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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 12/29/20 Frontier Funds 8-K:8 12/21/20 1:29K EdgarAgents LLC/FA Frontier Diversified Fund |
Document/Exhibit Description Pages Size 1: 8-K Current Report HTML 19K
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): December 28, 2020 (December 21, 2020)
Frontier FundS
FRONTIER DIVERSIFIED FUND
(Exact Name of Registrant as Specified in Charter)
| Delaware | 000-51274 | 36-6815533 | ||
| (State or Other Jurisdiction | (Commission File Number) | (IRS Employer | ||
| of Incorporation) | Identification No.) |
c/o Frontier Fund Management, LLC
25568 Genesee Trail Road
(Address of Principal Executive Offices)
(303) 454-5500
(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. |
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Securities registered pursuant to Section 12(b) of the Act:
| Title of each class |
Trading Symbol(s) |
Name of each exchange on which registered | ||
C:
Item 8.01. Other Events.
Effective December 21, 2020, Frontier Fund Management, the managing owner of the Registrant, removed H2O AM LLP (“H2O”) and Crabel Capital Management, LLC (“Crabel”), both major commodity trading advisors for the Frontier Diversified Fund. Both H2O and Crabel were accessed through the Frontier Trading Company XXXV total return swap with Deutsche Bank AG utilizing the DB Select Managed Account platform.
Effective December 21, 2020, Frontier Fund Management, the managing owner of the Registrant terminated the Frontier Trading Company XXXV total return swap.
The current commodity trading advisors, including those advising commodity pools on the Galaxy Plus Managed Account platform and/or reference programs for the Frontier Diversified Fund are:
| ● | Aspect Capital Limited |
| ● | Fort, LP |
| ● | John Locke Investments SA |
| ● | Quantitative Investment Management, LLC |
| ● | Quest Partners, LLC |
| ● | Welton Investment Partners, LLC |
As a result of the removal of H2O and Crabel, the managing owner has made the following allocation adjustments to Frontier Diversified Fund.
As of December 22, 2020, the allocation of the assets of the Frontier Diversified Fund between the trading advisors was as follows (however, the actual allocation among trading advisors for the Frontier Diversified Fund will vary based on the relative trading performance of the trading advisors and/or reference programs, and the managing owner may otherwise vary such percentages from time to time in its sole discretion):
| Advisor | Allocation as of (expressed as a percentage of aggregate notional | |||
| Aspect Capital Limited (accessed via Galaxy Plus Fund – Aspect Feeder Fund (532) LLC) | 26 | % | ||
| FORT, L.P. (accessed via Galaxy Plus Fund – FORT Contrarian Feeder Fund (510) LLC) | 23 | % | ||
| John Locke Investments SA (accessed via Galaxy Plus Fund – JL Cyril Systematic Feeder Fund (547) LLC) | 11 | % | ||
| Quantitative Investment Management, LLC (accessed via Galaxy Plus Fund – QIM Feeder Fund (526) LLC) | 18 | % | ||
| Quest Partners LLC (accessed via Galaxy Plus Fund – Quest Feeder Fund (517) LLC and Galaxy Plus Fund – Quest FIT Feeder Fund (531) LLC)) | 13 | % | ||
| Welton Investment Partners, LLC (accessed via Galaxy Plus Fund – Welton GDP Feeder Fund (538) LLC) | 9 | % | ||
C:
C: 2
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.
| Frontier Funds | ||
| (Registrant) | ||
| Date: December 28, 2020 | By: | /s/ Patrick F. Hart III |
| Patrick F. Hart III | ||
| President and Chief Executive Officer of Frontier Fund Management, LLC, the Managing Owner | ||
C:
3
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.
| Frontier Diversified Fund, | ||
| a Series of Frontier Funds | ||
| (Registrant) | ||
| Date: December 28, 2020 | By: | /s/ Patrick F. Hart III |
| Patrick F. Hart III | ||
| President and Chief Executive Officer of Frontier Fund Management, LLC, the Managing Owner of Frontier Diversified Fund, a Series of Frontier Funds | ||
4
| This ‘8-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed as of: | 12/29/20 | 8-K | ||
| Filed on: | 12/28/20 | 8-K | ||
| 12/22/20 | ||||
| For Period end: | 12/21/20 | 8-K | ||
| List all Filings | ||||