All Securities Law, Franchise Law, and Take-Over Law Filings for 7/8/2018 through 7/14/2018

Transcription

1 Securities Law Registration Filings Made with DFI s Securities HEDGE FUND GUIDED PORTFOLIO SOLUTION Number of Registration Filings: 1 CHICAGO, IL 7/13/ Pending-Cleared Securities Law Exemption Filings Made with DFI s Securities ORTHODOX CHURCH CAPITAL IMPROVEMENT FUND Number of Exemption Filings: 1 LODI, CA 7/13/ Not Disallowed FUNDS MUNICASH CASH RESERVE SHARES WILMINGTON, DE 7/13/ Registered FUNDS MUNIFUND PREMIER SHARES FUNDS T FUND PREMIER SHARES FUNDS T FUND PRIVATE CLIENT SHARES FUNDS TEMPCASH CASH RESERVE SHARES FUNDS TEMPFUND PREMIER SHARES WILMINGTON, DE 7/13/ Registered WILMINGTON, DE 7/13/ Registered WILMINGTON, DE 7/13/ Registered WILMINGTON, DE 7/13/ Registered WILMINGTON, DE 7/13/ Registered Page 1 of 7

2 FUNDS TREASURY TR FUND CASH RESERVE SHARES WILMINGTON, DE 7/13/ Registered LEGG MASON GLOBAL ASSET MANAGEMENT TR MARTIN CURRIE EMERGING MARKETS FUND CLASS A LEGG MASON GLOBAL ASSET MANAGEMENT TR MARTIN CURRIE EMERGING MARKETS FUND CLASS C LEGG MASON GLOBAL ASSET MANAGEMENT TR QS GLOBAL MARKET NEUTRAL FUND CLASS C INTEGRITY FUNDS INTEGRITY ENERGIZED DIVIDEND FUND CLASS A SHARES 1ST TR COMBINED SERIES 578 TX EX MUNICIPAL INCOME TR INTERMEDIATE SERIES INCOME QUALITY COVERED CALL PORTFOLIO SERIES Q 1880 BLUE CHIP COVERED CALL PORTFOLIO SERIES Q 1881 AGRI BUSINESS OPPORTUNITIES PORTFOLIO SERIES BRIC ADVANTAGE PORTFOLIO SERIES GLOBAL INFLATION GROWTH PORTFOLIO SERIES BALTIMORE, MD 7/13/ Registered BALTIMORE, MD 7/13/ Registered BALTIMORE, MD 7/13/ Registered MINOT, ND 7/12/ Registered WHEATON, IL 7/9/ Registered MONUMENT, CO 7/9/ Registered MONUMENT, CO 7/9/ Registered MONUMENT, CO 7/9/ Registered MONUMENT, CO 7/9/ Registered MONUMENT, CO 7/9/ Registered Page 2 of 7

3 FT 7431 INFLATION HEDGE PORTFOLIO SERIES 38 All Securities Law, Franchise Law, and Take-Over Law Filings WHEATON, IL 7/9/ Registered FT 7449 EUROPEAN TARGET HIGH QUALITY DVD 3Q 18 FT 7449 TARGET DVD BLEND 3Q 18 FT 7449 TARGET HIGH QUALITY DVD 3Q 18 TERM FT 7450 DOW TARGET 5 3Q 18 FT 7450 DOW TARGET DVD 3Q 18 FT 7450 GLOBAL TARGET 15 3Q 18 FT 7450 S&P DIVIDEND ARISTOCRATS TARGET 25 3Q 18 FT 7450 S&P TARGET 24 3Q 18 FT 7450 S&P TARGET SMID 60 3Q 18 FT 7450 TARGET DBL PLAY 3Q 18 FT 7450 TARGET DIVSD DVD 3Q 18 FT 7450 TARGET FOCUS 4 3Q 18 FT 7450 TARGET GLOBAL DVD LEADERS 3Q 18 WHEATON, IL 7/9/ Registered WHEATON, IL 7/9/ Registered WHEATON, IL 7/9/ Registered WHEATON, IL 7/9/ Registered WHEATON, IL 7/9/ Registered WHEATON, IL 7/9/ Registered WHEATON, IL 7/9/ Registered WHEATON, IL 7/9/ Registered WHEATON, IL 7/9/ Registered WHEATON, IL 7/9/ Registered WHEATON, IL 7/9/ Registered WHEATON, IL 7/9/ Registered WHEATON, IL 7/9/ Registered FT 7450 TARGET GROWTH 3Q 18 WHEATON, IL 7/9/ Registered Page 3 of 7

4 FT 7450 TARGET TRIAD 3Q 18 WHEATON, IL 7/9/ Registered FT 7450 TARGET VIP 3Q 18 FT 7450 VALUE LINE TARGET 25 3Q 18 FT STRATEGIC ALLOCATION PORT 3Q 18 TERM FT STRATEGIC ALLOCATION PORT 3Q 18 TERM FT 7459 STRATEGIC INCOME SELECT CLOSED END PORTFOLIO SERIES 35 FT STRATEGIC ALLOCATION PORT 3Q 18 TERM FT 7473 INTEREST RATE HEDGE PORTFOLIO SERIES 119 FT 7488 STRATEGIC INCOME ADVANTAGE SELECT CLOSED END PORTFOLIO SERIES 76 FT 7524 EQUITY CLOSED END OPPORTUNITY PORTFOLIO SERIES 2 FT 7527 STRATEGIC INCOME ADVANTAGE OPPORTUNITY CLOSED END PORTFOLIO SERIES 8 GUGGENHEIM DEFINED PORTFOLIOS SERIES 1778 ENERGY PORTFOLIO SERIES 25 WHEATON, IL 7/9/ Registered WHEATON, IL 7/9/ Registered WHEATON, IL 7/9/ Registered WHEATON, IL 7/9/ Registered WHEATON, IL 7/9/ Registered WHEATON, IL 7/9/ Registered WHEATON, IL 7/9/ Registered WHEATON, IL 7/9/ Registered WHEATON, IL 7/9/ Registered WHEATON, IL 7/9/ Registered CHICAGO, IL 7/9/ Registered Page 4 of 7

5 GUGGENHEIM DEFINED PORTFOLIOS SERIES 1778 HEALTH CARE PORTFOLIO SERIES 25 CHICAGO, IL 7/9/ Registered GUGGENHEIM DEFINED PORTFOLIOS SERIES 1778 UTILITIES PORTFOLIO SERIES 28 CHICAGO, IL 7/9/ Registered Number of Investment Company Filings: 46 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities 4 PEAKS INCOME FUND 5 LLC CHEYENNE, WY 7/13/ Filed BBH WEALTH STRATEGIES LLC CEDAR ROCK CAPITAL PARTNERS SERIES WALL STREET, NY 7/13/ Filed BCT INC SEZC BELRON GROUP SA BW GAS & CONVENIENCE ONSHORE FUND LP CAYO ROSARIO PARTNERS LLC GRAND CAYMAN, AA LUXEMBOURG, AA 7/13/ Filed 7/13/ Filed BEVERLY, MA 7/13/ Filed BUFFALO, WY 7/13/ Filed COATUE CT 26 LLC NEW YORK, NY 7/13/ Filed FASETTO INC OLIVER, WI 7/13/ Filed FPA CORE PLUS FUND 4 LP IRVINE, CA 7/13/ Filed FUGIO PRIVATE EQUITY FUND 10 LP PITTSBURGH, PA 7/13/ Filed GRAYMETA INC NEWBURY PARK, CA 7/13/ Filed GSP OL FUND LP NEW YORK, NY 7/13/ Filed Page 5 of 7

6 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities KETTLE CREEK PROJECT GLASGOW, KY 7/13/ Filed MIDGARD BOAT & SELF STORAGE LLC NAPLES, FL 7/13/ Filed NAPALI 8 LLC SOUTHLAKE, TX 7/13/ Filed NORTHWEST HOUSTON INDUSTRIAL LLC FT WORTH, TX 7/13/ Filed OFF MARKET DATA INC NEW YORK, NY 7/13/ Filed PALOMINO FUND LTD KY1-9003, AA 7/13/ Filed SK CAPITAL PARTNERS VA LP NEW YORK, NY 7/13/ Filed AMC FUND 11 LLC AVENUE ASIA SPECIAL SITUATIONS FUND 5 LP NORTHRIDGE, CA 7/9/ Filed NEW YORK, NY 7/9/ Filed CRESSEY & CO FUND 6 LP CHICAGO, IL 7/9/ Filed FINANCIAL INSIGHT TECHNOLOGY INC NEW YORK, NY 7/9/ Filed MSTAR HOLDING CORP LOS ANGELES, CA 7/9/ Filed MVP LS FUND 58 LLC AUSTIN, TX 7/9/ Filed NAM SPECIAL SITUATIONS FUND 5 LLC SLACK SERIES 1 NEW YORK, NY 7/9/ Filed SMOKEY JOE'S CAFE NEW YORK REVIVAL LTD LIABILITY CO ZERO COUPON CHICAGOLAND OFFICE DST NEW YORK, NY 7/9/ Filed HINSDALE, IL 7/9/ Filed Number of Regulation D Notice Filings: 28 Page 6 of 7

7 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date Ilfrich Integrated Solutions, Inc. / Garage Force BWI Licensing, Inc. / "Best Western," "Best Western Plus ", "Best Western Premier ", "Executive Residency by Best Western," "Vib by Best Western," and "GLo by Best Western" Border Magic Franchising, LLC & Boulder Designs Franchising, LLC Mac and Cheese Franchise Operations, LLC / I Heart Mac and Cheese Blue Eagle Franchising, LLC / Stu Macfarlane M&D Optical Franchise, LLC / My Eyelab JTT Health Management, LLC / Help Your Diabetes Onalaska, WI 7/13/ Registered Phoenix, AZ 7/12/ Registered Waco, TX 7/12/ Registered Boca Raton, FL 7/11/ Registered Overland Park, KS 7/11/ Registered Palm Springs, FL 7/11/ Registered Grapevine, TX 7/10/ Registered Signal Health Group Indianapolis, CA 7/10/ Registered Realty ONE Group Affiliates, Inc. / Realty ONE Group Unit Franchise Mosquito Shield Franchise Corporation / Mosquito Shield Generator Supercenter Franchising, LLC / Generator Supercenter Groutsmith Franchising, Inc. / Groutsmith All Securities Law, Franchise Law, and Take-Over Law Filings Number of Franchise Filings: 12 Las Vegas, NV 7/9/ Registered North Attleboro, MA 7/9/ Registered Tomball, TX 7/9/ Registered Sarasota, FL 7/9/ Registered Corporate Take-Over Law Filings Made with DFI s Securities Takeover Filing Reference Number of Takeover Filings: 0 Date Page 7 of 7