All Securities Law, Franchise Law, and Take-Over Law Filings for 8/26/2018 through 9/1/2018
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1 Securities Law Registration Filings Made with DFI s Securities OFI RLYLE PRIVATE CREDIT FUND CLASS I CENTENNIAL, CO 8/29/ Registered OFI RLYLE PRIVATE CREDIT FUND CLASS L OFI RLYLE PRIVATE CREDIT FUND CLASS Y CENTENNIAL, CO 8/29/ Registered CENTENNIAL, CO 8/29/ Registered Number of Registration Filings: 3 HYLETE INC Securities Law Exemption Filings Made with DFI s Securities LEGION M ENTERTAINMENT INC Number of Exemption Filings: 2 SOLANA BEACH, CENTURY CITY, 8/27/ Filed 8/27/ Filed Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities FUND 3 BNP PARIBAS AM EMERGING MARKETS EQUITY OAKS, PA 8/31/ Registered FUND 3 BNP PARIBAS AM EMERGING MARKETS DEBT FUND 3 BNP PARIBAS AM US INFLATION LINKED BOND OAKS, PA 8/31/ Registered OAKS, PA 8/31/ Registered Page 1 of 5
2 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities FUND 3 BNP PARIBAS AM US SMALL P EQUITY FUND RETAIL OAKS, PA 8/31/ Registered ALPS SERIES TR 7 NYONS STRATEGIC INCOME FUND INVESTOR CLASS ALPS SERIES TR 7 NYONS WORLD INNOVATORS FUND INSTITUTIONAL CLASS ALPS SERIES TR 7 NYONS WORLD INNOVATORS FUND INVESTOR CLASS JPMORGAN TR IV JPMORGAN SECURITIES LENDING MONEY MARKET FUND AGENCY SL CLASS ADVISORS SERIES TR POPLAR FOREST CORNERSTONE FUND INSTITUTIONAL CLASS DENVER, CO 8/31/ Registered DENVER, CO 8/31/ Registered DENVER, CO 8/31/ Registered NEW YORK, NY 8/31/ Pending-Cleared MILWAUKEE, WI 8/28/ Registered INVESCO UNIT TR MUNICIPAL SERIES 1322 QUALITY MUNICIPAL INCOME TR 20 PLUS YEAR SERIES 201 8/27/ Pending-Cleared 1912 CLOSED END STRATEGY SELECT OPPORTUNITY PORTFOLIO /27/ Pending-Cleared DIVIDEND INCOME & VALUE PORTFOLIO /27/ Pending-Cleared 8/27/ Pending-Cleared 8/27/ Pending-Cleared /27/ Pending-Cleared Page 2 of 5
3 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities 1917 All Securities Law, Franchise Law, and Take-Over Law Filings 8/27/ Pending-Cleared 1918 BUYBACK LEADERS PORTFOLIO /27/ Pending-Cleared /27/ Pending-Cleared Number of Investment Company Filings: 18 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities AEGIS SPECIAL SITUATIONS QP FUND LLC SERIES RIDESHARE 1 NEW YORK, NY 8/31/ Filed AG REALTY VALUE FUND 10 LP NEW YORK, NY 8/31/ Filed APIXIO INC SAN MATEO, 8/31/ Filed AUDAX PRIVATE EQUITY FUND 6 A LP BETTER VENTURES FUND 3 LP BROKEN SHED DISTILLERIES INC BOSTON, MA 8/31/ Filed OAKLAND, 8/31/ Filed SOUTHPORT, CT 8/31/ Filed BUYINGCOM LLC NEWSTLE, WY 8/31/ Filed RE PAPERS INC SEATTLE, WA 8/31/ Filed COOEY TECHNOLOGIES INC CHARLOTTE, NC 8/31/ Filed CORSAIRES HIGH INCOME VALUE EQUITIES LLC COURT SQUARE PITAL PARTNERS 4 LP MADISON, WI 8/31/ Filed NEW YORK, NY 8/31/ Filed Page 3 of 5
4 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities DAIS TECHNOLOGY INC CHIGO, IL 8/31/ Filed EMPIRE VILLAGE AT PEBBLE CREEK LLC SCOTTSDALE, AZ 8/31/ Filed GRAND ENERGY INC ADDISON, TX 8/31/ Filed MENDON PITAL QP LP CHIGO, IL 8/31/ Filed NATIV MOBILE LLC CHIGO, IL 8/31/ Filed NORTH WELSH PROSPECT JOINT VENTURE PROSPER, TX 8/31/ Filed NORTHRIDGE ROSCOE 1ST MORTGAGE INVESTORS LP SANTA BARBARA, 8/31/ Filed REALTY 349 LLC LEWES, DE 8/31/ Filed ROSSIGNOL PHOENIX PARTNERS LP PLAINFIELD, IL 8/31/ Filed SALTA HOLDINGS LLC NASHVILLE, TN 8/31/ Filed SELECT ROYALTY FUND LP FRISCO, TX 8/31/ Filed SHERMAN REAL ESTATE FUND 13 LLC NORTHBROOK, IL 8/31/ Filed VIOLA GROWTH 3 ACCESS LP NEW YORK, NY 8/31/ Filed VITAL METRIX INC HUNTSVILLE, AL 8/31/ Filed WUNDER PITAL 2 LLC BOULDER, CO 8/31/ Filed Number of Regulation D Notice Filings: 26 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date Accounting Practice Sales II, Inc. / Accounting Practice Sales Mansfield, TX 8/31/ Registered Page 4 of 5
5 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date VaporFi Franchising, LLC / VaporFi ANY TEST FRANCHISING INC / ANY LAB TEST NOW Happy Tax Franchising, LLC / Happy Tax (Area Representative) Happy Tax Franchising, LLC / Happy Tax (Unit) Great Greek Franchising, LLC / The Great Greek Mediterranean Grill Interface Financial Corp / Interface Financisl Group Robin Autopilot USA, LLC / Robin Autopilot REALTY WORLD INC M & T Pizza Incorporated / Carbone's Pizzeria and Carbone's Pizza Miami Lakes, FL 8/31/ Registered ALPHARETTA, GA 8/30/ Registered Miami Beach, FL 8/30/ Registered Miami Beach, FL 8/30/ Registered WEST PALM BEACH, FL 8/29/ Registered Bethesda, MD 8/29/ Registered Dallas, TX 8/28/ Registered Newport Beach, 8/28/ Registered St. Paul, MN 8/28/ Registered Mossy Oak Properties, Inc. West Point, MS 8/28/ Registered Spaulding Decon Industries, Corp. / Spaulding Decon All Securities Law, Franchise Law, and Take-Over Law Filings Number of Franchise Filings: 12 Tampa, FL 8/27/ Registered Corporate Take-Over Law Filings Made with DFI s Securities Takeover Filing Reference Number of Takeover Filings: 0 Date Page 5 of 5
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