Document:

ex10-02.htm

 

CONFIDENTIAL TREATMENT REQUESTED.  Confidential portions of this document have been redacted and have been separately filed with the Commission.

 

 EXHIBIT 10.02

 

Amendment to Advisory Agreement

 

This Amendment (the "Amendment") is made as of April 1, 2015 (the “Effective Date”) among OASIS PGR LLC, a Delaware limited liability company (the “Trading Company”), R.J. O’Brien Fund Management, LLC, a Delaware limited liability company (the “Managing Member”), and PGR Capital LLP, a limited liability partnership under the laws of England and Wales (the “Trading Advisor”), parties to that certain Advisory Agreement dated October 9, 2013 (the "Agreement").

 

The Trading Company, the Managing Member, and the Trading Advisor now desire to amend the terms of the Agreement as set forth below:

 

1.           Subsection (a)(i) of Section 5, “Fees” is hereby amended and restated in its entirety and shall hereafter read as follows:

 

“The Trading Company shall cause the Series to pay the Trading Advisor a monthly management fee equal to 1/12 of *% (a *% annual rate) of the Assets allocated to it (as defined in Section 2(a) hereof) as of the last day of each month (the “Management Fee”).  The Management Fee is payable in arrears within twenty Business Days of the end of the month for which it was calculated.  For purposes of this Agreement, “Business Day” shall mean any day which the securities markets are open in the United States.”

 

2.           Subsection (a)(ii) of Section 5, “Fees”, is hereby amended and restated in its entirety and shall hereafter be read as follows:

 

“The Trading Company shall cause the Series to pay the Trading Advisor an incentive fee equal to *% of the New Trading Profit (as defined in Section 5(d) hereof) (the “Incentive Fee”).  The incentive is based upon the New Trading profits of such Series, which accrue monthly but are generally payable at the end of each calendar quarter.  New trading profits are typically calculated using a “high water mark” of cumulative trading profits. Each Series will establish a separate account with respect to each Member’s capital account for such Series.  Incentive fees (and the corresponding high water mark) will be calculated based upon the performance of each such account.  The Incentive Fee is payable within 20 Business Days of the end of the calendar quarter for which it is calculated.”

 

3.           Exhibit C – Futures Markets Traded is hereby amended and restated in its entirety as attached to this Amendment.

 

4.           Except as provided in this Amendment, all terms used in this Amendment that are not otherwise defined shall have the respective meanings ascribed to such terms in the Agreement.

 

5.           Except as set forth in this Amendment, the Agreement is unaffected and shall continue in full force and effect in accordance with its terms. If there is conflict between this Amendment and the Agreement, the terms and provisions of this amendment will prevail.

 

***SIGNATURE PAGE FOLLOWS***

 

 

* Confidential material redacted and filed separately with the Commission.

 

  

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CONFIDENTIAL TREATMENT REQUESTED.  Confidential portions of this document have been redacted and have been separately filed with the Commission.

 

IN WITNESS WHEREOF, the parties have executed and delivered this Amendment effective as of the Effective Date.

 

	
OASIS PGR, LLC

by R.J. O’Brien Fund Management, LLC

Managing Member

 

	
By                                                                       

Name: Julie DeMatteo

Title: Managing Director

	  
	
R.J. O’Brien Fund Management, LLC

 

	
By                                                                       

Name: Julie DeMatteo

Title: Managing Director

PGR Capital LLP

 

By                                                                        

 

Name: Casey Grills

Title: Partner

 

  

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CONFIDENTIAL TREATMENT REQUESTED.  Confidential portions of this document have been redacted and have been separately filed with the Commission.

 

EXHIBIT C – FUTURES MARKETS TRADED

 

Total Trade-able Universe: 64 futures markets

 

	
Sector

	
Future

	
Exchange

	
Agriculture

	
Cocoa

	
LIFFE

	
Agriculture

	
Cocoa

	
NYBOT

	
Agriculture

	
Coffee, 'C'

	
NYBOT

	
Agriculture

	
Corn

	
CBOT

	
Agriculture

	
Cotton, No. 2

	
NYBOT

	
Agriculture

	
Lean Hogs

	
CME

	
Agriculture

	
Live Cattle

	
CME

	
Agriculture

	
Robusta Coffee

	
LIFFE

	
Agriculture

	
Soybean

	
CBOT

	
Agriculture

	
Soybean Meal

	
CBOT

	
Agriculture

	
Soybean Oil

	
CBOT

	
Agriculture

	
Sugar, No. 11

	
NYBOT

	
Agriculture

	
Wheat

	
CBOT

	
Bonds

	
Australian Gov't Bond, 10Yr

	
SFE

	
Bonds

	
Canadian Gov't Bond, 10Yr

	
MFE

	
Bonds

	
Euro Bobl

	
EUREX

	
Bonds

	
Euro Bund

	
EUREX

	
Bonds

	
Euro Buxl

	
EUREX

	
Bonds

	
Japan Gov't Bond, 10 Yr

	
TSE

	
Bonds

	
Long Gilt

	
LIFFE

	
Bonds

	
Mini JGBs

	
SGX

	
Bonds

	
US Treasury Long Bond

	
CBOT

 

  

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CONFIDENTIAL TREATMENT REQUESTED.  Confidential portions of this document have been redacted and have been separately filed with the Commission.

 

	
Bonds

	
US Treasury Note, 10Yr

	
CBOT

	
Bonds

	
US Treasury Note, 5Yr

	
CBOT

	
Currencies

	
AUD

	
CME

	
Currencies

	
CAD

	
CME

	
Currencies

	
CHF

	
CME

	
Currencies

	
EUR

	
CME

	
Currencies

	
GBP

	
CME

	
Currencies

	
JPY

	
CME

	
Currencies

	
MXN

	
CME

	
Currencies

	
NZD

	
CME

	
Energies

	
Crude Oil, Brent

	
ICE

	
Energies

	
Crude Oil, WTI

	
NYMEX

	
Energies

	
Gasoil

	
ICE

	
Energies

	
Gasoline, RBOB

	
NYMEX

	
Energies

	
Heating Oil

	
NYMEX

	
Energies

	
Natural Gas

	
NYMEX

	
Equity Index

	
Amsterdam Index

	
EOE

	
Equity Index

	
CAC 40 10 EUR

	
MONEP

	
Equity Index

	
CNX Nifty

	
SGX

	
Equity Index

	
DAX Index

	
EUREX

	
Equity Index

	
DJ Euro STOXX 50

	
EUREX

	
Equity Index

	
DJ Industrial Average mini

	
CBOT

	
Equity Index

	
FTSE 100

	
LIFFE

	
Equity Index

	
FTSE China A50

	
SGX

	
Equity Index

	
Hang Seng

	
HKFE

 

  

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CONFIDENTIAL TREATMENT REQUESTED.  Confidential portions of this document have been redacted and have been separately filed with the Commission.

 

	
Equity Index

	
H-shares

	
HKFE

	
Equity Index

	
MSCI Singapore

	
SGX

	
Equity Index

	
MSCI Taiwan

	
SGX

	
Equity Index

	
Nasdaq 100 E-mini

	
CME

	
Equity Index

	
Nikkei 225

	
OSE

	
Equity Index

	
Nikkei 225

	
SGX

	
Equity Index

	
Russell 2000 Mini

	
CME

	
Equity Index

	
S&P Toronto 60

	
MFE

	
Equity Index

	
SnP 500 E-mini

	
CME

	
Equity Index

	
SnP ASX 200

	
SFE

	
Equity Index

	
Swiss Market Index

	
EUREX

	
Equity Index

	
TOPIX

	
TSE

	
Interest Rates

	
Australian Bank Bill

	
SFE

	
Interest Rates

	
Australian Gov't Bond, 3Yr

	
SFE

	
Interest Rates

	
Canadian Bank Bill

	
MFE

	
Interest Rates

	
Euribor, 3Mo

	
LIFFE

	
Interest Rates

	
Euro Schatz

	
EUREX

	
Interest Rates

	
Eurodollar, 3Mo

	
CME

	
Interest Rates

	
Sterling, 90 Day

	
LIFFE

	
Interest Rates

	
US Treasury Note, 2Yr

	
CBOT

	
Metals

	
Copper

	
COMEX

	
Metals

	
Gold, 100 oz

	
COMEX

	
Metals

	
Platinum

	
NYMEX

	
Metals

	
Silver

	
COMEX

 

  

5ex10-03.htm

 

CONFIDENTIAL TREATMENT REQUESTED.  Confidential portions of this document have been redacted and have been separately filed with the Commission.

 

 EXHIBIT 10.03

Amendment to Advisory Agreement

 

This Amendment (the "Amendment") is made as of April 1, 2015 (the “Effective Date”) among OASIS RCM, LLC, a Delaware limited liability company (the “Trading Company”), R.J. O’Brien Fund Management, LLC, a Delaware limited liability company (the “Managing Member”), and Revolution Capital Management LLC, Colorado limited liability company (the “Trading Advisor”), parties to that certain Advisory Agreement dated October 9, 2013 (the "Agreement").

 

The Trading Company, the Managing Member, and the Trading Advisor now desire to amend the terms of the Agreement as set forth below:

 

1.             Subsection (a)(i) of Section 5 is hereby amended and restated in its entirety and shall hereafter read as follows:

 

“The Trading Company shall cause the Series to pay the Trading Advisor a monthly management fee equal to 1/12 of *% (a *% annual rate) of the Assets allocated to it (as defined in Section 2(a) hereof) as of the last day of each month (the “Management Fee”).  The Management Fee is payable in arrears within 20 Business Days of the end of the month for which it was calculated.  For purposes of this Agreement, “Business Day” shall mean any day which the securities markets are open in the United States.”

 

2.             Subsection (a)(ii) of Section 5, “Fees”, is hereby amended and restated in its entirety and shall hereafter be read as follows:

 

“The Trading Company shall cause the Series to pay the Trading Advisor an incentive fee equal to *% of the New Trading Profit (as defined in Section 5(d) hereof) (the “Incentive Fee”).  The incentive is based upon the New Trading profits of such Series, which accrue monthly but are generally payable at the end of each calendar quarter.  New trading profits are typically calculated using a “high water mark” of cumulative trading profits. Each Series will establish a separate account with respect to each Member’s capital account for such Series.  Incentive fees (and the corresponding high water mark) will be calculated based upon the performance of each such account.  The Incentive Fee is payable within 20 Business Days of the end of the calendar quarter for which it is calculated.”

 

3.             Except as provided in this Amendment, all terms used in this Amendment that are not otherwise defined shall have the respective meanings ascribed to such terms in the Agreement.

 

4.             Except as set forth in this Amendment, the Agreement is unaffected and shall continue in full force and effect in accordance with its terms. If there is conflict between this amendment and the Agreement, the terms and provisions of this Amendment will prevail.

 

***SIGNATURE PAGE FOLLOWS***

 

 

* Confidential material redacted and filed separately with the Commission.

 

  

1

  

 

CONFIDENTIAL TREATMENT REQUESTED.  Confidential portions of this document have been redacted and have been separately filed with the Commission.

 

IN WITNESS WHEREOF, the parties have executed and delivered this Amendment effective as of the Effective Date.

 

	
OASIS RCM, LLC

by R.J. O’Brien Fund Management, LLC

Managing Member

 

	
By                                                                      

Name: Julie DeMatteo

Title: Managing Director

	  
	
R.J. O’Brien Fund Management, LLC

 

	
By                                                                       

Name: Julie DeMatteo

Title: Managing Director

Revolution Capital Management, LLC

 

By                                                                       

 

Name: Michael Mundt

Title: Managing Member

 

  

2

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