement between the Registrant and Man
Investments Inc.
|
|
10.02(a)
|
Addendum
to the Form of Customer Agreement between the Registrant and Man Financial
Inc. (now MF Global Inc.)
|
|
10.03
|
Form
of Trading Advisory Agreement between Registrant and Man-AHL (USA)
Ltd.
|
|
10.04
|
Form
of Escrow Agreement among the Registrant, the Managing Member and the
Escrow Agent.
|
The
following exhibit is incorporated by reference from the exhibit of the same
number and description filed with Post-Effective Amendment No. 1 to Man-AHL
130’s Registration Statement (File No. 333-126172) filed October 16, 2007 on
Form S-1 under the Securities Act of 1933.
|
10.03(a)
|
Amendment
to the Form of Trading Advisory Agreement between Registrant and Man-AHL
(USA) Ltd.
|
The
following exhibits are incorporated by reference from the exhibit of the same
number and description filed with Post-Effective Amendment No. 2 to Man-AHL
130’s Registration Statement (File No. 333-126172) filed August 11, 2008 on Form
S-1 under the Securities Act of 1933.
|
3.02
|
Limited
Liability Company Agreement of the
Registrant.
|
|
(amended)
|
|
10.05
|
form
of Application and Power of
Attorney
|
|
10.06
|
Form
of Trading Advisory Agreement between the Registrant and Man
Investments Limited.
|
SIGNATURES
Pursuant
to the requirements of Section 13 or 15(d) 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, on the 19th day of March,
2010.
MAN-AHL 130, LLC | |||
|
By:
|
Man
Investments (USA) Corp.,
Managing
Member
|
|
By:
|
/s/ Alicia B. Derrah | ||
Alicia B. Derrah | |||
Chief Execuive Officer | |||
EXHIBIT
INDEX
The
following exhibits are included herewith.
Designation
Description
|
13.01
|
Report
of Independent Registered Public Accounting
Firm
|
|
(Amended)
|
|
|
31.3
|
Rule
13a-14(a)/15d-14(a) Certification of Principal Executive
Officer
|
|
31.4
|
Rule
13a-14(a)/15d-14(a) Certification of Principal Financial
Officer
|
|
32.3
|
Section
1350 Certification of Principal Executive
Officer
|
|
32.4
|
Section
1350 Certification of Principal Financial
Officer
|
The
following exhibit is incorporated by reference from the exhibit of the same
number and description filed with Man-AHL 130’s Registration Statement (File No.
333-126172) filed on June 28, 2005 on Form S-1 under the Securities Act of
1933.
|
3.01(i)
|
Certificate
of Formation of
Registrant.
|
The
following exhibit is incorporated by reference from the exhibits of the same
number and description filed with Amendment No. 3 to Man-AHL 130’s Registration
Statement (File No. 333-126172) filed on April 17, 2006 on Form S-1 under the
Securities Act of 1933.
|
10.02
|
Form
of Customer Agreement between the Registrant and Man Financial Inc. (now
MF Global Inc.)
|
The
following exhibit is incorporated by reference from the exhibits of the same
number and description filed with Post-Effective Amendment No. 5 to Man-AHL
130’s Registration Statement (File No. 333-126172) filed November 29, 2006 on
Form S-1 under the Securities Act of 1933.
|
10.01
|
Form
of Administration Agreement between Man-AHL 130 and the
Administrator.
|
The
following exhibits are incorporated by reference from the exhibits of the same
number and description filed with Post-Effective Amendment No. 6 to Man-AHL
130’s Registration Statement (File No. 333-126172) filed January 18, 2007 on
Form S-1 under the Securities Act of 1933.
|
1.01
|
Form
of General Distributor’s Agreement between the Registrant and Man
Investments Inc.
|
|
10.02(a)
|
Addendum
to the Form of Customer Agreement between the Registrant and Man Financial
Inc. (now MF Global)
|
|
10.03
|
Form
of Trading Advisory Agreement between Registrant and
Man-AHL
|
|
(USA)
Ltd.
|
|
10.04
|
Form
of Escrow Agreement among the Registrant, the Managing Member and the
Escrow Agent.
|
The
following exhibit is incorporated by reference from the exhibit of the same
number and description filed with Post-Effective Amendment No. 1 to Man-AHL
130’s Registration Statement (File No. 333-126172) filed October 16, 2007 on
Form S-1 under the Securities Act of 1933.
|
10.03(a)
|
Amendment
to the Form of Trading Advisory Agreement between Registrant and Man-AHL
(USA) Ltd.
|
The
following exhibits are incorporated by reference from the exhibit of the same
number and description filed with Post-Effective Amendment No. 2 to Man-AHL
130’s Registration Statement (File No. 333-126172) filed August 11, 2008 on Form
S-1 under the Securities Act of 1933.
|
3.02
|
Limited
Liability Company Agreement of the
Registrant.
|
|
(amended)
|
|
10.05
|
Form
of Application and Power of
Attorney
|
|
10.06
|
Form
of Trading Advisory Agreement between the Registrant and Man
Investments Limited.
|