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): January 15, 2014
EQUINOX FRONTIER FUNDS
EQUINOX FRONTIER BALANCED 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 1.01. Entry into a Material Definitive Agreement.
Effective February 3, 2014, Systematic Alpha Management, LLC is added to the portfolio of the Equinox Frontier Balanced Fund as a major advisor. The advisory agreement with respect to the arrangement with Systematic Alpha Management, LLC is substantially similar to the Form of Advisory Agreement, included as Exhibit 10.3 to the Registration Statement on Form S-1 filed by The Frontier Fund on February 2, 2010 and incorporated herein by reference.
Item 8.01. Other Events.
Effective January 15, 2014, Tarpon Trading LLC was added to the portfolio of the Equinox Frontier Balanced Fund as a major advisor. The Equinox Frontier Balanced Fund gains exposure to the trading program of Tarpon Trading LLC via a total return swap with Deutsche Bank AG London (the “DB Swap”). The term of the DB Swap is five years.
Item 9.01. Financial Statements and Exhibits.
(d) The following exhibit is incorporated by reference:
| Exhibit |
Description | |
| 10.3* | Form of Advisory Agreement | |
| * | Previously filed as like-numbered exhibit to the initial filing to Registration Statement No. 333-164629 and incorporated by reference herein |
- 2 -
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: February 6, 2014 | By: | /s/ Robert J. Enck | ||||
| Robert J. Enck | ||||||
| President and Chief Executive Officer of Equinox Fund Management, LLC, the Managing Owner | ||||||
- 3 -
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: February 6, 2014 | By: | 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 | ||||||
- 4 -