All Securities Law, Franchise Law, and Take-Over Law Filings for 1/7/2018 through 1/13/2018

Transcription

1 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/ Registered 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 INVESCO UNIT TR MUNICIPAL SERIES 1312 INVESTMENT GRADE MUNICIPAL TR YEAR SERIES 16 1/11/ Pending-Cleared BALANCED DIVIDEND SUSTAINABILITY & INCOME PORTFOLIO /11/ Pending-Cleared 1/11/ Pending-Cleared 1844 CLOSED END STRATEGY DISCOUNT OPPORTUNITY PORTFOLIO /11/ Pending-Cleared 1845 INFLATION HEDGE PORTFOLIO /11/ Pending-Cleared /11/ Pending-Cleared 1/11/ Pending-Cleared Page 1 of 6

2 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities MORGAN STANLEY PORTFOLIOS SERIES 19 NUVEENS BOB DOLL 2018 EQUITY OUTLOOK PORTFOLIO All Securities Law, Franchise Law, and Take-Over Law Filings PURCHASE, NY 1/11/ Pending-Cleared CALVERT RESPONSIBLE INDEX SERIES INC CALVERT US LARGE CAP CORE RESPONSIBLE INDEX FUND CLASS C FT 7092 STRUCTURED PORTFOLIO PLAN DEFINED PORTFOLIO JANUARY 2018 SERIES FT 7093 RICHARD BERNSTEIN ADVISORS GLOBAL DIVIDEND KINGS SERIES 25 FT STRATEGIC ALLOCATION PORT 1Q 18 TERM FT STRATEGIC ALLOCATION PORT 1Q 18 TERM FT STRATEGIC ALLOCATION PORT 1Q 18 TERM FT 7108 SELECT DSIP PORTFOLIO 1ST QUARTER 2018 SERIES FT 7117 HOMEBUILDERS RECOVERY SELECT PORTFOLIO SERIES 18 FT 7125 INCOME ALLOCATION CLOSED END 1Q 18 FT 7128 TARGET DIVSD GLOBAL ALLOCATION 1Q 18 FT 7130 DOW TARGET 5 1Q 18 WASHINGTON, DC 1/10/ Registered WHEATON, IL 1/9/ Pending-Cleared WHEATON, IL 1/9/ Pending-Cleared WHEATON, IL 1/9/ Pending-Cleared WHEATON, IL 1/9/ Pending-Cleared WHEATON, IL 1/9/ Pending-Cleared WHEATON, IL 1/9/ Pending-Cleared WHEATON, IL 1/9/ Pending-Cleared WHEATON, IL 1/9/ Pending-Cleared WHEATON, IL 1/9/ Pending-Cleared WHEATON, IL 1/9/ Pending-Cleared Page 2 of 6

3 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities FT 7130 DOW TARGET DVD 1Q 18 WHEATON, IL 1/9/ Pending-Cleared FT 7130 GLOBAL TARGET 15 1Q 18 FT 7130 S&P DIVIDEND ARISTOCRATS TARGET 25 1Q 18 FT 7130 S&P TARGET 24 1Q 18 FT 7130 S&P TARGET SMID 60 1Q 18 FT 7130 TARGET DBL PLAY 1Q 18 FT 7130 TARGET DIVSD DVD 1Q 18 FT 7130 TARGET FOCUS 4 1Q 18 FT 7130 TARGET GLOBAL DVD LEADERS 1Q 18 WHEATON, IL 1/9/ Pending-Cleared WHEATON, IL 1/9/ Pending-Cleared WHEATON, IL 1/9/ Pending-Cleared WHEATON, IL 1/9/ Pending-Cleared WHEATON, IL 1/9/ Pending-Cleared WHEATON, IL 1/9/ Pending-Cleared WHEATON, IL 1/9/ Pending-Cleared WHEATON, IL 1/9/ Pending-Cleared FT 7130 TARGET GROWTH 1Q 18 FT 7130 TARGET TRIAD 1Q 18 FT 7130 TARGET VIP 1Q 18 FT 7130 VALUE LINE TARGET 25 1Q 18 FT 7139 VALUE LINE TARGET SAFETY 30 1Q 18 WHEATON, IL 1/9/ Pending-Cleared WHEATON, IL 1/9/ Pending-Cleared WHEATON, IL 1/9/ Pending-Cleared WHEATON, IL 1/9/ Pending-Cleared WHEATON, IL 1/9/ Pending-Cleared FT 7157 US EQUITY CLOSED END PORTFOLIO SERIES 26 WHEATON, IL 1/9/ Pending-Cleared Page 3 of 6

4 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities FT 7158 BALANCED INCOME PORTFOLIO SERIES 60 WHEATON, IL 1/9/ Pending-Cleared FT 7194 DIVIDEND & INCOME SELECT CLOSED END PORTFOLIO SERIES 63 LEGG MASON GLOBAL ASSET MANAGEMENT TR MARTIN CURRIE SMASH SERIES EM FUND WHEATON, IL 1/9/ Pending-Cleared BALTIMORE, MD 1/8/ Pending-Cleared Number of Investment Company Filings: 37 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities APX NEW HARMONY PARTNERS B LP BUFFALO, NY 1/12/ Filed AUGMATE CORP NEW YORK, NY 1/12/ Filed AZUL BAY RESORT HOLDINGS LLC CRP 8 PRIVATE INVESTORS LLC ATLANTA, GA 1/12/ Filed NEW YORK, NY 1/12/ Filed DUO ON FILLMORE LLC SCOTTSDALE, AZ 1/12/ Filed HERONBRIDGE VALUE EQUITY FUND BATH, AA 1/12/ Filed IMBED BIOSCIENCES INC FITCHBURG, WI 1/12/ Filed LINDEN CAPITAL PARTNERS 4 LP CHICAGO, IL 1/12/ Filed NEXUS SPECIAL SITUATIONS 2 CAYMAN LP LOS ANGELES, CA 1/12/ Filed NORMA DEAN 1 INVESTORS LLC ROME, GA 1/12/ Filed PRECEPTIS MEDICAL INC PLYMOUTH, MN 1/12/ Filed Page 4 of 6

5 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities PROPERO SENIORS HOUSING EQUITY FUND 3 LLC REALTYSHARES 336 LLC All Securities Law, Franchise Law, and Take-Over Law Filings COLUMBUS, OH 1/12/ Filed SAN FRANCISCO, CA 1/12/ Filed RENTON WESTGATE 275 LLC LYNNWOOD, WA 1/12/ Filed SUMMIT PARTNERS CREDIT FUND 3 LP SUMMIT PARTNERS CREDIT OFFSHORE FUND 3 LP BOSTON, MA 1/12/ Filed BOSTON, MA 1/12/ Filed TRANSOM CAPITAL FUND 3 LP LOS ANGELES, CA 1/12/ Filed VESTAR CAPITAL PARTNERS 7 LP NEW YORK, NY 1/12/ Filed BEP LEGACY 2A LLC HOUSTON, TX 1/11/ Filed INFRACAPITAL PARTNERS 3 EURO SCSP LUXEMBOURG, AA 1/10/ Filed SKYSPECS INC ANN ARBOR, MI 1/10/ Filed 1505 LUMBER YARD LLC MILWAUKEE, WI 1/8/ Filed Number of Regulation D Notice Filings: 22 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date Club KO Franchise, LLC / CKO Kickboxing Stretch Lab Franchise, LLC / Stretch Lab Dale Carnegie & Associates, Inc. / Dale Carnegie Training SZAMM Franchising Corporation / Pizza Planet KTU WORLDWIDE, INC. / Kitchen Tune-Up Hire Quest, L.L.C. / "Acrux" and "Trojan Labor" Hoboken, NJ 1/12/ Registered Costa Mesa, CA 1/11/ Registered Hauppauge, NY 1/9/ Registered Somerset, WI 1/8/ Registered ABERDEEN, SD 1/8/ Registered Goose Creek, SC 1/8/ Registered Page 5 of 6

6 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date Board and Brush Creative Studio Franchising LLC / Board and Brush Creative Studio Number of Franchise Filings: 7 Hartland, WI 1/8/ Registered Corporate Take-Over Law Filings Made with DFI s Securities Takeover Filing Reference Number of Takeover Filings: 0 Date Page 6 of 6