All Securities Law, Franchise Law, and Take-Over Law Filings for 6/10/2018 through 6/16/2018

Transcription

1 Securities Law Registration Filings Made with DFI s Securities BLACKSTONE REAL ESTATE INCOME TR INC Number of Registration Filings: 1 NEW YORK, NY 6/14/ Pending Securities Law Exemption Filings Made with DFI s Securities SANDALS CHURCH RIVERSIDE, CA 6/14/ Not Disallowed Number of Exemption Filings: 1 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities FUNDVANTAGE TR PACIFIC CAPITAL US GOVERNMENT MONEY MARKET FUND INSTITUTIONAL CLASS WILMINGTON, DE 6/15/ Registered PNC FUNDS PNC EMERGING MARKETS EQUITY FUND CLASS I 1ST TR COMBINED SERIES 577 TX EX MUNICIPAL INCOME TR SERIES 302 FT 7368 CORPORATE INVESTMENT GRADE LADDERED PORTFOLIO SERIES 5 FT 7384 SABRIENT BAKER'S DOZEN PORTFOLIO JUNE 2018 SERIES FT 7386 MARKET STRENGTH ALLOCATION OPPORTUNITY PORTFOLIO SERIES 5 BALTIMORE, MD 6/15/ Registered WHEATON, IL 6/14/ Pending-Cleared WHEATON, IL 6/14/ Registered WHEATON, IL 6/14/ Registered WHEATON, IL 6/14/ Pending-Cleared Page 1 of 10

2 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities FT 7406 INTERNATIONAL CAPITAL STRENGTH OPPORTUNITY PORTFOLIO SERIES 5 WHEATON, IL 6/14/ Registered FT 7406 SMID CAPITAL STRENGTH OPPORTUNITY PORTFOLIO SERIES 5 FT 7407 PREFERRED INCOME PORTFOLIO SERIES 95 FT 7409 INTERNATIONAL HIGH DIVIDEND EQUITY PORTFOLIO SERIES 34 FT 7410 MEGA CAP PORTFOLIO SERIES 49 FT 7426 HIGH YIELD INCOME CLOSED END PORTFOLIO SERIES 82 FT 7433 ALTERNATIVE INCOME PORTFOLIO SERIES 28 FT 7434 EQUITY CLOSED END PORTFOLIO SERIES 49 FT 7435 TAX ADVANTAGED MUNICIPAL CLOSED END PORTFOLIO SERIES 54 FT 7437 LOW VOLATILITY PORTFOLIO SERIES 12 FT 7479 TACTICAL INCOME PORTFOLIO SERIES 53 FT 7482 SENIOR LOAN & LTD DURATION CLOSED END PORTFOLIO SERIES 82 WHEATON, IL 6/14/ Registered WHEATON, IL 6/14/ Registered WHEATON, IL 6/14/ Pending-Cleared WHEATON, IL 6/14/ Pending-Cleared WHEATON, IL 6/14/ Pending-Cleared WHEATON, IL 6/14/ Registered WHEATON, IL 6/14/ Registered WHEATON, IL 6/14/ Registered WHEATON, IL 6/14/ Pending-Cleared WHEATON, IL 6/14/ Registered WHEATON, IL 6/14/ Registered INVESCO UNIT TR MUNICIPAL SERIES 1317 QUALITY MUNICIPAL INCOME TR YEAR SERIES 98 6/14/ Pending-Cleared Page 2 of 10

3 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities INVESCO UNIT TR SERIES 1889 DIVIDEND INCOME & VALUE PORTFOLIO All Securities Law, Franchise Law, and Take-Over Law Filings 6/14/ Pending-Cleared INVESCO UNIT TR SERIES 1890 INVESCO UNIT TR SERIES 1891 BUYBACK LEADERS PORTFOLIO /14/ Pending-Cleared 6/14/ Pending-Cleared INVESCO UNIT TR SERIES 1892 INVESCO UNIT TR TAXABLE INCOME SERIES 610 HIGH YIELD CORPORATE TR 4 7 YEAR SERIES 15 6/14/ Pending-Cleared 6/14/ Pending-Cleared UBS SERIES FUNDS UBS ULTRA SHORT INCOME FUND CLASS A UBS SERIES FUNDS UBS ULTRA SHORT INCOME FUND CLASS I UBS SERIES FUNDS UBS ULTRA SHORT INCOME FUND CLASS P 1870 BUILDING AMERICA OPPORTUNITIES PORTFOLIO SERIES BAHL & GAYNOR SMIG SMALL MID CAP INCOME GROWTH PORTFOLIO SERIES Q 1871 COHEN & STEERS PREFERRED INCOME OPPORTUNITIES PORTFOLIO SERIES Q 1871 DIVIDEND INCOME VALUE STRATEGY PORTFOLIO SERIES Q NEW YORK, NY 6/14/ Registered NEW YORK, NY 6/14/ Registered NEW YORK, NY 6/14/ Registered MONUMENT, CO 6/13/ Registered MONUMENT, CO 6/13/ Registered MONUMENT, CO 6/13/ Registered MONUMENT, CO 6/13/ Registered Page 3 of 10

4 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities 1871 EMERGING MARKETS DIVIDEND PORTFOLIO SERIES Q MONUMENT, CO 6/13/ Registered 1871 HIGH 50 DIVIDEND STRATEGY PORTFOLIO SERIES Q 1871 PERONI GROWTH PORTFOLIO SUMMER 2018 SERIES 1871 REIT PORTFOLIO SERIES Q A HARTFORD INVESTMENT MANAGEMENT CO "HIMCO" PORTFOLIO 1871 UTILITIES PORTFOLIO SERIES Q HARTFORD INVESTMENT MANAGEMENT CO "HIMCO" PORTFOLIO FT 7396 DIVIDEND GROWTH PORTFOLIO SERIES 22 FT 7397 REIT GROWTH & INCOME SELECT PORTFOLIO SERIES 46 FT 7398 S&P DIVIDEND ARISTOCRATS BUY WRITE PORTFOLIO SERIES FT 7401 FINANCIALS OPPORTUNITY PORTFOLIO SERIES 2 FT 7402 TACTICAL ALPHA PORTFOLIO SERIES 17 FT 7404 BALANCED INCOME SELECT PORTFOLIO SERIES 76 MONUMENT, CO 6/13/ Registered MONUMENT, CO 6/13/ Registered MONUMENT, CO 6/13/ Registered MONUMENT, CO 6/13/ Registered WHEATON, IL 6/13/ Registered WHEATON, IL 6/13/ Registered WHEATON, IL 6/13/ Registered WHEATON, IL 6/13/ Registered WHEATON, IL 6/13/ Registered WHEATON, IL 6/13/ Pending-Cleared Page 4 of 10

5 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities FT 7417 CONTENT LEADERS OPPORTUNITY PORTFOLIO SERIES 8 WHEATON, IL 6/13/ Registered FT 7432 ENERGY OPPORTUNITY PORTFOLIO SERIES 2 GUGGENHEIM DEFINED PORTFOLIOS SERIES 1771 DOW JONES VALUE DIVIDEND FOCUS PORTFOLIO SERIES 33 GUGGENHEIM DEFINED PORTFOLIOS SERIES 1771 GLOBAL 100 DIVIDEND STRATEGY PORTFOLIO SERIES 15 GUGGENHEIM DEFINED PORTFOLIOS SERIES 1771 GUGGENHEIM DISCOUNT OPPORTUNITY STRATEGY PORTFOLIO OF CEFS SERIES 14 GUGGENHEIM DEFINED PORTFOLIOS SERIES 1772 BDC SCORECARD PORTFOLIO SERIES 12 GUGGENHEIM DEFINED PORTFOLIOS SERIES 1772 EUROPEAN HIGH DIVIDEND PORTFOLIO SERIES 12 GLOBAL FIXED INCOME OPPORTUNITIES FUND CLASS IR EMERGING MARKETS PORTFOLIO CLASS IR GLOBAL CONCENTRATED REAL ESTATE PORTFOLIO CLASS C WHEATON, IL 6/13/ Registered CHICAGO, IL 6/13/ Registered CHICAGO, IL 6/13/ Registered CHICAGO, IL 6/13/ Registered CHICAGO, IL 6/13/ Registered CHICAGO, IL 6/13/ Registered NEW YORK, NY 6/13/ Registered NEW YORK, NY 6/13/ Registered NEW YORK, NY 6/13/ Registered Page 5 of 10

6 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities GLOBAL CONCENTRATED REAL ESTATE PORTFOLIO CLASS IS GLOBAL CONCENTRATED REAL ESTATE PORTFOLIO CLASS I GLOBAL CONCENTRATED REAL ESTATE PORTFOLIO CLASS A All Securities Law, Franchise Law, and Take-Over Law Filings GLOBAL INFRASTRUCTURE PORTFOLIO CLASS IR NEW YORK, NY 6/13/ Registered NEW YORK, NY 6/13/ Registered NEW YORK, NY 6/13/ Registered NEW YORK, NY 6/13/ Registered GLOBAL OPPORTUNITY PORTFOLIO CLASS IR GLOBAL REAL ESTATE PORTFOLIO CLASS IR GROWTH PORTFOLIO CLASS IR INTERNATIONAL OPPORTUNITY PORTFOLIO CLASS IR INTERNATIONAL ADVANTAGE PORTFOLIO CLASS IS REAL ASSETS PORTFOLIO CLASS C NEW YORK, NY 6/13/ Registered NEW YORK, NY 6/13/ Registered NEW YORK, NY 6/13/ Registered NEW YORK, NY 6/13/ Registered NEW YORK, NY 6/13/ Registered NEW YORK, NY 6/13/ Registered Page 6 of 10

7 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities REAL ASSETS PORTFOLIO CLASS I All Securities Law, Franchise Law, and Take-Over Law Filings NEW YORK, NY 6/13/ Registered REAL ASSETS PORTFOLIO CLASS IS REAL ASSETS PORTFOLIO CLASS A US REAL ESTATE PORTFOLIO CLASS IR INSTITUTIONAL FUND TR CORE PLUS FIXED INCOME PORTFOLIO CLASS IS INSTITUTIONAL FUND TR HIGH YIELD PORTFOLIO CLASS IR MORTGAGE SECURITIES TR CLASS IS PIONEER SERIES TR VI PIONEER FLEXIBLE OPPORTUNITIES FUND CLASS K SHARES NEW YORK, NY 6/13/ Registered NEW YORK, NY 6/13/ Registered NEW YORK, NY 6/13/ Registered NEW YORK, NY 6/13/ Registered NEW YORK, NY 6/13/ Registered NEW YORK, NY 6/13/ Registered BOSTON, MA 6/13/ Registered Number of Investment Company Filings: 70 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities CANADA INC TORONTO, ON 6/15/ Filed Page 7 of 10

8 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities 37P SUMMIT LLC RICHMOND, VA 6/15/ Filed ALTAIR RESMARK MF LLC ASPEN 1 LLC All Securities Law, Franchise Law, and Take-Over Law Filings LOS ANGELES, CA KANSAS CITY, MO 6/15/ Filed 6/15/ Filed AV REAL ESTATE FUND LLC GREENVILLE, SC 6/15/ Filed BROKEN SHED DISTILLERIES INC CA RESIDENTIAL PREFERRED EQUITY LLC CF ARROW CANYON MULTIFAMILY DST SOUTHPORT, CT 6/15/ Filed EVANSTON, IL 6/15/ Filed NEW YORK, NY 6/15/ Filed COBBLESTONE SPC MHC FUND 1 LP OAKBROOK TER, IL 6/15/ Filed CODEPOPS INC BOULDER, CO 6/15/ Filed DATUM 1 LP CHICAGO, IL 6/15/ Filed F4 LITTLE ROCK 1 LLC EDMOND, OK 6/15/ Filed HINES REALTY INCOME FUND LLC MIDWEST EXPRESS AIRLINES INC HOUSTON, TX 6/15/ Filed BROOKFIELD, WI 6/15/ Filed QT ULTRASOUND LLC NOVATO, CA 6/15/ Filed QUESTA CAPITAL PARTNERS 1 LP SAN FRANCISCO, CA 6/15/ Filed REALTYSHARES 370 LLC LEWES, DE 6/15/ Filed SB DAILY GRIND 1ST MORTGAGE INVESTORS LP SANTA BARBARA, CA 6/15/ Filed TEI DIVERSIFIED INCOME & OPPORTUNITY FUND 4 LLC NEW YORK, NY 6/15/ Filed Page 8 of 10

9 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities CHORAL FINANCIAL FUND LP ALEXANDRIA, VA 6/11/ Filed Number of Regulation D Notice Filings: 20 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date STEAMATIC INC La Madeleine Franchising Company, Inc. / La Madeleine French Bakery & Café PizzaRev Franchising, LLC / PizzaRev World of Beer Franchising, Inc. / World of Beer Buff City Soap Franchising, LLC / Buff City Soap MELTING POT RESTAURANTS INC / The Melting Pot SH Town Square Franchising, Inc. and George G. Glenner Alzheimer's Family Centers, Inc. / SH Town Square Mason's Lobster Franchising, LLC / Mason's Famous Lobster Rolls Beyond Franchise Group, LLC / Pokeworks Krispy Kreme Doughnut Corporation / Krispy Kreme Amada Franchise, Inc. / Amada Senior Care OrthoNOW, LLC / OrthoNOW Center Single Unit OrthoNOW, LLC / OrthoNOW Center Area Developer All American Steakhouse International Griswold International, LLC / Griswold Home Care (Full Employment Model) LaVida Massage Franchise Development, Inc. FORT WORTH, TX 6/15/ Registered Dallas, TX 6/14/ Registered Westlake Village, CA 6/14/ Registered Tampa, FL 6/14/ Registered Bartlett, TN 6/14/ Registered TAMPA, FL 6/14/ Registered Towson, MD 6/14/ Registered Annapolis, MD 6/14/ Registered Irvine, CA 6/14/ Registered Winston-Salem, NC 6/13/ Registered San Clemente, CA 6/13/ Registered Doral, FL 6/13/ Registered Doral, FL 6/13/ Registered Edgewater, MD 6/13/ Registered Plymouth Meeting, PA 6/12/ Registered Brighton, MI 6/12/ Registered Page 9 of 10

10 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date MONKEY JOES FRANCHISING INC / Monkey Joe's Designed Cookies, Inc. / Cookies By Design Number of Franchise Filings: 18 ATLANTA, GA 6/11/ Registered Plano, TX 6/11/ Registered Corporate Take-Over Law Filings Made with DFI s Securities Takeover Filing Reference Number of Takeover Filings: 0 Date Page 10 of 10