All Securities Law, Franchise Law, and Take-Over Law Filings for 8/19/2018 through 8/25/2018
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- Amice Merritt
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1 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/ Filed FUNDRISE INCOME EREIT 2 RED OAK CAPITAL FUND 2, DC GRAND RAPIDS, MI 8/23/ Filed 8/23/ Filed Number of Exemption Filings: 3 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities DEUTSCHE DWS INTERNATIONAL FUND INC DWS EMERGING MARKETS EQUITY FUND CLASS R6 SHARES FT 7507 CORE HOLDINGS GROWTH TR FALL 2018 SERIES CHICAGO, IL 8/24/ Registered WHEATON, IL 8/24/ Registered FT 7525 CLOUD COMPUTING PORTFOLIO SERIES 22 FT 7537 STRATEGIC INCOME CLOSED END PORTFOLIO SERIES 68 FT 7538 LTD DURATION FIXED INCOME ETF PORTFOLIO SERIES 26 FT 7539 CYBERSECURITY PORTFOLIO SERIES 13 WHEATON, IL 8/24/ Registered WHEATON, IL 8/24/ Pending-Cleared WHEATON, IL 8/24/ Registered WHEATON, IL 8/24/ Registered Page 1 of 6
2 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities FT 7547 MUNICIPAL INCOME & DIVIDEND GROWERS PORTFOLIO SERIES 15 WHEATON, IL 8/24/ Registered FT 7549 CAPITAL STRENGTH OPPORTUNITY PORTFOLIO SERIES 6 FT 7550 SABRIENT DEFENSIVE EQUITY PORTFOLIO SERIES 17 FT 7597 ALTERNATIVE INCOME PORTFOLIO SERIES 29 WHEATON, IL 8/24/ Registered WHEATON, IL 8/24/ Registered WHEATON, IL 8/24/ Registered ALTERNATIVES FUND DEFENSIVE BOND FUND GLOBAL INCOME FUND INTERNATIONAL EQUITY FUND 8/24/ Registered 8/24/ Registered 8/24/ Registered 8/24/ Registered MULTISECTOR BOND FUND 8/24/ Registered MUNICIPAL BOND FUND TOTAL RETURN BOND FUND 8/24/ Registered 8/24/ Registered Page 2 of 6
3 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities UNCONSTRAINED ALLOCATION FUND All Securities Law, Franchise Law, and Take-Over Law Filings 8/24/ Registered US EQUITY FUND 8/24/ Registered ADVISORS DISCIPLINED TR 1901 NEXT GEN ESG STRATEGY PORTFOLIO SERIES Q HARTFORD INVT MNGMT CMPY HIMCO PORTFOLIO PORTFOLIOS SERIES 1795 LARGE CAP CORE PORTFOLIO SERIES 34 PORTFOLIOS SERIES 1795 NDR THEMATIC OPPORTUNITIES PORTFOLIO SERIES 5 PORTFOLIOS SERIES 1796 TOTAL INCOME PORTFOLIO SERIES 14 INVESTMENT MANAGERS SERIES TR AAM PHOCAS REAL ESTATE FUND CLASS A INVESTMENT MANAGERS SERIES TR AAM PHOCAS REAL ESTATE FUND CLASS I 1ST TR COMBINED SERIES 580 INVESTMENT GRADE MULTI ASSET INCOME PORTFOLIO YEAR SERIES 38 FT 7504 FINANCIALS SELECT PORTFOLIO SERIES 65 FT 7505 UTILITIES SELECT PORTFOLIO SERIES 48 MONUMENT, CO 8/23/ Registered CHICAGO, IL 8/23/ Registered CHICAGO, IL 8/23/ Registered CHICAGO, IL 8/23/ Registered MILWAUKEE, WI 8/23/ Registered MILWAUKEE, WI 8/23/ Registered WHEATON, IL 8/20/ Registered WHEATON, IL 8/20/ Registered WHEATON, IL 8/20/ Registered Page 3 of 6
4 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities FT 7530 TECHNOLOGY DIVIDEND OPPORTUNITY PORTFOLIO SERIES All Securities Law, Franchise Law, and Take-Over Law Filings WHEATON, IL 8/20/ Registered FT 7536 TACTICAL INCOME OPPORTUNITY PORTFOLIO SERIES 6 FT 7540 DEFENSIVE EQUITY PORTFOLIO SERIES 46 FT 7548 BANKING OPPORTUNITY PORTFOLIO SERIES 31 FT 7572 IMAGINE 2025 PORTFOLIO SERIES FT 7595 DIVIDEND & INCOME SELECT CLOSED END PORTFOLIO SERIES 69 FT 7596 MUNICIPAL INCOME SELECT CLOSED END PORTFOLIO SERIES 97 PORTFOLIOS SERIES 1793 GUGGENHEIM EMERGING MARKETS DIVIDEND STRATEGY PORTFOLIO SERIES 27 PORTFOLIOS SERIES 1793 UNDERVALUED TOP PICKS PORTFOLIO SERIES 18 PORTFOLIOS SERIES 1794 DIVIDEND STRENGTH PORTFOLIO SERIES 31 SMART TR 395 SMART TR TAX ADVANTAGED GROWTH & INCOME SERIES 17 WHEATON, IL 8/20/ Registered WHEATON, IL 8/20/ Registered WHEATON, IL 8/20/ Registered WHEATON, IL 8/20/ Registered WHEATON, IL 8/20/ Registered WHEATON, IL 8/20/ Registered CHICAGO, IL 8/20/ Registered CHICAGO, IL 8/20/ Registered CHICAGO, IL 8/20/ Registered PARSIPPANY, NY 8/20/ Registered Number of Investment Company Filings: 39 Page 4 of 6
5 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities 7272 MARVIN D LOVE NEW YORK, NY 8/24/ Filed ALLIANCE ENERGY FUND 2018 A LP OVERLAND PARK, KS 8/24/ Filed CAPILLARY BIOMEDICAL INC IRVINE, CA 8/24/ Filed CHOICE ENERGY HOLDINGS 2 DOVER, DE 8/24/ Filed CPI MEDICAL FUND 1 DIGITAL ALLOYS INC HACKENSACK, NJ BURLINGTON, MA 8/24/ Filed 8/24/ Filed HEALTHMYNE INC MADISON, WI 8/24/ Filed HEDGE PREMIER PALOMA PARTNERS LP HEDGEPREMIER RIEF FUND LP HOLOCENE ADVISORS FUND LP LEP 16 PRIVATE INVESTORS MIDWEST MEZZANINE FUND 6 SBIC LP NEOPHARM 3 SERIES SEPARATE SERIES OF GRANITE HALL MASTER FUND SERIES NEW YORK, NY 8/24/ Filed NEW YORK, NY 8/24/ Filed NEW YORK, NY 8/24/ Filed NEW YORK, NY 8/24/ Filed CHICAGO, IL 8/24/ Filed CHICAGO, IL 8/24/ Filed POINTER OFFSHORE LTD CHATTANOOGA, TN 8/24/ Filed REALTYSHARES 323 LEWES, DE 8/24/ Filed ROCKSTEP JANESVILLE MADISON, WI 8/24/ Filed SIFT MEDICAL DATA INC MILWAUKEE, WI 8/24/ Filed Page 5 of 6
6 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities SUMLIN 3D JOINT VENTURE SAN ANTONIO, TX 8/24/ Filed TWIN PEAKS HELIUM LP BOULDER, CO 8/24/ Filed VIEWSPARK INC CARLSBAD, CA 8/24/ Filed VILLAGE CENTER MONONA, WI 8/24/ Filed EWM ALTERNATIVE INVESTMENTS SPV SERIES 6 MRI APPLETON, WI 8/23/ Filed Number of Regulation D Notice Filings: 22 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date Goldfish Swim School Franchising, / Goldfish Swim School U-Swirl International, Inc. / U- Swirl Frozen Yogurt, U-Swirl-N- Go, Yogurtini, Aspen Leaf, CherryBerry, Yogli Mogli, Let's Yo!, Fuzzy Peach Sky High Sports Network / Sky High Sports BeaverTails USA Inc. / BeaverTails EK Franchising Company / Engineering for Kids SmallBizPros, Inc. d/b/a Padgett Business Services / Padgett Business Services Number of Franchise Filings: 6 Troy, MI 8/24/ Registered Durango, CO 8/23/ Registered Portland, OR 8/23/ Registered Wilmington, DE 8/21/ Registered Fredericksburg, VA 8/20/ Registered Athens, GA 8/20/ Registered Corporate Take-Over Law Filings Made with DFI s Securities Takeover Filing Reference Number of Takeover Filings: 0 Date Page 6 of 6
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 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 11/26/2017 through 12/2/2017
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
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
All Securities Law, Franchise Law, and Take-Over Law Filings for 2/12/2017 through 2/18/2017
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,
All Securities Law, Franchise Law, and Take-Over Law Filings for 5/20/2018 through 5/26/2018
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 11/12/2017 through 11/18/2017
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
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
All Securities Law, Franchise Law, and Take-Over Law Filings for 10/28/2018 through 11/3/2018
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 6/10/2018 through 6/16/2018
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 8/5/2018 through 8/11/2018
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
All Securities Law, Franchise Law, and Take-Over Law Filings for 1/28/2018 through 2/3/2018
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
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 12/9/2018 through 12/15/2018
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
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 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 8/27/2017 through 9/2/2017
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
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 8/6/2017 through 8/12/2017
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
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 9/23/2018 through 9/29/2018
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 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 12/2/2018 through 12/8/2018
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 FT 7689 (Preferred
All Securities Law, Franchise Law, and Take-Over Law Filings for 11/25/2018 through 12/1/2018
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 7/1/2018 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
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 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 1/7/2018 through 1/13/2018
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
All Securities Law, Franchise Law, and Take-Over Law Filings for 5/14/2017 through 5/20/2017
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,
All Securities Law, Franchise Law, and Take-Over Law Filings for 2/4/2018 through 2/10/2018
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
All Securities Law, Franchise Law, and Take-Over Law Filings for 8/26/2018 through 9/1/2018
Securities Law Registration Filings Made with DFI s Securities OFI RLYLE PRIVATE CREDIT FUND CLASS I CENTENNIAL, CO 8/29/2018 00845871-01 Registered OFI RLYLE PRIVATE CREDIT FUND CLASS L OFI RLYLE PRIVATE
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