All Securities Law, Franchise Law, and Take-Over Law Filings for 12/2/2018 through 12/8/2018
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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 FT 7689 (Preferred Income Portfolio, Series 97) FT 7710 (Dow Target 10 Dec. '18 - Term 1/9/20) FT 7716 (AQA Large-Cap Portfolio Series) FT 7722 (Corporate Investment Grade Portfolio, 3-7 Year, Series 6) FT 7733 (Dividend Strength Opportunity Portfolio, Series 7) FT 7736 (Water Utility & Infrastructure Select Portfolio, Series 52) FT 7738 (Biotechnology Portfolio, Series 43) FT 7740 (High Dividend Equity Allocation Portfolio, Series 30) FT 7741 (REIT Growth & Income Select Portfolio, Series 48) FT 7742 (Strategic Dividend Select Portfolio, Series 35) FT 7746 (Market Strength Allocation Select Portfolio, Series 34) FT 7747 (Balanced Income Equity and ETF Opportunity Portfolio, Series 7) FT 7749 (Strategic Income Select Closed-End Portfolio, Series 37) Wheaton, IL 12/6/ Filed Wheaton, IL 12/6/ Filed Wheaton, IL 12/6/ Filed Wheaton, IL 12/6/ Filed Wheaton, IL 12/6/ Filed Wheaton, IL 12/6/ Filed Wheaton, IL 12/6/ Filed Wheaton, IL 12/6/ Filed Wheaton, IL 12/6/ Filed Wheaton, IL 12/6/ Filed Wheaton, IL 12/6/ Filed Wheaton, IL 12/6/ Filed Wheaton, IL 12/6/ Filed Page 1 of 7
2 FT 7751 (Dorsey Wright Relatvie Strength Dividend Portfolio, Series 33) FT 7752 (Equity Closed-End Portfolio, Series 51) FT 7753 (Content Leaders Opportunity Portfolio, Series 10) FT 7754 (Financials Opportunity Portfolio, Series 4) FT 7755 (International Capital Strength Opportunity Portfolio, Series 7) FT 7755 (SMid Capital Strength Opportunity Portfolio, Series 7) FT 7756 (Tactical Alpha Portfolio, Series 19) FT 7757 (Low Volatility Portfolio, Series 14) FT 7758 (Tactical Income Portfolio, Series 55) FT 7760 (Richard Bernstein Advisors Tactical Series, American Industrial Renaissance, ) FT 7761 (Aerospace & Defense Portfolio, Series 23) FT 7762 (Innovative Technology Portfolio, Series 21) FT 7763 (Mega-Cap Portfolio, Series 51) FT 7765 (Dow Jones Global Titans Portfolio, Series 26) FT 7767 (Interest Rate Hedge and ETF Portfolio, Series 23) FT 7772 (Municipal Advantage Closed-End and ETF Portfolio, Series 51) FT 7779 (Balanced Income Opportunity Portfolio, Series 8) FT 7781 (Alternative Income Portfolio, Series 31) All Securities Law, Franchise Law, and Take-Over Law Filings FT 7791 (Strategic Income Advantage Select, Closed-End Portfolio, Series 80) FT 7795 (Tax-Advantaged Municipal Closed-End Portfolio, Series 55) Wheaton, IL 12/6/ Filed Wheaton, IL 12/6/ Filed Wheaton, IL 12/6/ Filed Wheaton, IL 12/6/ Filed Wheaton, IL 12/6/ Filed Wheaton, IL 12/6/ Filed Wheaton, IL 12/6/ Filed Wheaton, IL 12/6/ Filed Wheaton, IL 12/6/ Filed Wheaton, IL 12/6/ Filed Wheaton, IL 12/6/ Filed Wheaton, IL 12/6/ Filed Wheaton, IL 12/6/ Filed Wheaton, IL 12/6/ Filed Wheaton, IL 12/6/ Filed Wheaton, IL 12/6/ Filed Wheaton, IL 12/6/ Filed Wheaton, IL 12/6/ Filed Wheaton, IL 12/6/ Filed Wheaton, IL 12/6/ Filed Page 2 of 7
3 Artisan Partners Funds, Inc. Artisan International Small-Mid Fund Advisor Shares CION Ares Diversified Credit Fund, Class W Shares All Securities Law, Franchise Law, and Take-Over Law Filings FundVantage Trust Gotham Enhanced S&P 500 Index Fund Institutional Class Shares FundVantage Trust Gotham Total Return Fund Investor Class Shares The Integrity Funds, Integrity Growth & Income Fund, Class I Guggenheim Funds Trust Guggenheim Ultra Short Duration Fund A Class Guggenheim Funds Trust Guggenheim Ultra Short Duration Fund Institutional Class Fund Class A Fund Class C Fund Class I Fund Class R6 Wells Fargo Funds Trust Wells Fargo Alternative Risk Premia Fund Class R6 Wells Fargo Funds Trust Wells Fargo Alternative Risk Premia Fund Institutional Class Williamsburg Investment Trust FBP Appreciation & Income Opportunities Fund Advisors Disciplined Trust 1906 (Building America Strategy Advisors Disciplined Trust 1906 (Core Angels Portfolio, Series ) Milwaukee, WI 12/5/ Pending-Cleared New York, NY 12/5/ Filed Wilmington, DE 12/5/ Filed Wilmington, DE 12/5/ Filed Minot, ND 12/5/ Filed Rockville, MD 12/4/ Pending-Cleared Rockville, MD 12/4/ Pending-Cleared Greenfield, MA 12/4/ Filed Greenfield, MA 12/4/ Filed Greenfield, MA 12/4/ Filed Greenfield, MA 12/4/ Filed San Francisco, CA 12/4/ Filed San Francisco, CA 12/4/ Filed Cincinnati, OH 12/4/ Filed Monument, CO 12/3/ Filed Monument, CO 12/3/ Filed Page 3 of 7
4 Advisors Disciplined Trust 1906 (Ubiquitous Opportunities Portfolio, Series ) (American Renaissance Portfolio, Series A Cyrus J. Lawrence LLC ("CJL") Portfolio) (Business Development Company Opportunities Portfolio, Series ) (Cohen & Steers Convertible and Income Closed-End Portfolio, Series ) (Cohen & Steers MLP, Midstream & Energy Income Closed-End Portfolio, Series ) (Cohen & Steers Municipal Closed-End Portfolio, Series ) (Cohen & Steers Senior Variable Rate and Income Closed-End (Global Basic Materials Portfolio, Series ) (Health Care Opportunities (Small/Mid-Cap Advantage Advisors Disciplined Trust 1923 (Kames Sustainable Equity Portfolio, Series Q) Advisors Series Trust, PIA High Yield (MACS) Fund Columbia Funds Series Trust I Columbia Ultra Short Term Bond Fund Advisor Columbia Funds Series Trust I Columbia Ultra Short Term Bond Fund Insitutional Monument, CO 12/3/ Filed Monument, CO 12/3/ Filed Monument, CO 12/3/ Filed Monument, CO 12/3/ Filed Monument, CO 12/3/ Filed Monument, CO 12/3/ Filed Monument, CO 12/3/ Filed Monument, CO 12/3/ Filed Monument, CO 12/3/ Pending-Cleared Monument, CO 12/3/ Filed Monument, CO 12/3/ Filed Milwaukee, WI 12/3/ Filed Boston, MA 12/3/ Filed Boston, MA 12/3/ Filed Page 4 of 7
5 Class A Class C Class I Class M Class Z Series 1834 (Discount Opportunity Strategy Portfolio of CEFs, Series 15) Series 1834 (Equity & Income Portfolio of CEFs, Series 45) Series 1835 (covered Call & Income Portfolio of CEFs, Series 42) Series 1836 (Income & Treasury Limited Duration Portfolio of Funds, Series 58) Series 1837 (Diversified Income Wave Portfolio, Series 71) Managed Account Series BlackRock GA Disciplined Volatility Equity Fund Insitutional Managed Account Series BlackRock GA Enhanced Equity Fund Institutional Boston, MA 12/3/ Filed Boston, MA 12/3/ Filed Boston, MA 12/3/ Filed Boston, MA 12/3/ Filed Boston, MA 12/3/ Filed Chicago, IL 12/3/ Filed Chicago, IL 12/3/ Filed Chicago, IL 12/3/ Filed Chicago, IL 12/3/ Filed Chicago, IL 12/3/ Filed Wilmington, DE 12/3/ Filed Wilmington, DE 12/3/ Filed Page 5 of 7
6 Northern Lights Fund Trust Ascendant Tactical Yield Fund Class I Shelton Funds Nasdaq-100 Index Fund K Shares Shelton Funds S&P 500 Index Fund Direct Shares Number of Investment Company Filings: 78 Omaha, NE 12/3/ Filed Denver, CO 12/3/ Filed Denver, CO 12/3/ Filed Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities Boise Downtown Lodging Associates, LLC Middleton, WI 12/6/ Filed Authorized Luxury Group, Inc. Newark, NJ 12/5/ Filed CPG Vintage Access Fund II, LLC New York, NY 12/5/ Filed FMR LLC Boston, MA 12/5/ Filed GLL Health Sciences Fund, LLC Chicago, IL 12/5/ Filed Golf Life Enterprises, LLC Naples, FL 12/5/ Filed Hudson Capital LLC Fe Warren Afb, WY 12/5/ Filed LeaseLock, Inc. Marina Dl Rey, CA 12/5/ Filed Paperg, Inc San Francisco, CA 12/5/ Filed Parkside Covered Call Fund, LP Bannockburn, IL 12/5/ Filed Shorenstein Realty Investors Twelve, L.P. San Francisco, CA 12/5/ Filed Spendindie, Inc. Raleigh, NC 12/5/ Filed Staton Techiya, LLC Delray Beach, FL 12/5/ Filed Titan Spine, Inc. Mequon, WI 12/5/ Filed Treyburn Project, LLC Durham, NC 12/5/ Filed Whizdotai, Inc. Edison, NJ 12/5/ Filed Number of Regulation D Notice Filings: 16 Page 6 of 7
7 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date The Maids International, Inc. / The Maids Challenge Island Global, LLC / Challenge Island OFW Brands LLC / Patrick Walters Omaha, NE 12/6/ Registered Marietta, GA 12/5/ Registered Waukesha, WI 12/4/ Registered Frontier Adjusters, Inc. Phoenix, AZ 12/3/ Registered MMI-CPR, LLC / Cell Phone Repair (Area Rep) All Securities Law, Franchise Law, and Take-Over Law Filings Number of Franchise Filings: 5 Independence, OH 12/3/ Registered Page 7 of 7
All Securities Law, Franchise Law, and Take-Over Law Filings for 11/12/2017 through 11/18/2017
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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 Number of Exemption Filings: 0 Securities Law
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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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