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): April 5, 2016 (March 30, 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 or Organization) |
(Commission File Number) |
(I.R.S. 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.
On March 30, 2016, Equinox Fund Management, LLC (the “Managing Owner”), on its own behalf and on behalf of each series of Equinox Frontier Funds (the “Trust”), entered into a new Administrative Services Agreement with Gemini Hedge Fund Services, LLC (“Gemini”) pursuant to which Gemini will act as an independent, third party administrator to perform certain administrative services including the calculation of net asset value, trade reconciliation, audit support and other financial bookkeeping services.
On March 30, 2016, the Trust entered into a new Fund Services Agreement with Gemini Fund Services, LLC (the “Transfer Agent”) pursuant to which the Transfer Agent will act as an independent, third party transfer agent to perform investor and administration services and related services including, but not limited to, sales processing and commissions, distribution processing, transfer agent services, shareholder telephone support, tax reporting and processing, reinvestment agent servicing and redemption agent servicing.
Item 1.02. Termination of a Material Definitive Agreement.
In connection with the foregoing transactions, the Trust and the Managing Owner have terminated the Administration Agreement dated July 7, 2011 with BNP Paribas Financial Services, LLC and the Transfer Agency Agreement dated December 1, 2011 with Phoenix American Financial Services, LLC.
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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) | ||||||
| By: | /s/ Robert J. Enck | |||||
| Date: April 5, 2016 | 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 Balanced Fund, a Series of Equinox Frontier Funds (Registrant) | ||||||
| Date: April 5, 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: April 5, 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 Winton Fund, a Series of Equinox Frontier Funds (Registrant) | ||||||
| Date: April 5, 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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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: April 5, 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 Long/Short Commodity Fund, a Series of Equinox Frontier Funds (Registrant) | ||||||
| Date: April 5, 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 Diversified Fund, a Series of Equinox Frontier Funds (Registrant) | ||||||
| Date: April 5, 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 Masters Fund, a Series of Equinox Frontier Funds (Registrant) | ||||||
| Date: April 5, 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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