All Securities Law, Franchise Law, and Take-Over Law Filings for 11/12/2017 through 11/18/2017
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1 Securities Law Registration Filings Made with DFI s Securities SOLERA NATIONAL BANCORP INC Number of Registration Filings: 1 LAKEWOOD, CO 11/13/ Pending Securities Law Exemption Filings Made with DFI s Securities SANDALS CHURCH RIVERSIDE, CA 11/16/ Not Disallowed SONDORS ELECTRIC CAR CO MALIBU, CA 11/14/ Filed Number of Exemption Filings: 2 FT 7030 EQUITY INCOME PORTFOLIO SERIES 58 WHEATON, IL 11/17/ Registered FT 7074 GLOBAL BOND INCOME CLOSED END PORTFOLIO SERIES 27 FT 7080 SENIOR LOAN & LTD DURATION OPPORTUNITIES CLOSED END PORTFOLIO SERIES 51 FUNDVANTAGE TR POLEN US SMALL CO GROWTH FUND INSTITUTIONAL CLASS MUTUAL FUND SERIES TR ALPHACENTRIC GLOBAL INNOVATIONS FUND CLASS A NORTHERN LIGHTS FUND TR LADENBURG INCOME FUND CLASS I SHARES WHEATON, IL 11/17/ Registered WHEATON, IL 11/17/ Registered WILMINGTON, DE 11/17/ Registered HAUPPAUGE, NY 11/17/ Registered HAUPPAUGE, NY 11/17/ Registered Page 1 of 7
2 SMART TR 352 SMART TR SUSTAINABLE IMPACT INVESTING TR SERIES 11 All Securities Law, Franchise Law, and Take-Over Law Filings PARISIPPANY, NJ 11/17/ Registered TOUCHSTONE STRATEGIC TR TOUCHSTONE SMALL CO FUND CLASS Y VOYA FUNDS TR VOYA SHORT TERM BOND FUND CLASS R AEROSPACE DEFENSE OPPORTUNITIES PORTFOLIO SERIES PORTFOLIOS SERIES 1692 DIVIDEND STRENGTH PORTFOLIO SERIES 28 PORTFOLIOS SERIES 1692 GUGGENHEIM EMERGING MARKETS DIVIDEND STRATEGY PORTFOLIO SERIES 24 PORTFOLIOS SERIES 1692 UNDERVALUED TOP PICKS PORTFOLIO SERIES 15 NORTHERN FUNDS NORTHERN ENGAGE360 FUND 1832 COHEN & STEERS COVERED CALL & INCOME STRATEGIES CLOSED END PORTFOLIO SERIES COHEN & STEERS GLOBAL COVERED CALL & INCOME STRATEGIES CLOSED END PORTFOLIO SERIES CINCINNATI, OH 11/17/ Registered SCOTTSDALE, AZ 11/17/ Registered MONUMENT, CO 11/16/ Registered LISLE, IL 11/16/ Registered LISLE, IL 11/16/ Registered LISLE, IL 11/16/ Registered CHICAGO, IL 11/16/ Registered MONUMENT, CO 11/15/ Registered MONUMENT, CO 11/15/ Registered Page 2 of 7
3 FIERA CAPITAL SERIES TR FIERA CAPITAL SMALL MID CAP GROWTH FUND INVESTOR CLASS SHARES All Securities Law, Franchise Law, and Take-Over Law Filings NEW YORK, NY 11/15/ Registered FIERA CAPITAL SERIES TR FIERA CAPITAL SMALL MID CAP GROWTH FUND INSTITUTIONAL CLASS SHARES PORTFOLIOS SERIES 1690 BLUE CHIP GROWTH PORTFOLIO SERIES 16 PORTFOLIOS SERIES 1690 GUGGENHEIM US CAPITAL STRENGTH PORTFOLIO SERIES 15 PORTFOLIOS SERIES 1691 GUGGENHEIM EUROPEAN CAPITAL STRENGTH PORTFOLIO SERIES 15 PORTFOLIOS SERIES 1694 CORE RETIREMENT PORTFOLIO SERIES ADVISORS CORE EQUITY STRATEGY PORTFOLIO 1830 BAHL & GAYNOR INCOME GROWTH PORTFOLIO 1830 BLUE CHIP PORTFOLIO 1830 DIVIDEND ADVANTAGE PORTFOLIO NEW YORK, NY 11/15/ Registered LISLE, IL 11/15/ Registered LISLE, IL 11/15/ Registered LISLE, IL 11/15/ Registered LISLE, IL 11/15/ Registered MONUM ENT, CO 11/13/ Registered MONUM ENT, CO 11/13/ Registered MONUM ENT, CO 11/13/ Registered MONUM ENT, CO 11/13/ Registered Page 3 of 7
4 1830 DIVIDEND SUSTAINABILITY PORTFOLIO HIMCO PORTFOLIO 1830 DOW VALUE 10 PORTFOLIO MONUM ENT, CO 11/13/ Registered MONUM ENT, CO 11/13/ Registered 1830 ENERGY OPPORTUNITIES PORTFOLIO 1830 EUROPEAN SELECT PORTFOLIO CJL PORTFOLIO 1830 INTERNATIONAL HIGH 30 DIVIDEND PORTFOLIO 1830 MINIMUM VOLATILITY EQUITY INCOME PORTFOLIO HIMCO PORTFOLIO 1830 STRATEGIC FOUNDATIONS OF GROWTH PORTFOLIO 1830 STRATEGIC HIGH 80 DIVIDEND PORTFOLIO 1830 TACTICAL PLUS CLOSED END PORTFOLIO 15 MONTH 1831 TACTICAL INCOME CLOSED END PORTFOLIO SERIES MONUM ENT, CO 11/13/ Registered MONUM ENT, CO 11/13/ Registered MONUM ENT, CO 11/13/ Registered MONUM ENT, CO 11/13/ Registered MONUM ENT, CO 11/13/ Registered MONUM ENT, CO 11/13/ Registered MONUM ENT, CO 11/13/ Registered MONUM ENT, CO 11/13/ Registered Page 4 of 7
5 FT 6995 TECHNOLOGY SELECT PORTFOLIO SERIES 67 WHEATON, IL 11/13/ Registered FT 6996 INTERNATIONAL CAPITAL STRENGTH PORTFOLIO SERIES 36 FT 6996 SMID CAPITAL STRENGTH PORTFOLIO SERIES 36 FT 6997 EUROPEAN DEEP VALUE DIVIDEND PORTFOLIO SERIES 17 FT 6998 DEEP VALUE DIVIDEND PORTFOLIO SERIES 17 FT 6999 EQUITY INCOME SELECT PORTFOLIO SERIES 55 FT 7001 GLOBAL DIVIDEND PORTFOLIO SERIES 53 FT 7009 SABRIENT BAKERS DOZEN PORTFOLIO NOVEMBER 2017 SERIES FT 7021 LTD DURATION FIXED INCOME ETF PORTFOLIO SERIES 22 FT 7022 VALUE LINE TARGET SAFETY 30 PORTFOLIO SERIES FT 7029 CORPORATE TAX REFORM PORTFOLIO SERIES 4 FT 7034 ESG IMPACT OPPORTUNITY PORTFOLIO SERIES WHEATON, IL 11/13/ Registered WHEATON, IL 11/13/ Registered WHEATON, IL 11/13/ Registered WHEATON, IL 11/13/ Registered WHEATON, IL 11/13/ Registered WHEATON, IL 11/13/ Registered WHEATON, IL 11/13/ Registered WHEATON, IL 11/13/ Registered WHEATON, IL 11/13/ Registered WHEATON, IL 11/13/ Registered WHEATON, IL 11/13/ Registered Page 5 of 7
6 FT 7035 SMID HIGH DIVIDEND PORTFOLIO SERIES 28 WHEATON, IL 11/13/ Registered FT 7038 GLOBAL EQUITY INCOME CLOSED END PORTFOLIO SERIES 57 FT 7067 STRATEGIC INCOME ADVANTAGE SELECT CLOSED END PORTFOLIO SERIES 70 FT 7069 CORPORATE INVESTMENT GRADE PORTFOLIO 3 7 YEAR SERIES 2 WHEATON, IL 11/13/ Registered WHEATON, IL 11/13/ Registered WHEATON, IL 11/13/ Registered PORTFOLIOS SERIES 1689 ZACKS INCOME ADVANTAGE STRATEGY PORTFOLIO SERIES 40 Number of Investment Company Filings: 53 LISLE, IL 11/13/ Registered Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities ARES PCS PRIVATE INVESTORS LLC NEW YORK, NY 11/17/ Filed CAPPASITY TECHNOLOGIES INC HOUSTON, TX 11/17/ Filed CORNERSTONE METALS INC VANCOUVER, BC 11/17/ Filed JUNIPER OKC HOLDINGS LTD HOUSTON, TX 11/17/ Filed MEDICINAL GENOMICS CORP WOBURN, MA 11/17/ Filed NORENE BLANCHARD JV HALTOM CITY, TX 11/17/ Filed REVEAL GOLD INC TORONTO, M5H1J8, ON 11/17/ Filed Page 6 of 7
7 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities SMTP CO INVEST 1 LP CHICAGO, IL 11/17/ Filed TFG NG EXPO REIT LLC BOSTON, MA 11/17/ Filed WEAVER GLOBAL INDUSTRIES LLC COLLEYVILLE, TX 11/17/ Filed FRED JADE LLC MILWAUKEE, WI 11/15/ Filed RANGER ENERGY PARTNERS FUND 2 LP DENVER, CO 11/15/ Filed ONEMEDNET CORP EDEN PRAIRIE, MN Number of Regulation D Notice Filings: 13 11/14/ Filed Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date Phenix Salon Suites Franchising, LLC / Phenix Salon Suites Sushi Freak Franchise Group LLC / Sushi Freak Encinitas, CA 11/18/ Registered San Diego, CA 11/14/ Registered Inspect-It 1st, LLC Independence, OH 11/13/ Registered MMI BUSINESS BROKERS LLC / Sunbelt Business Brokers MMI-CPR, LLC / CPR - Cell Phone Repair Number of Franchise Filings: 5 INDEPENDENCE, OH 11/13/ Registered Independence, OH 11/13/ Registered Corporate Take-Over Law Filings Made with DFI s Securities Takeover Filing Reference Number of Takeover Filings: 0 Date Page 7 of 7
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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
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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
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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 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 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
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
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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
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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 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 MEAD & HUNT COMPANIES INC MIDDLETON, WI 2/3/2017
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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 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 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 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
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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 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 GRACEPOINT CHURCH BREMERTON, WA 11/1/2017 00819517-02 Pending Number of Registration Filings: 1 Securities Law Exemption Filings Made with
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Securities Law Registration Filings Made with DFI s Securities Bethel Presbyterian Church Marlborough, MA 12/12/2018 849526-02 Pending Number of Registration Filings: 1 Securities Law Exemption Filings
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