Attached files
| file | filename |
|---|---|
| EXCEL - IDEA: XBRL DOCUMENT - Aspen Diversified Fund LLC | Financial_Report.xls |
| EX-32 - EXHIBIT 32.1 - Aspen Diversified Fund LLC | exhibit32-1.htm |
| EX-31 - EXHIBIT 31.2 - Aspen Diversified Fund LLC | exhibit31-2.htm |
| EX-32 - EXHIBIT 32.2 - Aspen Diversified Fund LLC | exhibit32-2.htm |
| EX-31 - EXHIBIT 31.1 - Aspen Diversified Fund LLC | exhibit31-1.htm |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
_________________________
FORM 10-Q/A
_________________________
| S | QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
| For the quarterly period ended: September 30, 2011 | |
| £ | TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
| For the transition period: ____________________ to ____________________ |
Commission File Number: 000-52544
Aspen Diversified Fund LLC
(Exact name of registrant as specified in its charter)
| Delaware | 32-0145465 | |||
| (State or other jurisdiction of incorporation or organization) |
(IRS Employer Identification Number) | |||
| 4200 Northside Parkway Building 11, Suite 200 Atlanta, GA 30327 |
||||
| (Address of principal executive offices) | ||||
| (404) 879-5126 | ||||
| (Telephone Number) | ||||
| Not applicable | ||||
| (Former name, former address and former fiscal year, if changed since last report) | ||||
| i |
| 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. | |||||
| S 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 during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files.) | |||||
| S 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. | |||||
| £ Large accelerated filer | £ Accelerated filer | ||||
| £ Non-accelerated filer | S Smaller Reporting Company | ||||
| Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Act). | |||||
| £ Yes | S No | ||||
| ii |
Explanatory Note
The sole purpose of this Amendment No. 1 to the Quarterly Report on Form 10-Q for the period ended September 30, 2011 (the "Form 10-Q") of Aspen Diversified Fund LLC ("Aspen"), as filed with the Securities and Exchange Commission on November 13, 2011, is to furnish Exhibit 101 to the Form 10-Q in accordance with Rule 405 of Regulation S-T. Exhibit 101 provides the financial statements and related notes from the Form 10-Q formatted in XBRL (eXtensible Business Reporting Language). Exhibit 101 was not furnished with the Form 10-Q due to a validation issue and no other changes have been made to the Form 10-Q.
This Amendment No. 1 to the Form 10-Q does not reflect events that may have occurred subsequent to the original filing date of the Form 10-Q and does not modify or update in any way disclosures made in the Form 10-Q as originally filed.
Pursuant to Rule 406T of Regulation S-T, the interactive data files in Exhibit 101 hereto are deemed not filed or part of a registration statement or prospectus for purposes of Sections 11 or 12 of the Securities Act of 1933, as amended, are deemed not filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, and otherwise are not subject to liability under those sections.
| iii |
Exhibits.
| 31.1 | Certification of the Managing Partner of the Fund’s Managing Member pursuant to Rule 13A-14(a) and Rule 15D-14(a), of the Securities Exchange Act, as amended. |
| 31.2 | Certification of the Chief Financial Officer of the Fund’s Managing Member pursuant to Rule 13A-14(a) and Rule 15D-14(a), of the Securities Exchange Act, as amended. |
| 32.1 | Certification of the Managing Partner of the Fund’s Managing Member pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. |
| 32.2 | Certification of the Chief Financial Officer of the Fund’s Managing Member pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. |
| 101 | The following financial information for Aspen Diversified Fund LLC formatted in XBRL (eXtensible Business Reporting Language): (i) Consolidated Balance Sheets, (ii) Consolidated Statements of Operations, (iii) Consolidated Statements of Stockholders' Equity and Comprehensive Loss (Income), (iv) Consolidated Statements of Cash Flows and (v) the Notes to Consolidated Financial Statements. |
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.
| Dated: March 21, 2012 | |
| Aspen Diversified Fund LLC | |
| By: Aspen Partners, Ltd., Managing Member | |
| /s/ Kenneth E. Banwart | |
| Kenneth E. Banwart | |
| Managing Partner | |
| /s/ Deborah Terry | |
| Deborah Terry | |
| Chief Financial Officer |
| 1 |