All Securities Law, Franchise Law, and Take-Over Law Filings for 12/9/2018 through 12/15/2018
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1 Securities Law Registration Filings Made with DFI s Securities Bethel Presbyterian Church Marlborough, MA 12/12/ Pending Number of Registration Filings: 1 Securities Law Exemption Filings Made with DFI s Securities Number of Exemption Filings: 0 GAMCO Global Series Funds, Inc. The GAMCO Global Growth Fund Class I Shares Series 1839 (BDC Scorecard Portfolio, Series 14) Series 1839 (European High Dividend Portfolio, Series 14) Series 1840 (Dow Jones Value Dividend Focus Portfolio, Series 35) Series 1840 (Global 100 Dividend Strategy Portfolio, Series 17) American Beacon AHL TargetRisk Fund Institutional Class American Beacon AHL TargetRisk Fund Investor Class American Beacon AHL TargetRisk Fund Y Class Rye, NY 12/14/ Filed Chicago, IL 12/14/ Filed Chicago, IL 12/14/ Filed Chicago, IL 12/14/ Filed Chicago, IL 12/14/ Filed Irving, TX 12/13/ Pending-Cleared Irving, TX 12/13/ Pending-Cleared Irving, TX 12/13/ Pending-Cleared Page 1 of 6
2 American Beacon Continuous Capital Emerging Markets Fund Institutional Class American Beacon Continuous Capital Emerging Markets Fund Investor Class American Beacon Continuous Capital Emerging Markets Fund Y Class FT 7799 (Nasdaq Dividend Achievers 25 Portfolio, Series 14) Irving, TX 12/13/ Filed Irving, TX 12/13/ Filed Irving, TX 12/13/ Filed Wheaton, IL 12/13/ Filed Fundrise Growth ereit III, LLC Washington, DC 12/13/ Filed Fundrise Income ereit III, LLC Washington, DC 12/13/ Filed Hightimes Holding Corp. Los Angeles, CA 12/13/ Filed Opportunities Fund Class A Opportunities Fund Class C Opportunities Fund Class l Opportunities Fund Class R6 PIMCO Flexible Credit Income Fund Class A PIMCO Flexible Municipal Income Fund Institutional Class (Bahl & Gaynor smig (Small/Mid Cap Income Growth) Portfolio, Series Q) (Cohen & Steers Preferred Income Opportunities Portfolio, Series Q) (Emerging Markets Dividend Portfolio, Series Q) (High 50 Dividend Strategy Portfolio, Series Q) Boston, MA 12/13/ Filed Boston, MA 12/13/ Filed Boston, MA 12/13/ Filed Boston, MA 12/13/ Filed New York, NY 12/13/ Filed New York, NY 12/13/ Filed Monument, CO 12/12/ Filed Monument, CO 12/12/ Filed Monument, CO 12/12/ Filed Monument, CO 12/12/ Filed Page 2 of 6
3 (Next Generation Portfolio, Series Q - A Hartford Investment Management Company ("HIMCO") Portfolio) (Peroni Growth Portfolio, Winter 2019 Series) (REIT Portfolio, Series Q - A Hartford Investment Management Company ("HIMCO") Portfolio) (The Dividend Income Value Strategy Portfolio, Series Q) (Utilities Portfolio, Series Q - A Hartford Investment Management Company ("HIMCO") Portfolio) Advisors Disciplined Trust 1909 (Q-GARP Portfolio, Series Q) Advisors Disciplined Trust 1910 (Building America Opportunities Portfolio, Series ) Monument, CO 12/12/ Filed Monument, CO 12/12/ Filed Monument, CO 12/12/ Filed Monument, CO 12/12/ Filed Monument, CO 12/12/ Filed Monument, CO 12/12/ Filed Monument, CO 12/12/ Filed Invesco Unit Trusts, Series 1933 Downers Grove, IL 12/12/ Pending-Cleared Invesco Unit Trusts, Series 1934 Downers Grove, IL 12/12/ Pending-Cleared Invesco Unit Trusts, Series 1935, Policy Opportunities Portfolio Invesco Unit Trusts, Series 1936; Dividend Income & Value Portfolio Downers Grove, IL 12/12/ Pending-Cleared Downers Grove, IL 12/12/ Pending-Cleared Invesco Unit Trusts, Series 1937 Downers Grove, IL 12/12/ Pending-Cleared Invesco Unit Trusts, Series 1938, Closed-End Strategy: Senior Loan and Limited Duration Portfolio World Funds Trust Toreador Select Fund Institutional Class Downers Grove, IL 12/12/ Pending-Cleared Richmond, VA 12/11/ Filed Coherix, Inc. Ann Arbor, MI 12/10/ Filed Page 3 of 6
4 Fund - Class A Fund - Class C Fund - Class I Fund - Class M Fund - Class Z All Securities Law, Franchise Law, and Take-Over Law Filings Markets Income Fund - Class A Markets Income Fund - Class C Markets Income Fund - Class I Markets Income Fund - Class M Markets Income Fund - Class Z Series 1838 (UBS Opportunistic Equity Income List: Equity Advisory Group , Series 15) Series 1842 (Kensho Space Portfolio, Series 1) Boston, MA 12/10/ Filed Boston, MA 12/10/ Filed Boston, MA 12/10/ Filed Boston, MA 12/10/ Filed Boston, MA 12/10/ Filed Boston, MA 12/10/ Filed Boston, MA 12/10/ Filed Boston, MA 12/10/ Filed Boston, MA 12/10/ Filed Boston, MA 12/10/ Filed Chicago, IL 12/10/ Filed Chicago, IL 12/10/ Pending-Cleared Page 4 of 6
5 RiverPark Funds Trust RiverPark Floating Rate CMBS Fund Retail Class Shares Number of Investment Company Filings: 53 New York, NY 12/10/ Filed Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities Acreage FINCO B.C. Ltd. New York, NY 12/14/ Filed AVF I LP San Francisco, CA 12/14/ Filed Capital Funding Bancorp, Inc. Baltimore, MD 12/14/ Filed CC - Tiger Global PIP XI, LP Boulder, CO 12/14/ Filed Congruex LLC Boulder, CO 12/14/ Filed Engaged Capital Flagship Fund, Ltd. Newport Beach, CA 12/14/ Filed Fetch Rewards, Inc. Madison, WI 12/14/ Filed GenoPalate, Inc. Brookfield, WI 12/14/ Filed Highway 101 Spirits, Inc. San Diego, CA 12/14/ Filed Knightscope, Inc. Mountain View, CA 12/14/ Filed Midwest Growth Partners II, L.P. Wdm, IA 12/14/ Filed Motley Fool Ventures LP Alexandria, VA 12/14/ Filed Riverside Park, LLC Lake Oswego, OR 12/14/ Filed Sun Capital Partners VII, L.P. Boca Raton, FL 12/14/ Filed Wamba Video Game Partners, LLC Warburg pincus Global Growth, L.P. Las Vegas, NV 12/14/ Filed New York, NY 12/14/ Filed 10,000 Days Fund, LP New York, NY 12/13/ Filed Urbana Hotel, LLC Neenah, WI 12/12/ Filed Number of Regulation D Notice Filings: 18 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date FIBRENEW USA, LTD. / FIBRENEW Black Diamond, AB 12/14/ Registered Page 5 of 6
6 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date BATTLE HOUSE LASER COMBAT, INC. / BATTLE HOUSE Chatime USA, LLC / Chatime (Master Franchise) TACTIC FRANCHISING, LLC / 100% CHIROPRACTIC CK Franchising, Inc. / Comfort Keepers RRG Brands LLC / The Basement Doctor SANDLER SYSTEMS INC / SANDLER TRAINING SiempreTax, LLC / SiempreTax LLC Quick Lane Franchising LLC / Quick Lane, Quick Lane Tire & Auto Center JTH Tax, Inc. / Liberty Tax Service - Unit GLORIA JEAN'S GOURMET COFFEES FRANCHISING CORP. / Gloria Jean's Coffees RestorFX Automotive, Inc. / RestorFX D&D Beauty Care Company / Shapes Brow Bar and RMLA Medi-Weightloss Franchising USA, LLC / Medi-Weightloss Business All Securities Law, Franchise Law, and Take-Over Law Filings Number of Franchise Filings: 14 Wilmington, NC 12/14/ Registered Zhubei City, Hsinchu County, RANCHO SANTA FE, CA 12/14/ Registered 12/14/ Registered Irvine, CA 12/14/ Registered Reynoldsburg, OH 12/13/ Registered Owings Mills, MD 12/13/ Registered Virginia Beach, VA 12/12/ Registered Dearborn, MI 12/12/ Registered Virginia Beach, VA 12/12/ Registered Santa Fe Springs, CA 12/12/ Registered Bellingham, WA 12/11/ Registered Chicago, IL 12/10/ Registered Tampa, FL 12/10/ Registered Page 6 of 6
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