8-K 1 a15-9233_18k.htm 8-K

 

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)

 

 

 

Delaware

 

0-51085

 

20-1227650

(State or other jurisdiction
of incorporation)

 

(Commission File Number)

 

(IRS Employer
Identification No.)

 

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):

 

o

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

 

o

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

 

o

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

 

o

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”).

 

CLASS A

 

Subscription

 

CLASS C

 

Subscription

 

 

 

Amount

 

Units

 

 

 

Amount

 

Units

 

 

 

 

 

 

 

 

 

 

 

 

 

April 15, 2015

 

  $

80,930

 

43,163

 

April 15, 2015

 

  $

1,247,974

 

733,110

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

CLASS D

 

Subscription

 

CLASS I

 

Subscription

 

 

 

Amount

 

Units

 

 

 

Amount

 

Units

 

 

 

 

 

 

 

 

 

 

 

 

 

April 15, 2015

 

  $

-   

 

-   

 

April 15, 2015

 

  $

102,000

 

52,316

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

CLASS DS

 

Subscription

 

CLASS DT

 

Subscription

 

 

 

Amount

 

Units

 

 

 

Amount

 

Units

 

 

 

 

 

 

 

 

 

 

 

 

 

April 15, 2015

 

  $

-   

 

-   

 

April 15, 2015

 

  $

-   

 

-   

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

CLASS M

 

Subscription

 

 

 

 

 

 

 

Amount

 

Units

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

April 15, 2015

 

  $

323,000

 

272,275

 

 

 

 

 

 

 

 

 

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.

 

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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.

 

 

ASPECT FUTURESACCESS LLC

 

 

 

By: Merrill Lynch Alternative Investments LLC, its
Sponsor

 

 

 

 

 

 

 

By:

 /s/ BARBRA E. KOCSIS

 

 

 Name: Barbra E. Kocsis

 

 

 Position: Chief Financial Officer

 

 

 

Date:  April 20, 2015

 

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