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): April 15, 2015
ASPECT FUTURESACCESS LLC
(Exact name of registrant as specified in its charter)
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Delaware |
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0-51085 |
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20-1227650 |
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(State or other jurisdiction |
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(Commission File Number) |
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(IRS Employer |
c/o Merrill Lynch Alternative Investments LLC
250 Vesey Street, 11th Floor
New York, NY 10080
(Address of principal executive offices)
(Zip Code)
Registrant’s telephone number, including area code: (609) 274-5838
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 (see General Instruction A.2. below):
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Item 3.02. Unregistered Sales of Equity Securities.
Units are privately offered and sold to “accredited investors” (as defined in Rule 501(a) under the Securities Act) in reliance on the exemption from registration provided by Section 4(2) of the Securities Act and Rule 506 thereunder. The selling agent of the Units was Merrill Lynch Pierce Fenner & Smith Incorporated (“MLPF&S”).
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CLASS A |
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Subscription |
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CLASS C |
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Subscription |
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Amount |
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Units |
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Amount |
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Units |
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April 15, 2015 |
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$ |
80,930 |
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43,163 |
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April 15, 2015 |
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$ |
1,247,974 |
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733,110 |
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CLASS D |
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Subscription |
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CLASS I |
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Subscription |
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Amount |
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Units |
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Amount |
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Units |
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April 15, 2015 |
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$ |
- |
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- |
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April 15, 2015 |
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$ |
102,000 |
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52,316 |
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CLASS DS |
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Subscription |
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CLASS DT |
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Subscription |
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Amount |
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Units |
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Amount |
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Units |
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April 15, 2015 |
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$ |
- |
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- |
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April 15, 2015 |
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$ |
- |
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- |
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CLASS M |
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Subscription |
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Amount |
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Units |
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April 15, 2015 |
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$ |
323,000 |
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272,275 |
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Class A Units are subject to a sales commission paid to MLPF&S ranging from 1.0% to 2.5% of an investor’s gross subscription amount. Class D and Class I Units are subject to upfront sales commissions paid to MLPF&S up to 2.5% of an investor’s gross subscription amount. The rate assessed to a given subscription is based upon the subscription amount. Sales commissions are directly deducted from subscription amounts. Class C, Class DS, Class DT and Class M Units are not subject to any sales commissions.
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.
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ASPECT FUTURESACCESS LLC | |
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By: Merrill Lynch Alternative Investments LLC, its | |
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By: |
/s/ BARBRA E. KOCSIS |
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Name: Barbra E. Kocsis |
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Position: Chief Financial Officer |
Date: April 20, 2015