All Securities Law, Franchise Law, and Take-Over Law Filings for 1/15/2017 through 1/21/2017
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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 RED RIBBON RANCH LLC LA CANADA, CA 1/20/ Not Disallowed Number of Exemption Filings: 1 AMG FUNDS AMG TIMESSQUARE EMERGING MARKETS SMALL CAP FUND CLASS Z GREENWICH, CT 1/20/ Registered FEDERATED EQUITY FUNDS FEDERATED INTERNATIONAL STRATEGIC VALUE DIVIDEND FUND CLASS R6 SHARES 1/20/ Registered FEDERATED FIXED INCOME SECURITIES INC FEDERATED STRATEGIC INCOME FUND CLASS R6 SHARES 1/20/ Registered FEDERATED HIGH INCOME BOND FUND INC CLASS R6 SHARES 1/20/ Registered FEDERATED HIGH INCOME BOND FUND INC INSTITUTIONAL SHARES 1/20/ Registered FT 6444 INTERNATIONAL CAPITAL STRENGTH PORTFOLIO SERIES 32 WHEATON, IL 1/20/ Registered Page 1 of 7
2 FT 6444 SMID CAPITAL STRENGTH PORTFOLIO SERIES 32 All Securities Law, Franchise Law, and Take-Over Law Filings WHEATON, IL 1/20/ Registered FT 6446 ENERGY SELECT PORTFOLIO SERIES 62 FT 6480 ETF GROWTH & INCOME JAN 17 FT 6522 SENIOR LOAN & LTD DURATION CLOSED END PORTFOLIO SERIES 71 SMART TR 293 SMART TR ZACKS GARP COMPOSITE 35 TR SERIES 12 SMART TR 294 SMART TR SMART 10 TR SERIES 7 1ST TR COMBINED SERIES 548 TX EX MUNICIL INCOME TR SERIES 297 1ST TR COMBINED SERIES 549 TX EX MUNICIL INCOME TR YEAR SERIES 29 FENIMORE ASSET MANAGEMENT TR FAM VALUE FUND INSTITUTIONAL CLASS FT 6443 US ENERGY INDEPENDENCE PORTFOLIO SERIES 14 FT 6478 SENIOR LOAN & DIVIDEND GROWERS PORTFOLIO SERIES 12 FT 6484 STRATEGIC INCOME ADVANTAGE SELECT CLOSED END PORTFOLIO SERIES 63 FT 6487 ELECTION PORTFOLIO 2016 SERIES 2 WHEATON, IL 1/20/ Pending-Cleared WHEATON, IL 1/20/ Pending-Cleared WHEATON, IL 1/20/ Registered RSIPNY, NJ 1/20/ Registered RSIPNY, NJ 1/20/ Registered WHEATON, IL 1/19/ Registered WHEATON, IL 1/19/ Registered COBLESKILL, NY 1/19/ Registered WHEATON, IL 1/19/ Registered WHEATON, IL 1/19/ Pending-Cleared WHEATON, IL 1/19/ Registered WHEATON, IL 1/19/ Registered Page 2 of 7
3 FT 6527 MUNICIL INCOME SELECT CLOSED END PORTFOLIO SERIES 83 WHEATON, IL 1/19/ Registered FT 6442 BALANCED INCOME SELECT PORTFOLIO SERIES 64 FT 6464 CAPITAL STRENGTH BUY WRITE PORTFOLIO SERIES 30 FT 6471 INFLATION HEDGE OPPORTUNITY PORTFOLIO SERIES 32 GUGGENHEIM DEFINED PORTFOLIOS SERIES 1575 SMID DIVIDEND STRENGTH PORTFOLIO SERIES 7 NORTHERN LIGHTS FUND TR 2 NORTH STAR MICRO CAP FUND CLASS I SHARES NUVEEN UNIT INVESTMENT TR SERIES 181 NUVEEN ARGUS MODERN INNOVATORS PORTFOLIO 1Q 2017 SMART TR 291 SMART TR NASDAQ INTERNATIONAL DIVIDEND ACHIEVERS INDEX TR SERIES 10 SMART TR 292 SMART TR DEFENSIVE 50 EQUITIES TR SERIES DIVIDEND RULER COVERED CALL PORTFOLIO SERIES Q 1763 ANGELS PORTFOLIO SERIES Q WHEATON, IL 1/18/ Registered WHEATON, IL 1/18/ Registered WHEATON, IL 1/18/ Registered LISLE, IL 1/18/ Registered HAUPUGE, NY 1/18/ Registered CHICAGO, IL 1/18/ Registered RSIPNY, NJ 1/18/ Registered RSIPNY, NJ 1/18/ Registered MONUMENT, CO 1/17/ Registered MONUMENT, CO 1/17/ Registered Page 3 of 7
4 1763 BEST IDEAS STRATEGY PORTFOLIO SERIES Q HIMCO PORTFOLIO MONUMENT, CO 1/17/ Registered 1763 BRAND FAVORITES FOCUS PORTFOLIO SERIES Q 1763 BULLDOG PORTFOLIO SERIES Q CJL PORTFOLIO 1763 GLOBAL DIVIDEND STRATEGY PORTFOLIO SERIES Q HIMCO PORTFOLIO 1763 NASDAQ Q 50 INDEXSM PORTFOLIO SERIES Q 1763 STRATEGIC HIGH 50 Q 50 DIVIDEND & GROWTH PORTFOLIO SERIES Q 1764 DIVIDEND RULER PORTFOLIO SERIES 2017 A MONUMENT, CO 1/17/ Registered MONUMENT, CO 1/17/ Registered MONUMENT, CO 1/17/ Registered MONUMENT, CO 1/17/ Registered MONUMENT, CO 1/17/ Registered MONUMENT, CO 1/17/ Registered INFLATION HEDGE PORTFOLIO /17/ Pending-Cleared 1/17/ Pending-Cleared 1740 PREFERRED OPPORTUNITY PORTFOLIO /17/ Pending-Cleared 1741 GLOBAL HIGH DIVIDEND PORTFOLIO /17/ Pending-Cleared Page 4 of 7
5 INVESCO UNIT TR TAXABLE INCOME SERIES 592 INVESTMENT GRADE INCOME TR 20 PLUS YEAR SERIES 73 1/17/ Pending-Cleared INVESCO UNIT TR TAXABLE INCOME SERIES 593 INVESTMENT GRADE INCOME TR YEAR SERIES 66 1/17/ Pending-Cleared INVESCO UNIT TR TAXABLE INCOME SERIES 594 HIGH YIELD CORPORATE TR 4 7 YEAR SERIES 11 1/17/ Pending-Cleared INVESTMENT MANAGERS SERIES TR ZACKS DIVIDEND FUND INSTITUTIONAL CLASS SHARES Number of Investment Company Filings: 45 MILWAUKEE, WI 1/17/ Pending-Cleared Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities CAPE ANN GLOBAL DEVELOPING MARKETS FUND GROTON, MA 1/20/ Filed CRESCENT 7 MEZZANINE FUND OFFSHORE LP NEW YORK, NY 1/20/ Filed CUE BIOPHARMA INC CAMBRIDGE, MA 1/20/ Filed FETCH REWARDS INC MADISON, WI 1/20/ Filed GOBI CONCENTRATED RTNERS LP SAN FRANCISCO, CA 1/20/ Filed GROCERKEY INC MADISON, WI 1/20/ Filed HOVER INC IDSC BLOCKER CORP SAN FRANCISCO, CA SAN FRANCISCO, CA 1/20/ Filed 1/20/ Filed Page 5 of 7
6 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities INPOINT COMMERCIAL REAL ESTATE INCOME INC OAK BROOK, IL 1/20/ Filed IRONWOOD MEZZANINE FUND 4 LP AVON, CT 1/20/ Filed LRAF HOLDINGS 4 LP SIMSBURY, CT 1/20/ Filed MARSHALL WACE FUNDS LP MW JAN MARKET NEUTRAL US FUND 2 GEORGE TOWN, AA 1/20/ Filed MDS 2017 MARCELLUS SHALE DEVELOPMENT LP PEAK ROCK CAPITAL CREDIT FUND 2 LP PEAK ROCK CAPITAL FUND 2 LP KITTANNING, 1/20/ Filed AUSTIN, TX 1/20/ Filed AUSTIN, TX 1/20/ Filed PREMIER PHARMA 1 LP NEW YORK, NY 1/20/ Filed PRIVATE ADVISORS SMALL CO PRIVATE EQUITY FUND 7 LP RICHMOND, VA 1/20/ Filed ROYALE ENERGY INC EL CAJON, CA 1/20/ Filed SAVILE ROW FINANCIALS HEDGED EQUITY FUND M LLC CARMEL, IN 1/20/ Filed TRANSPLANT GENOMICS INC MANSFIELD, MA 1/20/ Filed BGC SNO LLC RIPOSTE GLOBAL OPPORTUNITY FUND LP GRAND RAPIDS, MI 1/19/ Filed NEW YORK, NY 1/19/ Filed CWS SAF 9 QI LLC NEWPORT BEACH, CA 1/18/ Filed ECLIPSE FUND 2 LP LO ALTO, CA 1/18/ Filed NY LIFE INSURANCE CO NEW YORK, NY 1/18/ Filed Page 6 of 7
7 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities INCREASE BEVERAGE INTL INC MANITOWOC, WI 1/17/ Filed PROPRIETORS CAPITAL HOLDINGS LLC ST. UL, MN 1/17/ Filed Number of Regulation D Notice Filings: 27 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date Next Step Franchising, Inc. / Lapels Dry Cleaning Smoke's Poutinerie US Franchising Inc. / SMOKE'S POUTINERIE THE HBH FRANCHISE COMNY, LLC / HoneyBaked Ham and The HoneyBaked Ham and Cafe Co. ANNEX BRANDS INC / Annex Brands Retail Centers ATWORK FRANCHISE INC Hanover, MA 1/20/ Registered Ajax, ON 1/20/ Registered Alphretta, GA 1/20/ Registered SAN DIEGO, CA 1/19/ Registered Knoxville, TN 1/19/ Registered TCBY Systems, LLC / TCBY Broomfield, CO 1/19/ Registered Mrs. Fields Franchising, LLC / Mrs. Fields Broomfield, CO 1/19/ Registered MATCAL INC / Wings Over Westfield, MA 1/17/ Registered Mission Coffee House, LLC Plover, WI 1/17/ Registered Storm Guard Franchise Systems, LLC / Storm Guard Number of Franchise Filings: 10 Fort Worth, TX 1/15/ Registered Corporate Take-Over Law Filings Made with DFI s Securities Takeover Filing Reference Number of Takeover Filings: 0 Date Page 7 of 7
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
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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 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 1/28/2018 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 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 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 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 1/29/2017 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
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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 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 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
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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
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 SIERRA INCOME CORP NEW YORK, NY 9/24/2018 848612-08
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
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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 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 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 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 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 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 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 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 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 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 HEDGE FUND GUIDED PORTFOLIO SOLUTION Number of Registration Filings: 1 CHICAGO, IL 7/13/2018 00842088-01 Pending-Cleared 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 Number of Exemption Filings: 0 Securities Law
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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 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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