All Securities Law, Franchise Law, and Take-Over Law Filings for 11/25/2018 through 12/1/2018
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1 Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities Number of Exemption Filings: 0 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities Northern Lights Fund Trust III Boyd Watterson Limited Duration Enhanced Income Fund Class I2 Northern Lights Fund Trust III Leland Thomson Reuters Venture Capital Index Fund Class A Fund Class A Fund Class C Fund Class I Fund Class R6 Old Westbury Funds, Inc. Old Westbury California Municipal Bond Fund Old Westbury Funds, Inc. Old Westbury New York Municipal Bond Fund The Alger Funds II Alger Spectra Fund Class Y The Saratoga Advantage Trust James Alpha Structured Credit Value Portfolio Class S Omaha, NE 11/29/ Filed Omaha, NE 11/29/ Filed Chicago, IL 11/29/ Filed Chicago, IL 11/29/ Filed Chicago, IL 11/29/ Filed Chicago, IL 11/29/ Filed King of Prussia, PA King of Prussia, PA 11/29/ Filed 11/29/ Filed New York, NY 11/29/ Filed Goodyear, AZ 11/29/ Filed Page 1 of 5
2 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities The Timothy Plan Growth and Income Fund Class I Two Roads Shared Trust Holbrook Income Fund Class I Invesco Unit Trusts, Municipal Series 1328; Quality Municipal Income Trust, Year Series Invesco Unit Trusts, Municipal Series 1329; Insured Municipals Income Trust, Series 704 Invesco Unit Trusts, Taxable Income Series 614; High Yield Corporate Trust, 4-7 Year Series 17 The UBS Funds UBS Engage For Impact Fund Class P The UBS Funds UBS Sustainable Development Bank Bond Fund Class P City National Rochdale Strategic Credit Fund JPMorgan Trust IV JPMorgan Emerging Markets Research Enhanced Equity Fund Class R6 The Advisors' Inner Circle Fund III Investec Emerging Markets Equity Fund A The Advisors' Inner Circle Fund III Investec Emerging Markets Equity Fund I Transamerica Global Real Estate Securities Class I2 Transamerica Growth Class I2 Transamerica High Yield Muni Class I2 Transamerica Intermediate Muni Class I2 Transamerica Large Cap Value Class I2 Maitland, FL 11/29/ Filed Omaha, NE 11/29/ Filed Downers Grove, IL 11/28/ Filed Downers Grove, IL 11/28/ Pending-Cleared Downers Grove, IL 11/28/ Filed Chicago, IL 11/28/ Filed Chicago, IL 11/28/ Filed New York, NY 11/27/ Filed New York, NY 11/27/ Filed Oaks, PA 11/27/ Filed Oaks, PA 11/27/ Filed Denver, CO 11/27/ Filed Denver, CO 11/27/ Filed Denver, CO 11/27/ Filed Denver, CO 11/27/ Filed Denver, CO 11/27/ Filed Page 2 of 5
3 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities Transamerica Mid Cap Value Opportunities Class I2 Transamerica Small/Mid Cap Value Class I2 Smart Trust 407 (Smart Trust, Preferreds Plus Trust, Series 8) Number of Investment Company Filings: 29 Denver, CO 11/27/ Filed Denver, CO 11/27/ Filed Parsippany, NJ 11/26/ Filed Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities Assured Leads, Inc. Madison, WI 11/30/ Filed AVM Holdings, LLC Eagle, ID 11/30/ Filed Buttonwood Beacon QP Fund LLC Series AB-I New York, NY 11/30/ Filed Cenador Apt Venture, LLC Northridge, CA 11/30/ Filed Centre Lane Partners V, L.P. New York, NY 11/30/ Filed Dollar Senior Loan Onshore Fund II, L.P. New York, NY 11/30/ Filed Emerging Markets Core Fund Warrendale, PA 11/30/ Filed Federated Bank Loan Core Fund Warrendale, PA 11/30/ Filed Federated Project & Trade Finance Core Fund Warrendale, PA 11/30/ Filed Grace Members LLC Waukesha, WI 11/30/ Filed Healthcare Portfolio V DST Oak Brook, IL 11/30/ Filed High Yield Bond Portfolio Warrendale, PA 11/30/ Filed IK Minority Partnership I Fund No. 1 SCSp Magnetar Multi-Strategy Alternative Risk Premia Fund Ltd Next Generation Vehicles Fund, L.P. Leudelange, 11/30/ Filed Grand Cayman, 11/30/ Filed Boston, MA 11/30/ Filed Oaktree Global Credit Fund, L.P. Los Angeles, CA 11/30/ Filed OnRamp Insurance Accelerator Fund I, LLC Madison, WI 11/30/ Filed Pantera Digital Asset Fund LP Menlo Park, CA 11/30/ Filed Parkergale Capital II, LP Chicago, IL 11/30/ Filed Page 3 of 5
4 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities Rock Island Capital Fund III, L.P. Oak Brook, IL 11/30/ Filed SPI Ascent North 460, LLC Dallas, TX 11/30/ Filed Trails at Hunter Pointe Investors, LLC Dallas, TX 11/30/ Filed Vinebrook Homes Trust, Inc. Dallas, TX 11/30/ Filed VividGro, Inc. Chicago, IL 11/30/ Filed Celsee Diagnostics, Inc. Plymouth, MI 11/28/ Filed NHIT: World Credit Asset Trust Boston, MA 11/27/ Filed 1031 Xchange Trust I Fairway, KS 11/26/ Filed AB Energy Opportunity (Delaware) Fund II, L.P. New York, NY 11/26/ Filed Aldine Capital Fund III, L.P. Chicago, IL 11/26/ Filed Arden Real Estate Partners III, L.P. Caffeinated Capital Airtable SPV II, LLC China Car Parks Investment Fund II L.P. Philadelphia, PA 11/26/ Filed San Francisco, CA 11/26/ Filed George Town, 11/26/ Filed Corum Origin Paris, 11/26/ Filed Corum XL Paris, 11/26/ Filed Eximis surgical Inc. Louisville, CO 11/26/ Filed Federated Mortgage Core Portfolio Warrendale, PA 11/26/ Filed Legacy Venture IX, LLC Palo Alto, CA 11/26/ Filed Mendon Global Long/Short Financial QP Fund LP Chicago, IL 11/26/ Filed NHP/PMB L.P. Louisville, KY 11/26/ Filed Realty 379, LLC Lewes, DE 11/26/ Filed Realty 383, LLC Lewes, DE 11/26/ Filed Realty 387, LLC Lewes, DE 11/26/ Filed RK One White Oak DST Long Beach, CA 11/26/ Filed Russ' Century Farm LLC Lebanon, OR 11/26/ Filed Sage Oak ALF of Louisiana, LLC Dallas, TX 11/26/ Filed TPG Asia VII FOF, L.P. Ft Worth, TX 11/26/ Filed Windjammer Senior Equity Fund V, L.P. Newport Beach, CA Number of Regulation D Notice Filings: 47 11/26/ Filed Page 4 of 5
5 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date Airtime International Franchise, LLC / Airtime Trampoline and Game Park Petro Franchise Systems LLC / Petro Stopping Centers ASSIST 2 SELL INC / ASSIST 2 SELL Wingstop Franchising LLC / WING-STOP Amazing Athletes Franchise Systems, LLC Pest Authority LLC / Pest Authority Toro Tax Franchising, LLC / Toro Taxes COMPUTER TROUBLESHOOTERS USA INC / Computer Troubleshooters Number of Franchise Filings: 8 Troy, MI 11/30/ Registered Westlake, OH 11/29/ Registered RENO, NV 11/29/ Registered Dallas, TX 11/29/ Registered Franklin, TN 11/28/ Registered Hickory, NC 11/28/ Registered Las Vegas, NV 11/27/ Registered Independence, OH 11/27/ Registered Page 5 of 5
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