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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 5/26/15 Global Macro Trust 10-K/A 12/31/14 57:10M Toppan Merrill/FA |
Document/Exhibit Description Pages Size
1: 10-K/A Amendment to Annual Report HTML 54K
2: EX-13.01 Annual or Quarterly Report to Security Holders HTML 303K
3: EX-31.01 Certification -- §302 - SOA'02 HTML 23K
4: EX-31.02 Certification -- §302 - SOA'02 HTML 23K
5: EX-31.03 Certification -- §302 - SOA'02 HTML 23K
6: EX-32.01 Certification -- §906 - SOA'02 HTML 19K
7: EX-32.02 Certification -- §906 - SOA'02 HTML 19K
8: EX-32.03 Certification -- §906 - SOA'02 HTML 19K
38: R1 Document And Entity Information HTML 47K
29: R2 Statements Of Financial Condition HTML 114K
36: R3 Statements Of Financial Condition (Parenthetical) HTML 42K
40: R4 Condensed Schedule Of Investments (Futures And HTML 117K
Forward Currency Contracts)
52: R5 Condensed Schedule Of Investments (Futures And HTML 37K
Forward Currency Contracts) (Parenthetical)
30: R6 Condensed Schedule Of Investments (U.S. Treasury HTML 67K
Notes)
35: R7 Condensed Schedule Of Investments (U.S. Treasury HTML 51K
Notes) (Parenthetical)
26: R8 Statements Of Operations HTML 100K
20: R9 Statements Of Changes In Trust Capital HTML 117K
53: R10 Statements Of Financial Highlights HTML 145K
42: R11 Organization HTML 29K
41: R12 Summary Of Significant Accounting Policies HTML 204K
46: R13 Trust Agreement HTML 83K
47: R14 Due From/To Brokers HTML 23K
45: R15 Trading Activities HTML 23K
48: R16 Derivative Instruments HTML 680K
37: R17 Financial Highlights HTML 44K
39: R18 Subsequent Events HTML 22K
44: R19 Summary Of Significant Accounting Policies HTML 66K
(Policy)
57: R20 Summary Of Significant Accounting Policies HTML 182K
(Tables)
50: R21 Trust Agreement (Tables) HTML 71K
32: R22 Derivative Instruments (Tables) HTML 651K
43: R23 Financial Highlights (Tables) HTML 42K
34: R24 Organization (Details) HTML 31K
18: R25 Summary Of Significant Accounting Policies HTML 22K
(Narrative) (Details)
51: R26 Summary Of Significant Accounting Policies HTML 115K
(Schedule Of Financial Assets And Liabilities At
Fair Value) (Details)
54: R27 Trust Agreement (Narrative) (Details) HTML 38K
23: R28 Trust Agreement (Schedule Of Brokerage Rates Based HTML 40K
On Net Capital Investment Levels Or Investments In
Asset-based Fee Or Fixed Fee Investment Programs)
(Details)
22: R29 Trust Agreement (Schedule Of Brokerage And HTML 26K
Custodial Fees) (Details)
24: R30 Trust Agreement (Schedule Of Redemption Charges HTML 48K
Based On Redeemed Units' Net Asset Value)
(Details)
25: R31 Derivative Instruments (Narrative) (Details) HTML 27K
28: R32 Derivative Instruments (Schedule Of Net Unrealized HTML 94K
Appreciation (Depreciation) On Futures And Forward
Currency Contracts By Settlement Currency Type)
(Details)
17: R33 Derivative Instruments (Fair Value Of Futures And HTML 144K
Forward Currency Contracts) (Details)
49: R34 Derivative Instruments (Schedule Of Trading Gains HTML 55K
(Losses) Of Futures And Forward Currency
Contracts) (Details)
31: R35 Derivative Instruments (Schedule Of Average HTML 79K
Notional Value By Sector Of Futures And Forward
Currency Contracts) (Details)
33: R36 Derivative Instruments (Offsetting Derivative HTML 104K
Assets) (Details)
19: R37 Derivative Instruments (Offsetting Derivative HTML 58K
Liabilities) (Details)
56: R38 Financial Highlights (Schedule Of Weighted Average HTML 39K
Number Of Units For Each Series) (Details)
15: R39 Subsequent Events (Details) HTML 24K
55: XML IDEA XML File -- Filing Summary XML 81K
16: EXCEL IDEA Workbook of Financial Reports XLSX 140K
21: EXCEL IDEA Workbook of Financial Reports (.xls) XLS 2.23M
9: EX-101.INS XBRL Instance -- millgmt-20141231 XML 3.23M
11: EX-101.CAL XBRL Calculations -- millgmt-20141231_cal XML 92K
12: EX-101.DEF XBRL Definitions -- millgmt-20141231_def XML 465K
13: EX-101.LAB XBRL Labels -- millgmt-20141231_lab XML 727K
14: EX-101.PRE XBRL Presentations -- millgmt-20141231_pre XML 619K
10: EX-101.SCH XBRL Schema -- millgmt-20141231 XSD 172K
27: ZIP XBRL Zipped Folder -- 0001144204-15-033371-xbrl Zip 141K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 10-K/A
(Amendment No. 1)
x ANNUAL REPORT PURSUANT TO SECTION
13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
For the Fiscal Year Ended December 31, 2014
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 000-50102
GLOBAL MACRO TRUST
(Exact name of registrant as specified in its charter)
| DELAWARE | 36-7362830 | |
| (State or other jurisdiction of incorporation or organization) |
(IRS Employer Identification Number) |
| c/o MILLBURN RIDGEFIELD CORPORATION | ||
| 411 West Putnam Avenue | ||
| Greenwich, Connecticut 06830 | Not applicable |
|
(Address of principal executive offices) |
(Zip Code) |
Registrant’s telephone number, including area code: (203) 625-7554
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 whether the registrant has submitted electronically and posted on its corporate Website, 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 þ No o
Indicate by check mark if the disclosure document of delinquent filers pursuant to Item 405 of Regulation S-K (§229.405 of this chapter) 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.
| Large accelerated filer o | Accelerated filer o |
| Non-accelerated filer þ (do not check if a smaller reporting company) | Smaller reporting company o |
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).
Yes o No þ
State the aggregate market value of the voting and non-voting common equity held by non-affiliates computed by reference to the price at which the common equity was last sold, or the average bid and asked price of such common equity, as of the last business day of the registrant’s most recently completed second fiscal quarter.
Not applicable.
C:
| C: 1 |
EXPLANATORY NOTE
This Form 10-K/A (Amendment No. 1) (“Form 10-K/A”) is being filed by Global Macro Trust (the “Trust”) to amend the Trust’s disclosure in Item 8, Financial Statements and Supplementary Data (including Exhibit 13.01) to the Form 10-K for the year ended December 31, 2014 that was originally filed with the Securities and Exchange Commission on March 30, 2015 (the “Original Form 10-K”). These financial statements in the Original Form 10-K inadvertently omitted the audit report of Deloitte & Touche LLP, the Trust’s independent registered public accounting firm.
Except as required to reflect the item described above, no attempt has been made in this Form 10-K/A to modify or update disclosures in the Original Form 10-K. This Form 10-K/A does not reflect events occurring after the filing of the Original Form 10-K or modify or update any related disclosures. Information not affected by the amendment is unchanged and reflects the disclosure made at the time of the filing of the Original Form 10-K with the Securities and Exchange Commission on March 30, 2015. Accordingly, this Form 10-K/A should be read in conjunction with the Original Form 10-K and the Trust’s filings made with the Securities and Exchange Commission subsequent to the filing of the Original Form 10-K.
C:
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| Item 8. | Financial Statements and Supplementary Data |
Financial statements required by this item, including the report of Deloitte & Touche LLP for the fiscal years ended December 31, 2014, 2013 and 2012, are included as Exhibit 13.01 to this report.
The following summarized quarterly financial information presents the results of operations for the three month periods ended March 31, June 30, September 30 and December 31, 2014 and 2013. This information has not been audited.
| Fourth Quarter | Third Quarter | Second Quarter | First Quarter | |||||||||||||
| 2014 | 2014 | 2014 | 2014 | |||||||||||||
| Interest Income: | $ | 64,642 | $ | 71,375 | $ | 73,713 | $ | 79,602 | ||||||||
| Net Realized and Unrealized Gains (Losses): | 10,179,726 | 8,288,857 | 23,673,308 | 6,523,962 | ||||||||||||
| Expenses*: | 3,934,361 | 4,186,441 | 4,397,532 | 4,656,137 | ||||||||||||
| Net Gain (Loss): | 6,310,007 | 4,173,791 | 19,349,489 | 1,947,427 | ||||||||||||
| Increase (Decrease) in Net Asset Value per Series 1 Unit | 25.48 | 15.44 | 71.85 | 5.84 | ||||||||||||
| Increase (Decrease) in Net Asset Value per Series 2 Unit | 35.74 | 31.75 | 98.11 | 18.75 | ||||||||||||
| Increase (Decrease) in Net Asset Value per Series 3 Unit | 36.85 | 32.88 | 99.85 | 19.65 | ||||||||||||
| Increase (Decrease) in Net Asset Value per Series 4 Unit | 56.59 | 42.62 | 114.49 | 27.26 | ||||||||||||
| Fourth Quarter | Third Quarter | Second Quarter | First Quarter | |||||||||||||
| 2013 | 2013 | 2013 | 2013 | |||||||||||||
| Interest Income: | $ | 106,224 | $ | 135,346 | $ | 191,115 | $ | 208,311 | ||||||||
| Net Realized and Unrealized Gains (Losses): | 8,520,944 | (1,702,140 | ) | (35,983,541 | ) | 14,920,545 | ||||||||||
| Expenses*: | 5,408,251 | 5,994,410 | 7,065,270 | 7,832,427 | ||||||||||||
| Net Loss: | 3,218,917 | (7,561,204 | ) | (42,857,696 | ) | 7,296,429 | ||||||||||
| Increase (Decrease) in Net Asset Value per Series 1 Unit | 6.09 | (21.60 | ) | (107.52 | ) | 14.93 | ||||||||||
| Increase (Decrease) in Net Asset Value per Series 2 Unit | 18.79 | (13.28 | ) | (110.64 | ) | 29.78 | ||||||||||
| Increase (Decrease) in Net Asset Value per Series 3 Unit | 19.64 | (12.69 | ) | (110.74 | ) | 30.75 | ||||||||||
| Increase (Decrease) in Net Asset Value per Series 4 Unit | 27.02 | (7.58 | ) | (111.19 | ) | 38.85 | ||||||||||
* Expenses are inclusive of accruals and reversals of accruals of profit share to the Managing Owner.
There were no extraordinary, unusual or infrequently occurring items recognized in any quarter within the two most recent fiscal years, and the Trust has not disposed of any segments of its business. There have been no year-end adjustments that are material to the results of any fiscal quarter reported above.
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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 the 26th day of May, 2015.
| GLOBAL MACRO TRUST | |||
| By: | Millburn Ridgefield Corporation, | ||
| Managing Owner | |||
| By: | /s/ Harvey Beker | ||
| Harvey Beker | |||
| Co-Chief Executive Officer | |||
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 Managing Owner of the Registrant and in the capacities and on the date indicated.
| Title with | ||||
| Signature | General Partner | Date | ||
| /s/ Harvey Beker | Co-Chief Executive | May 26, 2015 | ||
| Harvey Beker | Officer and Director | |||
| (Principal Executive Officer) | ||||
| /s/ George E. Crapple | Co-Chief Executive | May 26, 2015 | ||
| George E. Crapple | Officer and Director | |||
| (Principal Executive Officer) | ||||
| /s/ Gregg Buckbinder | Chief Financial and Operating Officer | May 26, 2015 | ||
| Gregg Buckbinder | (Principal Financial Officer) | |||
| /s/ Michael W. Carter | Vice President | May 26, 2015 | ||
| Michael W. Carter | (Principal Accounting Officer) |
(Being the principal executive officers, the principal financial officer and principal accounting officer, and a majority of the directors of Millburn Ridgefield Corporation)
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The following exhibits are included herewith
| Designation | Description | |
| 13.01 | 2014 Annual Report to Security Holders | |
| 31.01 | Rule 13a-14(a)/15d-14(a) Certification of Principal Executive Officer | |
| 31.02 | Rule 13a-14(a)/15d-14(a) Certification of Principal Executive Officer | |
| 31.03 | Rule 13a-14(a)/15d-14(a) Certification of Principal Financial Officer | |
| 32.01 | Section 1350 Certification of Principal Executive Officer | |
| 32.02 | Section 1350 Certification of Principal Executive Officer | |
| 32.03 | Section 1350 Certification of Principal Financial Officer |
| 101.INS | XBRL Instance Document | |
| 101.SCH | XBRL Taxonomy Extension Schema Document | |
| 101.CAL | XBRL Taxonomy Extension Calculation Linkbase Document | |
| 101.DEF | XBRL Taxonomy Extension Definition Linkbase Document | |
| 101.LAB | XBRL Taxonomy Extension Label Linkbase Document | |
| 101.PRE | XBRL Taxonomy Extension Presentation Linkbase Document |
C:
| 5 |
| This ‘10-K/A’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on: | 5/26/15 | |||
| 3/30/15 | 10-K | |||
| For Period end: | 12/31/14 | 10-K, 5 | ||
| 12/31/13 | 10-K | |||
| 12/31/12 | 10-K | |||
| List all Filings | ||||