UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
FORM 10-K/A
| x | ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the fiscal year ended December 31, 2016
or
| ¨ | 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 000-51274
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 Its Charter)
| | | |
| Delaware | | 36-6815533 |
(State or Other Jurisdiction of Incorporation or Organization) | | (IRS Employer Identification No.) |
| | |
c/o Equinox Fund Management, LLC 1775 Sherman Street, Suite 2500, Denver, Colorado | | 80203 |
| (Address of Principal Executive Offices) | | (Zip Code) |
Registrant’s Telephone Number, Including Area Code: (303) 837-0600
Securities registered pursuant to Section 12(b) of the Act: None
Securities registered pursuant to Section 12(g) of the Act:
Title of Each Class
Equinox Frontier Diversified Fund Class 1, Class 2 and Class 3 Units;
Equinox Frontier Long/Short Commodity Fund Class 2, Class 3, Class 1a, Class 2a and Class 3a Units;
Equinox Frontier Masters Fund Class 1, Class 2 and Class 3 Units;
Equinox Frontier Balanced Fund Class 1, Class 1AP, Class 2, Class 2a and Class 3a Units;
Equinox Frontier Select Fund Class 1, Class 1AP, and Class 2 Units;
Equinox Frontier Winton Fund Class 1, Class 1AP, and Class 2 Units;
Equinox Frontier Heritage Fund Class 1, Class 1AP, and Class 2 Units
Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes ¨ No x
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 ¨ No x
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 x 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 (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files). Yes x No ¨
Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K (§229.405) is not contained herein, and will not be contained, to the best of 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. x
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 | | ¨ | | Accelerated Filer | | ¨ |
| | | | |
| Non-Accelerated Filer | | x (Do not check if a smaller reporting company) | | Smaller Reporting Company | | ¨ |
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes ¨ No x
The Equinox Frontier Funds’ units of beneficial interest are not traded on any market and, accordingly, do not have an aggregate market value. Units outstanding as of December 31, 2016 were: 438,024 for the Equinox Frontier Diversified Fund, 80,593 for the Equinox Frontier Long/Short Commodity Fund, 142,761 for the Equinox Frontier Masters Fund, 555,520 for the Equinox Frontier Balanced Fund, 122,869 for the Equinox Frontier Select Fund, 185,748 for the Equinox Frontier Winton Fund and 78,770, for the Equinox Frontier Heritage Fund.
Explanatory Note
The sole purpose of this Amendment No. 1 to the Annual Report on Form 10-K for the year ended December 31, 2016 (the "Form 10-K") of Equinox Frontier Funds, as filed with the Securities and Exchange Commission on March 31, 2017, is to furnish Exhibit 101 to the Form 10-K in accordance with Rule 405 of Regulation S-T. Exhibit 101 provides the financial statements and related notes from the Form 10-K formatted in XBRL (eXtensible Business Reporting Language). Exhibit 101 was not furnished with the Form 10-K previously and no other changes have been made to the Form 10-K.
This Amendment No. 1 to the Form 10-K does not reflect events that may have occurred subsequent to the original filing date of the Form 10-K and does not modify or update in any way disclosures made in the Form 10-K 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.
Item 6. Exhibits.
| | | |
| 31.1 | | Certification of Principal Executive Officer of the Managing Owner pursuant to Rules 13a-14(a) and 15d-14(a) of the Securities Exchange Act of 1934. (filed herewith) |
| | |
| 32.1 | | Certification pursuant to 18 U.S.C. Section 1350, as enacted by Section 906 of The Sarbanes-Oxley Act of 2002. (furnished herewith) |
| | |
| 32.2 | | Certification pursuant to 18 U.S.C. Section 1350, as enacted by Section 906 of The Sarbanes-Oxley Act of 2002. (furnished herewith) |
| | |
| 32.3 | | Certification pursuant to 18 U.S.C. Section 1350, as enacted by Section 906 of The Sarbanes-Oxley Act of 2002. (furnished herewith) |
| | |
| 32.4 | | Certification pursuant to 18 U.S.C. Section 1350, as enacted by Section 906 of The Sarbanes-Oxley Act of 2002. (furnished herewith) |
| | |
| 32.5 | | Certification pursuant to 18 U.S.C. Section 1350, as enacted by Section 906 of The Sarbanes-Oxley Act of 2002. (furnished herewith) |
| | |
| 32.6 | | Certification pursuant to 18 U.S.C. Section 1350, as enacted by Section 906 of The Sarbanes-Oxley Act of 2002. (furnished herewith) |
| | |
| 32.7 | | Certification pursuant to 18 U.S.C. Section 1350, as enacted by Section 906 of The Sarbanes-Oxley Act of 2002. (furnished herewith) |
| | |
| 32.8 | | Certification pursuant to 18 U.S.C. Section 1350, as enacted by Section 906 of The Sarbanes-Oxley Act of 2002. (furnished herewith) |
| | |
| 101 | | The following financial information for The Frontier Fund 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. |
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 Funds |
| | (Registrant) |
| | | |
| Date: April 3, 2017 | By: | /s/ Robert J. Enck |
| | | Robert J. Enck |
| | | President and Chief Executive Officer |
| | | of Equinox Fund Management, LLC, |
| | | the Managing Owner of Equinox Frontier Funds |
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 and in the capacities and on the dates indicated.
Equinox Fund Management, LLC
| BY: | /s/ | Robert J. Enck | | April 3, 2017 |
| | | Robert J. Enck, Chairman and Member of the Executive Committee of Equinox Frontier Funds | | |
| | | President and Chief Executive Officer of Equinox Fund Management, LLC, the Managing Owner of Equinox Frontier Funds | | |
| | | | | |
| | /s/ | David P. DeMuth | | April 3, 2017 |
| | | David P. DeMuth, Member of the Executive Committee of Equinox Frontier Funds | | |
| | | | | |
| Frontier Fund Management LLC | | |
| | | | | |
| BY: | /s/ | Patrick Kane | | April 3, 2017 |
| | | Patrick Kane, Member of the Executive Committee of Frontier Fund Management LLC | | |
| | | | | |
| | /s/ | Patrick Hart | | April 3, 2017 |
| | | Patrick Hart, Member of the Executive Committee of Frontier Fund Management LLC | | |
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: April 3, 2017 | By: | /s/ Robert J. Enck |
| | | Robert J. Enck |
| | | President and Chief Executive Officer |
| | | of Equinox Fund Management, LLC, |
| | | the Managing Owner of Equinox Frontier Funds |
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 and in the capacities and on the dates indicated.
Equinox Fund Management, LLC
| BY: | /s/ | Robert J. Enck | | April 3, 2017 |
| | | Robert J. Enck, Chairman and Member of the Executive Committee of Equinox Frontier Funds | | |
| | | President and Chief Executive Officer of Equinox Fund Management, LLC, the Managing Owner of Equinox Frontier Funds | | |
| | | | | |
| | /s/ | David P. DeMuth | | April 3, 2017 |
| | | David P. DeMuth, Member of the Executive Committee of Equinox Frontier Funds | | |
| | | Chief Investment Officer of Equinox Fund Management, LLC the Managing Owner of Equinox Frontier Funds | | |
| | | | | |
| Frontier Fund Management LLC | | |
| | | | | |
| BY: | /s/ | Patrick Kane | | April 3, 2017 |
| | | Patrick Kane, Member of the Executive Committee of Frontier Fund Management LLC | | |
| | | | | |
| | /s/ | Patrick Hart | | April 3, 2017 |
| | | Patrick Hart, Member of the Executive Committee of Frontier Fund Management LLC | | |
SIGNATURES
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 and in the capacities and on the dates indicated.
Equinox Fund Management, LLC
| | Equinox Frontier Heritage Fund, |
| | a Series of Equinox Frontier Funds |
| | (Registrant) |
| | | |
| Date: April 3, 2017 | By: | /s/ Robert J. Enck |
| | | Robert J. Enck |
| | | President and Chief Executive |
| | | Officer |
| | | of Equinox |
| | | Fund Management, LLC, |
| | | the Managing Owner of Equinox |
| | | Frontier Funds |
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 and in the capacities and on the dates indicated.
Equinox Fund Management, LLC
| BY: | /s/ | Robert J. Enck | | April 3, 2017 |
| | | Robert J. Enck, Chairman and Member of the Executive Committee of Equinox Frontier Funds | | |
| | | President and Chief Executive Officer of Equinox Fund Management, LLC, the Managing Owner of Equinox Frontier Funds | | |
| | | | | |
| | /s/ | David P. DeMuth | | April 3, 2017 |
| | | David P. DeMuth, Member of the Executive Committee of Equinox Frontier Funds | | |
| | | | | |
| Frontier Fund Management LLC | | |
| | | | | |
| BY: | /s/ | Patrick Kane | | April 3, 2017 |
| | | Patrick Kane, Member of the Executive Committee of Frontier Fund Management LLC | | |
| | | | | |
| | /s/ | Patrick Hart | | March 31, 2017 |
| | | Patrick Hart, Member of the Executive Committee of Frontier Fund Management LLC | | |
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 Winton Fund, |
| | a Series of Equinox Frontier Funds |
| | (Registrant) |
| | | |
| Date: April 3, 2017 | By: | /s/ Robert J. Enck |
| | | Robert J. Enck |
| | | President and Chief Executive Officer |
| | | of Equinox Fund Management, LLC, |
| | | the Managing Owner of Equinox Frontier Funds |
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 and in the capacities and on the dates indicated.
Equinox Fund Management, LLC
| BY: | /s/ | Robert J. Enck | | April 3, 2017 |
| | | Robert J. Enck, Chairman and Member of the Executive Committee of Equinox Frontier Funds | | |
| | | President and Chief Executive Officer of Equinox Fund Management, LLC, the Managing Owner of Equinox Frontier Funds | | |
| | | | | |
| | /s/ | David P. DeMuth | | April 3, 2017 |
| | | David P. DeMuth, Member of the Executive Committee of Equinox Frontier Funds | | |
| | | | | |
| Frontier Fund Management LLC | | |
| | | | | |
| BY: | /s/ | Patrick Kane | | April 3, 2017 |
| | | Patrick Kane, Member of the Executive Committee of Frontier Fund Management LLC | | |
| | | | | |
| | /s/ | Patrick Hart | | April 3, 2017 |
| | | Patrick Hart, Member of the Executive Committee of Frontier Fund Management LLC | | |
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 Select Fund, |
| | a Series of Equinox Frontier Funds |
| | (Registrant) |
| | | |
| Date: April 3, 2017 | By: | /s/ Robert J. Enck |
| | | Robert J. Enck |
| | | President and Chief Executive Officer |
| | | of Equinox Fund Management, LLC, |
| | | the Managing Owner of Equinox Frontier Funds |
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 and in the capacities and on the dates indicated.
Equinox Fund Management, LLC
| BY: | /s/ | Robert J. Enck | | April 3, 2017 |
| | | Robert J. Enck, Chairman and Member of the Executive Committee of Equinox Frontier Funds | | |
| | | President and Chief Executive Officer of Equinox Fund Management, LLC, the Managing Owner of Equinox Frontier Funds | | |
| | | | | |
| | /s/ | David P. DeMuth | | April 3, 2017 |
| | | David P. DeMuth, Member of the Executive Committee of Equinox Frontier Funds | | |
| | | | | |
| Frontier Fund Management LLC | | |
| | | | | |
| BY: | /s/ | Patrick Kane | | April 3, 2017 |
| | | Patrick Kane, Member of the Executive Committee of Frontier Fund Management LLC | | |
| | | | | |
| | /s/ | Patrick Hart | | April 3, 2017 |
| | | Patrick Hart, Member of the Executive Committee of Frontier Fund Management LLC | | |
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 Long/Short Commodity Fund, |
| | a Series of Equinox Frontier Funds |
| | (Registrant) |
| | | |
| Date: April 3, 2017 | By: | /s/Robert J. Enck |
| | | Robert J. Enck |
| | | President and Chief Executive Officer |
| | | of Equinox Fund Management, LLC, |
| | | the Managing Owner of Equinox Frontier Funds |
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 and in the capacities and on the dates indicated.
Equinox Fund Management, LLC
| BY: | /s/ | Robert J. Enck | | April 3, 2017 |
| | | Robert J. Enck, Chairman and Member of the Executive Committee of Equinox Frontier Funds | | |
| | | President and Chief Executive Officer of Equinox Fund Management, LLC, the Managing Owner of Equinox Frontier Funds | | |
| | | | | |
| | /s/ | David P. DeMuth | | April 3, 2017 |
| | | David P. DeMuth, Member of the Executive Committee of Equinox Frontier Funds | | |
| | | | | |
| Frontier Fund Management LLC | | |
| | | | | |
| BY: | /s/ | Patrick Kane | | April 3, 2017 |
| | | Patrick Kane, Member of the Executive Committee of Frontier Fund Management LLC | | |
| | | | | |
| | /s/ | Patrick Hart | | April 3, 2017 |
| | | Patrick Hart, Member of the Executive Committee of Frontier Fund Management LLC | | |
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 Diversified Fund, |
| | a Series of Equinox Frontier Funds |
| | (Registrant) |
| | | |
| Date: April 3, 2017 | By: | /s/ Robert J. Enck |
| | | Robert J. Enck |
| | | President and Chief Executive Officer of Equinox Fund |
| | | Management, LLC, the Managing Owner |
| | | of Equinox Frontier Funds |
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 and in the capacities and on the dates indicated.
Equinox Fund Management, LLC
| BY: | /s/ | Robert J. Enck | | April 3, 2017 |
| | | Robert J. Enck, Chairman and Member of the Executive Committee of Equinox Frontier Funds | | |
| | | President and Chief Executive Officer of Equinox Fund Management, LLC, the Managing Owner of Equinox Frontier Funds | | |
| | | | | |
| | /s/ | David P. DeMuth | | April 3, 2017 |
| | | David P. DeMuth, Member of the Executive Committee of Equinox Frontier Funds | | |
| | | | | |
| Frontier Fund Management LLC | | |
| | | | | |
| BY: | /s/ | Patrick Kane | | April 3, 2017 |
| | | Patrick Kane, Member of the Executive Committee of Frontier Fund Management LLC | | |
| | | | | |
| | /s/ | Patrick Hart | | April 3, 2017 |
| | | Patrick Hart, Member of the Executive Committee of Frontier Fund Management LLC | | |
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 Masters Fund, |
| | a Series of Equinox Frontier Funds |
| | (Registrant) |
| | | |
| Date: April 3, 2017 | By: | /s/ Robert J. Enck |
| | | Robert J. Enck |
| | | President and Chief Executive Officer of Equinox Fund |
| | | Management, LLC, the Managing Owner |
| | | of Equinox Frontier Funds |
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 and in the capacities and on the dates indicated.
Equinox Fund Management, LLC
| BY: | /s/ | Robert J. Enck | | April 3, 2017 |
| | | Robert J. Enck, Chairman and Member of the Executive Committee of Equinox Frontier Funds | | |
| | | President and Chief Executive Officer of Equinox Fund Management, LLC, the Managing Owner of Equinox Frontier Funds | | |
| | | | | |
| | /s/ | David P. DeMuth | | April 3, 2017 |
| | | David P. DeMuth, Member of the Executive Committee of Equinox Frontier Funds | | |
| | | | | |
| Frontier Fund Management LLC | | |
| | | | | |
| BY: | /s/ | Patrick Kane | | April 3, 2017 |
| | | Patrick Kane, Member of the Executive Committee of Frontier Fund Management LLC | | |
| | | | | |
| | /s/ | Patrick Hart | | April 3, 2017 |
| | | Patrick Hart, Member of the Executive Committee of Frontier Fund Management LLC | | |
