All Securities Law, Franchise Law, and Take-Over Law Filings for 10/28/2018 through 11/3/2018
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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 Number of Exemption Filings: 0 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities (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 ) Aquila Municipal Trust Aquila Narragansett Tax-Free Income Fund Class F Aquila Municipal Trust Aquila Tax- Free Fund for Utah Class F FT 7670 (Dow Target 10 Nov. '18 - Term 12/9/19) FT 7671 (Prime Income and ETF Portfolio, November 2018 Series) FT 7682 (American Agenda Portfolio, Series 7) FT 7683 (Deep Value Dividend Portfolio, Series 21) Monument, CO 11/2/ Filed Monument, CO 11/2/ Filed Monument, CO 11/2/ Filed Monument, CO 11/2/ Filed Monument, CO 11/2/ Filed New York, NY 11/2/ Filed New York, NY 11/2/ Filed Wheaton, IL 11/2/ Filed Wheaton, IL 11/2/ Filed Wheaton, IL 11/2/ Filed Wheaton, IL 11/2/ Filed Page 1 of 6
2 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities FT 7684 (Equity Income Select Portfolio, Series 59) FT 7685 (Diversified Income & Growth Portfolio, Winter 2018 Series) FT 7686 (Global Dividend Portfolio, Series 57) FT 7691 (Sabrient Rising Rate Portfolio, Series 10) FT 7694 (Election Portfolio, Series 9) FT 7706 (Capital Strength Buy- Write Portfolio, Series 42) FT 7713 (Balanced Income Equity and ETF Portfolio, Series 34) FT 7720 (Target Dividend Double Play Portfolio, Series 2) FT 7721 (Municipal Income and Dividend Growers Portfolio, Series 16) FT 7723 (Nasdaq Factor Dogs Opportunity Portfolio, Series 5) FT 7724 (ESG Impact Opportunity Portfolio, Series 5) FT 7725 (Senior Loan & Limited Duration Opportunities Closed- End Portfolio, Series 59) FT 7737 (Dividend & Income Select Closed-End Portfolio, Series 71) FT 7750 (S&P Dividend Aristocrats Buy - Write Portfolio, Series 3) Wheaton, IL 11/2/ Filed Wheaton, IL 11/2/ Filed Wheaton, IL 11/2/ Filed Wheaton, IL 11/2/ Filed Wheaton, IL 11/2/ Filed Wheaton, IL 11/2/ Filed Wheaton, IL 11/2/ Filed Wheaton, IL 11/2/ Filed Wheaton, IL 11/2/ Filed Wheaton, IL 11/2/ Filed Wheaton, IL 11/2/ Filed Wheaton, IL 11/2/ Filed Wheaton, IL 11/2/ Filed Wheaton, IL 11/2/ Filed Hawaiian Tax-Free Trust Class F New York, NY 11/2/ Filed TechSoup Global San Francisco, CA 11/2/ Filed The Cascades Trust Aquila Tax- Free Trust of Oregon Class F AMG Funds AMG TimesSquare Global Small Cap Fund Class I AMG Funds AMG TimesSquare Global Small Cap Fund Class N AMG Funds AMG TimesSquare Global Small Cap Fund Class Z New York, NY 11/2/ Filed Greenwich, CT 11/1/ Filed Greenwich, CT 11/1/ Filed Greenwich, CT 11/1/ Filed Page 2 of 6
3 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities Baird Funds Inc. Baird Small/Mid Cap Growth Fund Institutional Class Baird Funds Inc. Baird Small/Mid Cap Growth Fund Investor Class Brown Advisory Funds Brown Advisory Global Leaders Fund Institutional Class Federated Adviser Series Federated Hermes SDG Engagement Equity Fund Institutional Shares FT 7674 (Technology Dividend Opportunity Portfolio, Series 2) FT 7676 (Global Opportunistic Equity Portfolio Series) FT 7677 (U.S. Revenue Portfolio, Series 12) FT 7678 (Content Leaders Portfolio, Series 11) FT 7681 (Technology Select Portfolio, Series 71) FT 7688 (Balanced Income Portfolio, Series 64) FT 7719 (Balanced Income Opportunity Portfolio, Series 7) Smart Trust 403 (Smart Trust, Healthcare Innovations Trust, Series 6) Smart Trust 403 (Smart Trust, Technology Revolution Trust, Series 2) Smart Trust 404 (Smart Trust, CEFA Select BDC Trust, Series 14) The First Trust Combined Series 583 (Tax Exempt Municipal Income Trust, Series 304) The Lazard Funds, Inc. Lazard International Equity Value Portfolio Institutional Shares The Lazard Funds, Inc. Lazard International Equity Value Portfolio Open Shares BlackRock Multi-Sector Opportunities Trust II MILWAUKEE, WI 10/31/ Pending-Cleared MILWAUKEE, WI 10/31/ Pending-Cleared MILWAUKEE, WI 10/31/ Filed Warrendale, PA 10/31/ Filed Wheaton, IL 10/30/ Filed Wheaton, IL 10/30/ Filed Wheaton, IL 10/30/ Filed Wheaton, IL 10/30/ Filed Wheaton, IL 10/30/ Filed Wheaton, IL 10/30/ Filed Wheaton, IL 10/30/ Filed Parsippany, NJ 10/30/ Pending-Cleared Parsippany, NJ 10/30/ Filed Parsippany, NJ 10/30/ Filed Wheaton, IL 10/30/ Filed New York, NY 10/30/ Filed New York, NY 10/30/ Filed Wilmington, DE 10/29/ Filed Page 3 of 6
4 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities Fidelity Rutland Square Trust II Strategic Advisers Fidelity Emerging Markets Fund Strategic Advisers Fidelity Emerging Markets Fund Series 1823 (US Low Volatility Strategy Portfolio, Series 25) Series 1824 (Infrastructure & MLP Portfolio of CEFs, Series 36) Series 1824 (National Municipal Portfolio of CEFs, Series 40) Series 1824 (Senior Loan & Income portfolio of CEFs, Series 35) JPMorgan Trust I JPMorgan High Yield Municipal Fund Class R6 Shares The Alger Funds Alger 25 Fund Class P-2 Shares The Alger Funds Alger 35 Fund Class P-2 Shares Number of Investment Company Filings: 57 Boston, MA 10/29/ Filed Chicago, IL 10/29/ Filed Chicago, IL 10/29/ Filed Chicago, IL 10/29/ Filed Chicago, IL 10/29/ Filed New York, NY 10/29/ Filed New York, NY 10/29/ Filed New York, NY 10/29/ Filed Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities 37P - Presidio LLC Richmond, VA 11/2/ Filed Acadian China A Shares Equity Fund, LLC Bridge Debt Strategies Fund III International LP Certeza Tactical Volatility Fund, LLC Boston, MA 11/2/ Filed Sandy, UT 11/2/ Filed Logan, UT 11/2/ Filed CJM Realty Fund LLC Chicago, IL 11/2/ Filed CNote Group, Inc. Oakland, CA 11/2/ Filed CS1031 Old Towne Loft Apartments, DST Glen Allen, VA 11/2/ Filed Decathlon Alpha IV, L.P. Park City, UT 11/2/ Filed EatStreet, Inc. Madison, WI 11/2/ Filed Page 4 of 6
5 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities Farol Fund II, LP New York, NY 11/2/ Filed FDS EMC II, LLC Rosslyn, VA 11/2/ Filed Florida Multifamily Portfolio II DST Hinsdale, IL 11/2/ Filed Great Point Partners III, L.P. Greenwich, CT 11/2/ Filed Invenra Inc. Madison, WI 11/2/ Filed L2 Summit Fund, L.P. Boston, MA 11/2/ Filed March Capital Opportunity Fund III, LP San Francisco, CA 11/2/ Filed MLG Private Fund IV LLC Brookfield, WI 11/2/ Filed Morpheus 1020 LLC Tempe, AZ 11/2/ Filed RealtyShares 389, LLC Lewes, DE 11/2/ Filed Red Dot Holdings III, LP Louisville, CO 11/2/ Filed Select Royalty Fund 5, LP Frisco, TX 11/2/ Filed Select Royalty Fund 6, LP Frisco, TX 11/2/ Filed Socotra Fund LLC Sacramento, CA 11/2/ Filed Taproom Social Clt LLC Charlotte, NC 11/2/ Filed Tides on Mill Manager, LLC Los Angeles, CA 11/2/ Filed Vascular Therapies Inc Cresskill, NJ 11/2/ Filed Youngevity International, Inc. Chula Vista, CA 11/2/ Filed Number of Regulation D Notice Filings: 27 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date Tommy's Express, LLC / Tommy's Express Car Wash Learning Express, Inc. / Learning Express Holland, MI 11/2/ Registered Devens, MA 11/2/ Registered ASI Sign Systems, Inc. / ASI Irving, TX 11/1/ Registered Creative Colors International, Inc. / Creative Colors International Mokena, IL 11/1/ Registered Bumper Man, Inc. / Bumper Man Mesquite, TX 11/1/ Registered HNJ Franchise Inc. / "HNJ" and "Hot n Juicy Crawfish" Magnolia Bakery International, LLC / Magnolia Bakery Grand Prairie, TX 10/31/ Registered New York, NY 10/31/ Registered Page 5 of 6
6 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date American Decorative Coatings, LLC / Concrete Craft Jamba Juice Franchisor SPV LLC / Jamba Juice ARTHUR MURRAY INTERNATIONAL, INC / Arthur Murray Dance Studio The Barbers, Hairstyling for Men & Women, Inc. / Smartstyle Roosters MGC International, LLC / Roosters Men's Grooming Center The Barbers, Hairstyling for Men & Women, Inc. / Cost Cutters Irvine, CA 10/31/ Registered Atlanta, GA 10/30/ Registered CORAL GABLES, FL 10/30/ Registered Minneapolis, MN 10/30/ Registered Minneapolis, MN 10/30/ Registered Minneapolis, MN 10/29/ Registered Supercuts, Inc. / Supercuts Minneapolis, MN 10/29/ Registered Number of Franchise Filings: 14 Page 6 of 6
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
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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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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
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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 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 Number of Registration Filings: 0 KNIGHTSCOPE INC Securities Law Exemption Filings Made with DFI s Securities Number of 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 Number of Exemption Filings: 0 FT 7689 (Preferred
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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
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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 Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities Hayes Brokerage Opportunity Fund #1, LLC Number
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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 FUNDRISE GROWTH EREIT 2, DC 8/23/2018 00845559-25
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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 Bethel Presbyterian Church Marlborough, MA 12/12/2018 849526-02 Pending Number of Registration Filings: 1 Securities Law Exemption Filings
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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 11/12/2017 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
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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 SIERRA INCOME CORP NEW YORK, NY 9/24/2018 848612-08
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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 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 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 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
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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 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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