80 FR 37329 - In the Matter of Accres Holding, Inc., FirstBank Financial Services, Inc., MicroSmart Devices, Inc., Polymedix, Inc., RegenoCELL Therapeutics, Inc., and The Sagemark Companies Ltd.; Order of Suspension of Trading
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 80, Issue 125 (June 30, 2015)
Federal Register Volume 80, Issue 125 (June 30, 2015)
| Page Range | 37329-37330 | |
| FR Document | 2015-16147 |
[Federal Register Volume 80, Number 125 (Tuesday, June 30, 2015)] [Notices] [Pages 37329-37330] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2015-16147] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION [File No. 500-1] In the Matter of Accres Holding, Inc., FirstBank Financial Services, Inc., MicroSmart Devices, Inc., Polymedix, Inc., RegenoCELL Therapeutics, Inc., and The Sagemark Companies Ltd.; Order of Suspension of Trading June 26, 2015. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Accres Holding, Inc. (CIK No. 1158201) (``ACCE'' \1\), a void Delaware corporation with its principal place of business in Shelton, Connecticut, with stock quoted on OTC Link (previously, ``Pink Sheets'') operated by OTC Markets Group Inc. (``OTC Link'') because it has not filed any periodic reports since the period ended September 30, 2010. On June 27, 2013, the Division of Corporation Finance (``Corporation Finance'') sent a delinquency letter to ACCE requesting compliance with its periodic reporting obligations at the address shown in its then-most recent filing with the Commission, but ACCE did not receive the delinquency letter due to its failure to maintain a valid address on file with the Commission as required by Commission rules (Rule 301 of Regulation S-T, 17 CFR 232.301 and Section 5.4 of the EDGAR Filer Manual). --------------------------------------------------------------------------- \1\ The short form of each issuer's name is also its ticker symbol. --------------------------------------------------------------------------- It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of FirstBank Financial Services, Inc. (CIK No. 1316410) (``FBFS''), a non- compliant Georgia corporation with its principal place of business in McDonough, Georgia, with stock quoted on OTC Link, because it has not filed any periodic reports since the period ended June 30, 2008. On November 22, 2011, Corporation Finance sent a delinquency letter to FBFS requesting compliance with its periodic reporting obligations at the address shown in its then-most recent filing with the Commission, but FBFS did not receive the delinquency letter due to its failure to maintain a valid address on file with the Commission as required by Commission rules (Rule 301 of Regulation S-T, 17 CFR 232.301 and Section 5.4 of the EDGAR Filer Manual). It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of MicroSmart Devices, Inc. (CIK No. 1339225) (``MCMV''), a Nevada corporation with its principal place of business in Litchfield, Connecticut, with stock quoted on OTC Link, because it has not filed any periodic reports since the period ended September 30, 2012. On June 6, 2014, Corporation Finance sent a delinquency letter to MCMV requesting compliance with its periodic reporting obligations at the address shown in its then-most recent filing with the Commission, but MCMV did not receive the delinquency letter due to its failure to maintain a valid address on file with the Commission as required by Commission rules (Rule 301 of Regulation S-T, 17 CFR 232.301 and Section 5.4 of the EDGAR Filer Manual). It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Polymedix, Inc. (CIK No. 1341843) (``PYMXQ''), a void Delaware corporation with its principal place of business in Radnor, Pennsylvania, with stock quoted on OTC Link, because it has not filed any periodic reports since the period ended September 30, 2012. On May 7, 2015, Corporation Finance sent a delinquency letter to PYMXQ requesting compliance with its periodic reporting obligations at the address shown in its then-most recent filing with the Commission, but PYMXQ did not receive the delinquency letter due to its failure to maintain a valid address on file with the Commission as required by Commission rules (Rule 301 of Regulation S-T, 17 CFR 232.301 and Section 5.4 of the EDGAR Filer Manual). It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of RegenoCELL Therapeutics, Inc. (CIK No. 1221749) (``RCLL''), a Florida corporation with its principal place of business in Natick, Massachusetts, with stock quoted on OTC Link because it has not filed any periodic reports since the period ended December 31, 2011. On September 16, 2014, Corporation Finance sent a delinquency letter to RCLL requesting compliance with its periodic reporting obligations at the address shown in its then-most recent filing with the Commission, but RCLL did not receive the delinquency letter due to its failure to maintain a valid address on file with the Commission as required by Commission rules (Rule 301 of Regulation S-T, 17 CFR 232.301 and Section 5.4 of the EDGAR Filer Manual). It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of The [[Page 37330]] Sagemark Companies Ltd. (CIK No. 89041) (``SKCO''), a New York corporation with its principal place of business in New York, New York, with stock quoted on OTC Link because it has not filed any periodic reports since the period ended September 30, 2012. On September 16, 2014, Corporation Finance sent a delinquency letter to SKCO requesting compliance with its periodic reporting obligations at the address shown in its then-most recent filing with the Commission, but SKCO did not receive the delinquency letter due to its failure to maintain a valid address on file with the Commission as required by Commission rules (Rule 301 of Regulation S-T, 17 CFR 232.301 and Section 5.4 of the EDGAR Filer Manual). The Commission is of the opinion that the public interest and the protection of investors require a suspension of trading in the securities of the above-listed companies. Therefore, it is ordered, pursuant to Section 12(k) of the Securities Exchange Act of 1934, that trading in the securities of the above-listed companies is suspended for the period from 9:30 a.m. EDT on June 26, 2015, through 11:59 p.m. EDT on July 10, 2015. By the Commission. Jill M. Peterson, Assistant Secretary. [FR Doc. 2015-16147 Filed 6-26-15; 4:15 pm] BILLING CODE 8011-01-P
![Federal Register / Vol. 80, No. 125 / Tuesday, June 30, 2015 / Notices 37329
All submissions should refer to File SECURITIES AND EXCHANGE Devices, Inc. (CIK No. 1339225)
Number SR–Phlx–2015–029. This file COMMISSION (‘‘MCMV’’), a Nevada corporation with
number should be included on the its principal place of business in
[File No. 500–1]
subject line if email is used. To help the Litchfield, Connecticut, with stock
Commission process and review your In the Matter of Accres Holding, Inc., quoted on OTC Link, because it has not
comments more efficiently, please use FirstBank Financial Services, Inc., filed any periodic reports since the
only one method. The Commission will MicroSmart Devices, Inc., Polymedix, period ended September 30, 2012. On
post all comments on the Commission’s Inc., RegenoCELL Therapeutics, Inc., June 6, 2014, Corporation Finance sent
Internet Web site (http://www.sec.gov/ and The Sagemark Companies Ltd.; a delinquency letter to MCMV
Order of Suspension of Trading requesting compliance with its periodic
rules/sro.shtml). Copies of the
reporting obligations at the address
submission, all subsequent June 26, 2015. shown in its then-most recent filing
amendments, all written statements It appears to the Securities and with the Commission, but MCMV did
with respect to the proposed rule Exchange Commission that there is a not receive the delinquency letter due to
change that are filed with the lack of current and accurate information its failure to maintain a valid address on
Commission, and all written concerning the securities of Accres file with the Commission as required by
communications relating to the Holding, Inc. (CIK No. 1158201) Commission rules (Rule 301 of
proposed rule change between the (‘‘ACCE’’ 1), a void Delaware corporation Regulation S–T, 17 CFR 232.301 and
Commission and any person, other than with its principal place of business in Section 5.4 of the EDGAR Filer Manual).
those that may be withheld from the Shelton, Connecticut, with stock quoted It appears to the Securities and
public in accordance with the on OTC Link (previously, ‘‘Pink Exchange Commission that there is a
provisions of 5 U.S.C. 552, will be Sheets’’) operated by OTC Markets lack of current and accurate information
available for Web site viewing and Group Inc. (‘‘OTC Link’’) because it has concerning the securities of Polymedix,
printing in the Commission’s Public not filed any periodic reports since the Inc. (CIK No. 1341843) (‘‘PYMXQ’’), a
Reference Room, 100 F Street NE., period ended September 30, 2010. On void Delaware corporation with its
Washington, DC 20549, on official June 27, 2013, the Division of principal place of business in Radnor,
business days between the hours of Corporation Finance (‘‘Corporation Pennsylvania, with stock quoted on
10:00 a.m. and 3:00 p.m. Copies of the Finance’’) sent a delinquency letter to OTC Link, because it has not filed any
filing also will be available for ACCE requesting compliance with its periodic reports since the period ended
periodic reporting obligations at the September 30, 2012. On May 7, 2015,
inspection and copying at the principal
address shown in its then-most recent Corporation Finance sent a delinquency
office of the Exchange. All comments letter to PYMXQ requesting compliance
filing with the Commission, but ACCE
received will be posted without change; did not receive the delinquency letter with its periodic reporting obligations at
the Commission does not edit personal due to its failure to maintain a valid the address shown in its then-most
identifying information from address on file with the Commission as recent filing with the Commission, but
submissions. You should submit only required by Commission rules (Rule 301 PYMXQ did not receive the delinquency
information that you wish to make of Regulation S–T, 17 CFR 232.301 and letter due to its failure to maintain a
available publicly. All submissions Section 5.4 of the EDGAR Filer Manual). valid address on file with the
should refer to File Number SR–Phlx– It appears to the Securities and Commission as required by Commission
2015–029 and should be submitted on Exchange Commission that there is a rules (Rule 301 of Regulation S–T, 17
or before July 21, 2015. lack of current and accurate information CFR 232.301 and Section 5.4 of the
concerning the securities of FirstBank EDGAR Filer Manual).
V. Conclusion Financial Services, Inc. (CIK No. It appears to the Securities and
It is therefore ordered, pursuant to 1316410) (‘‘FBFS’’), a non-compliant Exchange Commission that there is a
Georgia corporation with its principal lack of current and accurate information
section 19(b)(2) of the Act,29 that the
place of business in McDonough, concerning the securities of
proposed rule change (SR–Phlx–2015–
Georgia, with stock quoted on OTC RegenoCELL Therapeutics, Inc. (CIK No.
29) be, and it hereby is, approved on an 1221749) (‘‘RCLL’’), a Florida
Link, because it has not filed any
accelerated basis, as amended. corporation with its principal place of
periodic reports since the period ended
For the Commission, by the Division of June 30, 2008. On November 22, 2011, business in Natick, Massachusetts, with
Trading and Markets, pursuant to delegated Corporation Finance sent a delinquency stock quoted on OTC Link because it
authority.30 letter to FBFS requesting compliance has not filed any periodic reports since
Robert W. Errett, with its periodic reporting obligations at the period ended December 31, 2011.
Deputy Secretary. the address shown in its then-most On September 16, 2014, Corporation
recent filing with the Commission, but Finance sent a delinquency letter to
[FR Doc. 2015–15974 Filed 6–29–15; 8:45 am]
FBFS did not receive the delinquency RCLL requesting compliance with its
BILLING CODE 8011–01–P
letter due to its failure to maintain a periodic reporting obligations at the
valid address on file with the address shown in its then-most recent
Commission as required by Commission filing with the Commission, but RCLL
rules (Rule 301 of Regulation S–T, 17 did not receive the delinquency letter
due to its failure to maintain a valid
asabaliauskas on DSK5VPTVN1PROD with NOTICES
CFR 232.301 and Section 5.4 of the
EDGAR Filer Manual). address on file with the Commission as
It appears to the Securities and required by Commission rules (Rule 301
Exchange Commission that there is a of Regulation S–T, 17 CFR 232.301 and
lack of current and accurate information Section 5.4 of the EDGAR Filer Manual).
concerning the securities of MicroSmart It appears to the Securities and
Exchange Commission that there is a
29 15 U.S.C. 78s(b)(2). 1 The short form of each issuer’s name is also its lack of current and accurate information
30 17 CFR 200.30–3(a)(12). ticker symbol. concerning the securities of The
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![37330 Federal Register / Vol. 80, No. 125 / Tuesday, June 30, 2015 / Notices
Sagemark Companies Ltd. (CIK No. be issued unless the Commission orders management investment company or
89041) (‘‘SKCO’’), a New York a hearing. Interested persons may series thereof that: (a) is advised by
corporation with its principal place of request a hearing by writing to the Context Capital, Context II or any
business in New York, New York, with Commission’s Secretary and serving investment adviser controlling,
stock quoted on OTC Link because it applicants with a copy of the request, controlled by, or under common control
has not filed any periodic reports since personally or by mail. Hearing requests with Context Capital or Context II (any
the period ended September 30, 2012. should be received by the Commission such adviser, Context Capital or Context
On September 16, 2014, Corporation by 5:30 p.m. on July 20, 2015 and II, an ‘‘Adviser’’ and collectively, the
Finance sent a delinquency letter to should be accompanied by proof of ‘‘Advisers’’); 1 (b) is in the same group
SKCO requesting compliance with its service on applicants, in the form of an of investment companies as defined in
periodic reporting obligations at the affidavit or, for lawyers, a certificate of section 12(d)(1)(G) of the Act as the
address shown in its then-most recent service. Hearing requests should state Trust; (c) invests in other registered
filing with the Commission, but SKCO the nature of the writer’s interest, the open-end management investment
did not receive the delinquency letter reason for the request, and the issues companies (‘‘Underlying Funds’’) in
due to its failure to maintain a valid contested. Persons who wish to be reliance on section 12(d)(1)(G) of the
address on file with the Commission as notified of a hearing may request Act; and (d) also is eligible to invest in
required by Commission rules (Rule 301 notification by writing to the securities (as defined in section 2(a)(36)
of Regulation S–T, 17 CFR 232.301 and Commission’s Secretary. of the Act) in reliance on rule 12d1–2
Section 5.4 of the EDGAR Filer Manual). ADDRESSES: Secretary, Securities and under the Act (each a ‘‘Fund of Funds’’),
The Commission is of the opinion that Exchange Commission, 100 F Street, also to invest, to the extent consistent
the public interest and the protection of NE., Washington, DC 20549–1090; with its investment objectives, policies,
investors require a suspension of trading Applicants: Context Capital Funds, strategies and limitations, in financial
in the securities of the above-listed Three Canal Plaza, Suite 600, Portland, instruments that may not be securities
companies. Therefore, it is ordered, Maine 04101; Context Capital Advisers, within the meaning of section 2(a)(36) of
pursuant to Section 12(k) of the LLC and Context Advisers II, L.P., 401 the Act (‘‘Other Investments’’).2
Securities Exchange Act of 1934, that City Avenue, Suite 815, Bala Cynwyd, 3. Consistent with each Adviser’s
trading in the securities of the above- PA 19004. respective fiduciary obligations under
listed companies is suspended for the FOR FURTHER INFORMATION CONTACT: the Act, each Fund of Funds’ board of
period from 9:30 a.m. EDT on June 26, Vanessa M. Meeks, Senior Counsel, or trustees will review the advisory fees
2015, through 11:59 p.m. EDT on July Melissa R. Harke, Branch Chief, at (202) charged by the applicable Fund of
10, 2015. 551–6825 (Division of Investment Funds’ Adviser to ensure that they are
By the Commission. Management, Chief Counsel’s Office). based on services provided that are in
Jill M. Peterson, SUPPLEMENTARY INFORMATION: The addition to, rather than duplicative of,
Assistant Secretary. following is a summary of the services provided pursuant to the
[FR Doc. 2015–16147 Filed 6–26–15; 4:15 pm] application. The complete application advisory agreement of any investment
BILLING CODE 8011–01–P may be obtained via the Commission’s company in which the Fund of Funds
Web site by searching for the file may invest.
number, or for an applicant using the Applicants’ Legal Analysis
SECURITIES AND EXCHANGE Company name box, at http://
COMMISSION www.sec.gov/search/search.htm or by 1. Section 12(d)(1)(A) of the Act
calling (202) 551–8090. provides that no registered investment
[Investment Company Act Release No.
company (‘‘acquiring company’’) may
31689; 812–14392] Applicants’ Representations acquire securities of another investment
Context Capital Advisers, LLC, et al.; 1. The Trust is organized under company (‘‘acquired company’’) if such
Notice of Application Delaware law as a statutory trust and is securities represent more than 3% of the
registered under the Act as an open-end acquired company’s outstanding voting
June 24, 2015. management investment company. The stock or more than 5% of the acquiring
AGENCY: Securities and Exchange Trust is a series trust which currently company’s total assets, or if such
Commission (‘‘Commission’’). consists of two series. Context Capital is securities, together with the securities of
ACTION: Notice of an application under a limited liability corporation organized other investment companies, represent
section 6(c) of the Investment Company under the laws of Delaware and is more than 10% of the acquiring
Act of 1940 (‘‘Act’’) for an exemption registered as an investment adviser company’s total assets. Section
from rule 12d1–2(a) under the Act. under the Investment Advisers Act of 12(d)(1)(B) of the Act provides that no
1940 (the ‘‘Advisers Act’’). Context registered open-end investment
SUMMARY: Applicants request an order to Capital currently serves as the company may sell its securities to
permit open-end management investment adviser to the Context another investment company if the sale
investment companies relying on rule Alternative Strategies Fund, a series of will cause the acquiring company to
12d1–2 under the Act to invest in the Trust. Context II is a limited own more than 3% of the acquired
certain financial instruments. partnership organized under the laws of company’s voting stock, or cause more
APPLICANTS: Context Capital Funds (the Delaware and is registered as an than 10% of the acquired company’s
asabaliauskas on DSK5VPTVN1PROD with NOTICES
‘‘Trust’’), Context Capital Advisers, LLC investment adviser under the Advisers voting stock to be owned by investment
(‘‘Context Capital’’) and Context Act. Context II currently serves as the
Advisers II, L.P. (‘‘Context II’’). investment adviser to the Context Macro 1 Each Adviser will be registered as an investment
DATES: Filing Date: The application was Opportunities Fund. adviser under the Advisers Act.
filed on November 26, 2014, and 2. Applicants request an exemption to 2 Every existing entity that currently intends to
amended on April 13, 2015. rely on the requested order is named as an
the extent necessary to permit any applicant. Any entity that relies on the order in the
HEARING OR NOTIFICATION OF HEARING: existing or future series of the Trust and future will do so only in accordance with the terms
An order granting the application will any other registered open-end and condition in the application.
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Document Created: 2018-02-22 11:17:11
Document Modified: 2018-02-22 11:17:11
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
| Publisher | Office of the Federal Register, National Archives and Records Administration | |
| Section | Notices | |
| FR Citation | 80 FR 37329 |
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