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):  February13, 2015

 

ML WINTON FUTURESACCESS LLC
(Exact name of registrant as specified in its charter)

 

 

 

Delaware

 

0-51084

 

20-1227904

(State or other jurisdiction
of incorporation)

 

(Commission File Number)

 

(IRS Employer
Identification No.)

 

c/o Merrill Lynch Alternative Investments LLC
250 Vesey Street- 11
th 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):

 

 

¨

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

 

 

 

 

¨

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

 

 

 

 

¨

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

 

 

 

 

 

 

 

 

 

 

 

 

 

 

February 13, 2015

 

  $

19,500  

 

9,799  

 

 

February 13, 2015

 

  $

1,262,328  

 

700,321  

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

CLASS D

 

Subscription

 

 

CLASS I

 

Subscription

 

 

 

Amount

 

Units

 

 

 

 

Amount

 

Units

 

February 13, 2015

 

  $

500,000  

 

234,731  

 

 

February 13, 2015

 

  $

25,000  

 

12,166  

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

CLASS DS

 

Subscription

 

 

CLASS DT

 

Subscription

 

 

 

Amount

 

Units

 

 

 

 

Amount

 

Units

 

February 13, 2015

 

  $

463,567  

 

217,903  

 

 

February 13, 2015

 

  $

81,606  

 

35,822  

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

CLASS M

 

Subscription

 

 

CLASS F

 

Subscription

 

 

 

Amount

 

Units

 

 

 

 

Amount

 

Units

 

February 13, 2015

 

  $

900,000  

 

751,943  

 

 

February 13, 2015

 

  $

-      

 

-      

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

CLASS F1

 

Subscription

 

 

CLASS G

 

Subscription

 

 

 

Amount

 

Units

 

 

 

 

Amount

 

Units

 

February 13, 2015

 

  $

-     

 

-      

 

 

February 13, 2015

 

  $

-      

 

-      

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

CLASS DI

 

Subscription

 

 

 

 

 

 

 

 

 

 

Amount

 

Units

 

 

 

 

 

 

 

 

February 13, 2015

 

  $

102,885,619  

 

102,885,619  

 

 

 

 

 

 

 

 

 

Class A Units are subject to upfront sales commissions paid to MLPF&S ranging from 1.0% to 2.5% of an investor’s gross subscription amount. Class D Units 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. Class F Units and Class G Units are subject to upfront sales commissions paid to MLPF&S up to 0.5% of an investor’s gross subscription amount. Sales commissions are directly deducted from subscription amounts.  Class C Units, Class DS Units, Class DT Units, Class F-1 Units, Class M Units and Class DI Units are not subject to upfront 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.

 

 

ML WINTON FUTURESACCESS LLC

 

 

 

By: Merrill Lynch Alternative Investments LLC, its Sponsor

 

 

 

 

 

 

 

By:

/s/ BARBRA E. KOCSIS

 

 

Name: Barbra E. Kocsis

 

 

Position: Chief Financial Officer

 

 

Date:  February 19, 2015

 

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