All Securities Law, Franchise Law, and Take-Over Law Filings for 8/5/2018 through 8/11/2018
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1 All Securities Law, Franchise Law, and Take-Over Law Filings 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 GOLDMAN SACHS TR GOLDMAN SACHS SHORT TERM CONSERVATIVE INCOME FUND INVESTOR SHARES INVESCO UNIT TR MUNICIPAL SERIES 1320 INSURED MUNICIPALS INCOME TR SERIES 702 CHICAGO, IL 8/9/ Registered 8/8/ Pending-Cleared INVESCO UNIT TR MUNICIPAL SERIES 1321 INVESTMENT GRADE MUNICIPAL TR /8/ Registered 1903 POLICY OPPORTUNITIES PORTFOLIO /8/ Pending-Cleared SELECT 10 INDUSTRIAL PORTFOLIO /8/ Pending-Cleared 8/8/ Pending-Cleared /8/ Pending-Cleared 8/8/ Pending-Cleared Page 1 of 6
2 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities 1908 GLOBAL WATERS PORTFOLIO All Securities Law, Franchise Law, and Take-Over Law Filings 8/8/ Pending-Cleared ESG OPPORTUNITY PORTFOLIO /8/ Pending-Cleared 8/8/ Pending-Cleared 1911 US DEFENSE PORTFOLIO /8/ Pending-Cleared 1888 AEROSPACE DEFENSE OPPORTUNITIES PORTFOLIO SERIES COHEN & STEERS COVERED CALL & INCOME STRATEGIES CLOSED END PORTFOLIO SERIES COHEN & STEERS DYNAMIC INCOME PORTFOLIO SERIES COHEN & STEERS GLOBAL COVERED CALL & INCOME STRATEGIES CLOSED END PORTFOLIO SERIES TACTICAL INCOME CLOSED END PORTFOLIO SERIES FT 7477 DOW TARGET 10 AUG '18 TERM 9/9/19 FT 7483 STRUCTURED PORTFOLIO PLAN DEFINED PORTFOLIO AUGUST 2018 SERIES MONUMENT, CO 8/6/ Registered MONUMENT, CO 8/6/ Registered MONUMENT, CO 8/6/ Registered MONUMENT, CO 8/6/ Registered MONUMENT, CO 8/6/ Registered WHEATON, IL 8/6/ Pending-Cleared WHEATON, IL 8/6/ Registered Page 2 of 6
3 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities FT 7501 ELECTION PORTFOLIO 2016 SERIES 8 All Securities Law, Franchise Law, and Take-Over Law Filings WHEATON, IL 8/6/ Registered FT 7502 TX LONE STAR OPPORTUNITY PORTFOLIO SERIES FT 7503 HIGH DIVIDEND EQUITY PORTFOLIO SERIES 37 FT 7511 TECHNOLOGY SELECT PORTFOLIO SERIES 70 FT 7512 NASDAQ FACTOR DOGS OPPORTUNITY PORTFOLIO SERIES 4 FT 7514 AMERICAN AGENDA PORTFOLIO SERIES 6 FT 7515 DEEP VALUE DIVIDEND PORTFOLIO SERIES 20 FT 7516 EQUITY INCOME SELECT PORTFOLIO SERIES 58 FT 7517 ESG IMPACT OPPORTUNITY PORTFOLIO SERIES 4 FT 7520 SABRIENT RISING RATE PORTFOLIO SERIES 9 WHEATON, IL 8/6/ Pending-Cleared WHEATON, IL 8/6/ Registered WHEATON, IL 8/6/ Registered WHEATON, IL 8/6/ Registered WHEATON, IL 8/6/ Registered WHEATON, IL 8/6/ Registered WHEATON, IL 8/6/ Registered WHEATON, IL 8/6/ Registered WHEATON, IL 8/6/ Registered FT 7521 SMID HIGH DIVIDEND PORTFOLIO SERIES 31 FT 7533 EQUITY INCOME PORTFOLIO SERIES 61 FT 7535 MUNICIPAL INCOME OPPORTUNITIES CLOSED END PORTFOLIO SERIES 50 WHEATON, IL 8/6/ Registered WHEATON, IL 8/6/ Registered WHEATON, IL 8/6/ Registered Page 3 of 6
4 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities FT 7542 CORPORATE INVESTMENT GRADE PORTFOLIO 3 TO 7 YEAR SERIES 5 All Securities Law, Franchise Law, and Take-Over Law Filings WHEATON, IL 8/6/ Registered FT 7592 SENIOR LOAN & LTD DURATION OPPORTUNITIES CLOSED END PORTFOLIO SERIES 57 FT 7593 STRATEGIC INCOME ADVANTAGE SELECT CLOSED END PORTFOLIO SERIES 77 GUGGENHEIM DEFINED PORTFOLIOS SERIES 1786 GUGGENHEIM REIT PORTFOLIO SERIES 19 GUGGENHEIM DEFINED PORTFOLIOS SERIES 1786 MULTINATIONAL TITANS PORTFOLIO SERIES 15 GUGGENHEIM DEFINED PORTFOLIOS SERIES 1786 PRECIOUS METALS & MINERS PORTFOLIO SERIES 15 SMART TR 393 SMART TR RISING INTEREST RATES HEDGE TR SERIES 11 SMART TR 394 SMART TR ENHANCED VALUE 2 TR SERIES 21 WHEATON, IL 8/6/ Registered WHEATON, IL 8/6/ Registered CHICAGO, IL 8/6/ Registered CH, IL 8/6/ Registered CH, IL 8/6/ Pending-Cleared PARSIPPANY, NJ 8/6/ Registered PARSIPPANY, NJ 8/6/ Registered SMART TR 394 SMART TR PORTFOLIO OF CLOSED END FUND OPPORTUNITIES TR SERIES 16 Number of Investment Company Filings: 41 PARSIPPANY, NJ 8/6/ Registered Page 4 of 6
5 All Securities Law, Franchise Law, and Take-Over Law Filings Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities AG DIRECT LENDING FUND 3 LP NEW YORK, NY 8/10/ Filed AZ HEALTHCARE DST OAK BROOK, IL 8/10/ Filed FCP REALTY FUND 4 LP IMG SOLIS APTS LLC MARIANA BIOTECH INC MEDAWARE SYSTEMS INC CHEVY CHASE, MD WOODLAND HLS, CA CITY INDUSTRY, CA BROOMFIELD, CO 8/10/ Filed 8/10/ Filed 8/10/ Filed 8/10/ Filed NORTH ARLINGTON PORTFOLIO LP NEW YORK, NY 8/10/ Filed RED HILL PROSPECT PARTNERS HENDERSONVLL E, TN 8/10/ Filed TUDR MEDIA LLC INDIANAPOLIS, IN 8/10/ Filed Number of Regulation D Notice Filings: 9 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date OMEX INTERNATIONAL INC / OMEX CAMP HILL, PA 8/10/ Registered Great Wraps, Inc / Great Wraps Atlanta, GA 8/10/ Registered Bruegger's Franchise Corporation / Bruegger's and Bruegger's Bagels Lakewood, CO 8/10/ Registered Steak n Shake Enterprises, Inc. indianapolis, IN 8/9/ Registered HUDDLE HOUSE, INC. / HUDDLE HOUSE Vital Care of Alabama, Inc. (Fict Name) Vital Care,Inc. (Corp Name) / Vital Care Jake's Franchising, LLC / Wayback Burgers Gecko Development Corporation / Gecko Hospitality FIREHOUSE OF AMERICA LLC / Area Representative Franchise Sandy Springs, GA 8/9/ Registered Livingston, AL 8/9/ Registered Cheshire, CT 8/9/ Registered Fort Myers, FL 8/8/ Registered JACKSONVILLE, FL 8/7/ Registered Page 5 of 6
6 All Securities Law, Franchise Law, and Take-Over Law Filings Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date Copper Branch Franchising, LLC Dorval, QC 8/6/ Registered Number of Franchise Filings: 10 Corporate Take-Over Law Filings Made with DFI s Securities Takeover Filing Reference Number of Takeover Filings: 0 Date Page 6 of 6
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CNL HEALTHCARE PROPERTIES 2 INC Securities Law Registration Filings Made with DFI s Securities ORLANDO, FL 2/2/2018 00832026-01 Registered BLACK CREEK DIVERSIFIED PROPERTY FUND INC DENVER, CO 1/29/2018
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Securities Law Registration Filings Made with DFI s Securities GRIFFIN INSTITUTIONAL ACCESS CREDIT FUND CLASS L SHARES EL SEGUNDO, 8/11/2017 00811784-01 Registered OAKTREE REAL ESTATE INCOME TR INC LOS
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Securities Law Registration Filings Made with DFI s Securities SOLERA NATIONAL BANCORP INC Number of Registration Filings: 1 LAKEWOOD, CO 11/13/2017 00821024-01 Pending Securities Law Exemption Filings
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Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities TRILINC GLOBAL IMPACT FUND LLC MANHATTAN BEACH,
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Securities Law Registration Filings Made with DFI s Securities ANGEL OAK STRATEGIC CREDIT FUND Number of Registration Filings: 1 MILWAUKEE, WI 12/1/2017 00824070-01 Registered Securities Law Exemption
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Securities Law Registration Filings Made with DFI s Securities FS CREDIT INCOME FUND I HEART CHURCH CHURCH IN WV INC Number of Registration Filings: 2 PHILADELPHIA, PA MOUNT HOPE, WV 8/28/2017 00812789-01
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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
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Securities Law Registration Filings Made with DFI s Securities BLACKSTONE REAL ESTATE INCOME TR INC Number of Registration Filings: 1 NEW YORK, NY 6/14/2018 00840772-01 Pending Securities Law Exemption
All Securities Law, Franchise Law, and Take-Over Law Filings for 9/16/2018 through 9/22/2018
Securities Law Registration Filings Made with DFI s Securities Division AIP ALTERNATIVE LENDING FUND A AIP ALTERNATIVE LENDING FUND P AMERICAN BEACON APOLLO TOTAL RETURN FUND CLASS Y SHARES PROSPER FUNDING
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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 FT 7689 (Preferred
All Securities Law, Franchise Law, and Take-Over Law Filings for 1/15/2017 through 1/21/2017
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities RED RIBBON RANCH LLC LA CANADA, CA 1/20/2017
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Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities SIERRA INCOME CORP NEW YORK, NY 9/24/2018 848612-08
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Securities Law Registration Filings Made with DFI s Securities ACCESS FUND INC ACCESS FUND I SHARES ACCESS FUND INC ACCESS FUND W SHARES Number of Registration Filings: 2 ROCHESTER, NY 2/9/2018 00832143-01
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Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities WESLEYAN INVESTMENT FOUNDATION INC Number of
All Securities Law, Franchise Law, and Take-Over Law Filings for 10/29/2017 through 11/4/2017
Securities Law Registration Filings Made with DFI s Securities GRACEPOINT CHURCH BREMERTON, WA 11/1/2017 00819517-02 Pending Number of Registration Filings: 1 Securities Law Exemption Filings Made with
All Securities Law, Franchise Law, and Take-Over Law Filings for 2/5/2017 through 2/11/2017
Securities Law Registration Filings Made with DFI s Securities GRACE REDEEMER CHURCH NY NONPROFIT CORP TEANECK, NJ 2/8/2017 00797023-02 Pending PHILLIPS EDISON GROCERY CENTER REIT 3 INC CINCINNATI, OH
All Securities Law, Franchise Law, and Take-Over Law Filings for 1/14/2018 through 1/20/2018
Securities Law Registration Filings Made with DFI s Securities JONES LANG LASALLE INCOME PROPERTY TR INC CHICAGO, IL 1/19/2018 00830973-01 Pending Number of Registration Filings: 1 Securities Law Exemption
All Securities Law, Franchise Law, and Take-Over Law Filings for 1/1/2017 through 1/7/2017
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 KNIGHTSCOPE INC Securities Law Exemption Filings Made with DFI s Securities Number of Exemption Filings:
All Securities Law, Franchise Law, and Take-Over Law Filings for 1/29/2017 through 2/4/2017
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities MEAD & HUNT COMPANIES INC MIDDLETON, WI 2/3/2017
All Securities Law, Franchise Law, and Take-Over Law Filings for 8/20/2017 through 8/26/2017
Securities Law Registration Filings Made with DFI s Securities HINES GLOBAL REIT 2 INC HOUSTON, TX 8/23/2017 00812947-01 Pending Number of Registration Filings: 1 Securities Law Exemption Filings Made
All Securities Law, Franchise Law, and Take-Over Law Filings for 6/3/2018 through 6/9/2018
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 ALPS SERIES TR
All Securities Law, Franchise Law, and Take-Over Law Filings for 8/19/2018 through 8/25/2018
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities FUNDRISE GROWTH EREIT 2, DC 8/23/2018 00845559-25
All Securities Law, Franchise Law, and Take-Over Law Filings for 9/30/2018 through 10/6/2018
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
All Securities Law, Franchise Law, and Take-Over Law Filings for 7/8/2018 through 7/14/2018
Securities Law Registration Filings Made with DFI s Securities HEDGE FUND GUIDED PORTFOLIO SOLUTION Number of Registration Filings: 1 CHICAGO, IL 7/13/2018 00842088-01 Pending-Cleared Securities Law Exemption
All Securities Law, Franchise Law, and Take-Over Law Filings for 8/12/2018 through 8/18/2018
Securities Law Registration Filings Made with DFI s Securities BLACKSTONE GSO FLOATING RATE ENHANCED INCOME FUND ADVISORY CLASS D NEW YORK, NY 8/17/2018 00844968-01 Registered FS MULTI ALTERNATIVE INCOME
All Securities Law, Franchise Law, and Take-Over Law Filings for 12/16/2018 through 12/22/2018
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities Hayes Brokerage Opportunity Fund #1, LLC Number
All Securities Law, Franchise Law, and Take-Over Law Filings for 7/1/2018 through 7/7/2018
Securities Law Registration Filings Made with DFI s Securities PREDEX PREDEX CLASS I HAUPPAUGE, NY 7/3/2018 00841912-01 Registered AMERIN BEACON SOUND POINT ENHANCED INCOME FUND Y CLASS IRVING, TX 7/2/2018
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Securities Law Registration Filings Made with DFI s Securities MERCY HILL CHURCH IRONWOOD INSTITUTIONAL MULTI STRATEGY FUND LLC GREENSBORO, NC SAN FRANCISCO, CA 5/26/2017 00806164-02 Pending 5/25/2017
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Securities Law Registration Filings Made with DFI s Securities BLACKSTONE GSO FLOATING RATE ENHANCED INCOME FUND INSTITUTIONAL CLASS I Number of Registration Filings: 1 NEW YORK, NY 1/12/2018 00829869-01
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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
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All Securities Law, Franchise Law, and Take-Over Law Filings Securities Law Registration Filings Made with DFI s Securities UNITED METHODIST DEVELOPMENT FUND Number of Registration Filings: 1 PHILADELPHIA,
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