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): October 31, 2016
EQUINOX FRONTIER FUNDS
EQUINOX FRONTIER DIVERSIFIED FUND
EQUINOX FRONTIER LONG/SHORT COMMODITY FUND
EQUINOX FRONTIER MASTERS FUND
EQUINOX FRONTIER BALANCED FUND
EQUINOX FRONTIER HERITAGE FUND
EQUINOX FRONTIER SELECT FUND
EQUINOX FRONTIER WINTON 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 2010
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 5.02. | Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers |
On October 31, 2016, Equinox Frontier Funds (the “Registrant”) announced the resignation of Vance J. Sanders as the Treasurer and Principal Financial Officer of the Registrant, positions he has held since December 2010.
Effective as of the close of business on October 31, 2016, Robert J. Enck will serve as the Treasurer and Principal Financial Officer of the Registrant, in addition to those other positions he currently holds with the Registrant. Mr. Enck is currently the President and Chief Executive Officer of Equinox Fund Management, LLC (the “managing owner”), and serves as chairman of the management committee of the managing owner, and the Executive Committee of the Registrant. Mr. Enck has been listed as a principal of the managing owner since July 2007 and as an associated person and swap associated person of the managing owner since July 2014. Mr. Enck has also been listed as a principal, associated person and swap associated person of Equinox Institutional Asset Management, LP since July 2015, October 2015 and October 2015, respectively. Mr. Enck joined the managing owner on March 1, 2007, with more than 20 years of extensive management experience with large, highly regulated health care organizations such as Bristol-Myers Squibb and Quintiles as well as with more entrepreneurial venture capital funded organizations. Mr. Enck holds a B.S. degree in Natural Sciences from St. John’s University, Collegeville, MN and an MBA in Management from the University of St. Thomas, St. Paul, MN. Mr. Enck currently holds SEC/FINRA Series 7, 24 and 63 registrations.
There are no family relationships between Mr. Enck and any director or executive officer of the Registrant, and he has no direct or indirect material interest in any transaction required to be disclosed pursuant to Item 404(a) of Regulation S-K. There was no change in Mr. Enck’s existing compensation package in connection with his appointment as the Treasurer and Principal Financial Officer of the Registrant.
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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 | |||||
| Robert J. Enck | ||||||
| Date: October 31, 2016 | 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 Diversified Fund, a Series of Equinox Frontier Funds (Registrant) | ||||||
| By: | /s/ Robert J. Enck | |||||
| Robert J. Enck | ||||||
| Date: October 31, 2016 | 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 Long/Short Commodity Fund, a Series of Equinox Frontier Funds (Registrant) | ||||||
| By: | /s/ Robert J. Enck | |||||
| Robert J. Enck | ||||||
| Date: October 31, 2016 | 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 Masters Fund, a Series of Equinox Frontier Funds (Registrant) | ||||||
| By: | /s/ Robert J. Enck | |||||
| Robert J. Enck | ||||||
| Date: October 31, 2016 | 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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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) | ||||||
| By: | /s/ Robert J. Enck | |||||
| Robert J. Enck | ||||||
| Date: October 31, 2016 | 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) | ||||||
| By: | /s/ Robert J. Enck | |||||
| Robert J. Enck | ||||||
| Date: October 31, 2016 | 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 Select Fund, a Series of Equinox Frontier Funds (Registrant) | ||||||
| By: | /s/ Robert J. Enck | |||||
| Robert J. Enck | ||||||
| Date: October 31, 2016 | 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 Winton Fund, a Series of Equinox Frontier Funds (Registrant) | ||||||
| By: | /s/ Robert J. Enck | |||||
| Robert J. Enck | ||||||
| Date: October 31, 2016 | 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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