| SECURITIES AND EXCHANGE COMMISSION |
| WASHINGTON, D.C. 20549 |
FORM 10-K/A Amendment No. 1 |
(Mark One)
| þ | ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the Fiscal Year Ended December 31, 2007
OR
| o | TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the transition period from _________ to ___________
Commission File Number 0-33311 and 2-84126
CAMPBELL ALTERNATIVE ASSET TRUST
(Exact name of Registrant as specified in its charter)
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(State or other jurisdiction of incorporation or organization) | | (IRS Employer Identification Number) |
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210 W. Pennsylvania Avenue Towson, Maryland | | |
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Registrant’s telephone number, including area code: (410) 296-3301
Securities registered pursuant to Section 12 (b) of the Act: None
Securities registered pursuant to Section 12 (g) of the Act:
Units of Beneficial 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 o No þ
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 o No þ
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 þ No o
Indicate by check mark if the disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of the 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. þ
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. (Check one):
Large accelerated filer o | Accelerated filer o | Non-accelerated filer þ | Smaller reporting company o |
| | | (Do not check if a smaller reporting company) |
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Act).
Yes o No þ
The Registrant has no voting stock. As of December 31, 2007 there were 22,629.643 Units of Beneficial Interest issued and outstanding.
EXPLANATORY NOTE REGARDING THIS FORM 10-K/A
Campbell Alternative Asset Trust (the “Trust”) is filing this Amendment No. 1 to its Annual Report on Form 10-K for the fiscal year ended December 31, 2007, originally filed with the Securities and Exchange Commission on March 28, 2008 (the “Original Form 10-K”) to provide revised Exhibits 31.01 and 31.02.
Except as described above, this Amendment No. 1 does not amend any other information set forth in the Original Form 10-K and the Trust has not updated disclosures included therein to reflect any events that occurred subsequent to March 28, 2008.
PART IV
Item 15. Exhibits, Financial Statement Schedules
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| 31.01 | | Certification of Theresa D. Becks, Chief Executive Officer, pursuant to Exchange Act Rules 13a-14 and 15d-14 (filed herewith). |
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| 31.02 | | Certification of Gregory T. Donovan, Chief Financial Officer, pursuant to Exchange Act Rules 13a-14 and 15d-14 (filed herewith). |
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 December 17, 2008.
CAMPBELL ALTERNATIVE ASSET TRUST
| | By: | CAMPBELL & COMPANY, INC. Managing Owner |
Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the Registrant in the capacities indicated on December 17, 2008.
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| D. Keith Campbell | | Chairman of the Board of Directors |
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| Bruce L. Cleland | | Vice Chairman of the Board of Directors |
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| Theresa D. Becks | | Chief Executive Officer |
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| James M. Little | | Executive Vice President and Director |
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| Gregory T. Donovan | | Chief Financial Officer |
EXHIBIT INDEX
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| 31.01 | | Certification by Chief Executive Officer | | E 2 – E3 |
| 31.02 | | Certification by Chief Financial Officer | | E 4 – E5 |
