All Securities Law, Franchise Law, and Take-Over Law Filings for 2/5/2017 through 2/11/2017
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1 Securities Law Registration Filings Made with DFI s Securities GRACE REDEEMER CHURCH NY NONPROFIT CORP TEANECK, NJ 2/8/ Pending PHILLIPS EDISON GROCERY CENTER REIT 3 INC CINCINNATI, OH 2/6/ Pending-Cleared Number of Registration Filings: 2 Securities Law Exemption Filings Made with DFI s Securities RAYTON SOLAR INC Number of Exemption Filings: 1 SANTA MONI, 2/7/ Filed Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities AB P FUND INC AB CONCENTRATED INTERNATIONAL GROWTH PORTFOLIO ADVISOR CLASS NEW YORK, NY 2/10/ Registered AB P FUND INC AB CONCENTRATED INTERNATIONAL GROWTH PORTFOLIO CLASS C AB P FUND INC AB CONCENTRATED INTERNATIONAL GROWTH PORTFOLIO CLASS A PORTFOLIOS SERIES 1567 ZACKS INCOME ADVANTAGE STRATEGY PORTFOLIO SERIES 37 NEW YORK, NY 2/10/ Registered NEW YORK, NY 2/10/ Registered LISLE, IL 2/10/ Registered Page 1 of 8
2 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities PORTFOLIOS SERIES 1567 ZACKS INCOME ADVANTAGE STRATEGY PORTFOLIO 2 YEAR SERIES 19 PORTFOLIOS SERIES 1568 BLUE CHIP GROWTH PORTFOLIO SERIES 13 All Securities Law, Franchise Law, and Take-Over Law Filings LISLE, IL 2/10/ Registered LISLE, IL 2/10/ Registered PORTFOLIOS SERIES 1568 GUGGENHEIM US HIGH DIVIDEND STRATEGY PORTFOLIO 2 YEAR SERIES 11 PORTFOLIOS SERIES 1569 DIVERSIFIED CREDIT PORTFOLIO OF ETFS SERIES 10 PORTFOLIOS SERIES 1570 GUGGENHEIM EUROPEAN PITAL STRENGTH PORTFOLIO SERIES 13 PORTFOLIOS SERIES 1571 GUGGENHEIM US PITAL STRENGTH PORTFOLIO SERIES 13 NUVEEN UNIT INVESTMENT TR SERIES 182 NUVEEN SYMPHONY LOW VOLATILITY EQUITY PORTFOLIO 1Q 2017 LISLE, IL 2/10/ Registered LISLE, IL 2/10/ Registered LISLE, IL 2/10/ Registered LISLE, IL 2/10/ Registered CHIGO, IL 2/10/ Registered FUNDS TR WEALTHBUILDER CONSERVATIVE ALLOTION FUND CLASS A 2/10/ Registered FUNDS TR WEALTHBUILDER EQUITY FUND CLASS A 2/10/ Registered Page 2 of 8
3 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities FUNDS TR WEALTHBUILDER GROWTH BALANCED FUND CLASS A 2/10/ Registered FUNDS TR WEALTHBUILDER GROWTH ALLOTION FUND CLASS A 2/10/ Registered FUNDS TR WEALTHBUILDER MODERATE BALANCED FUND CLASS A 2/10/ Registered FIDELITY SALEM STREET TR FIDELITY SAI US MOMENTUM INDEX FUND FT 6490 STONEBRIDGE PREFERRED INCOME PORTFOLIO SERIES 11 FT 6499 DIVERSIFIED INCOME & GROWTH PORTFOLIO SPRING 2017 SERIES FT 6510 GLOBAL DEEP VALUE DIVIDEND PORTFOLIO SERIES 13 DREYFUS STATE MUNICIPAL BOND FUNDS DREYFUS PA FUND CLASS A BOSTON, MA 2/8/ Registered WHEATON, IL 2/8/ Registered WHEATON, IL 2/8/ Registered WHEATON, IL 2/8/ Registered NEW YORK, NY 2/7/ Registered INVESCO UNIT TR MUNICIPAL SERIES 1287 INVESTMENT GRADE MUNICIPAL TR 7 13 YEAR SERIES 74 2/7/ Pending-Cleared INVESCO UNIT TR MUNICIPAL SERIES 1289 INVESTMENT GRADE MUNICIPAL TR 20 PLUS YEAR SERIES 189 2/7/ Pending-Cleared 1743 NEW WORLD LEADERS PORTFOLIO /7/ Pending-Cleared Page 3 of 8
4 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities 1744 SELECT 10 INDUSTRIAL PORTFOLIO /7/ Pending-Cleared INSIDER BUY STRATEGY /7/ Pending-Cleared 2/7/ Pending-Cleared 2/7/ Pending-Cleared 2/7/ Registered 1749 AMERIN INNOVATION LEADERS PORTFOLIO /7/ Pending-Cleared 1751 GLOBAL TECHNOLOGY LEADERS PORTFOLIO /7/ Pending-Cleared MORGAN STANLEY GLOBAL INVESTMENT SOLUTIONS OPTIMIZED EQUITY DIVIDEND STRATEGY SERIES 2 FT 6482 TACTIL INCOME PORTFOLIO SERIES 45 FT 6493 EQUITY INCOME PORTFOLIO SERIES 54 FT 6501 AUTOMATED QUANTITATIVE ANALYSIS AQA PORTFOLIO SERIES 14 FT 6509 DOW TARGET 10 FEB 17 TERM FT 6512 SENIOR LOAN & LTD DURATION PLUS CLOSED END PORTFOLIO SERIES 111 PURCHASE, NY 2/7/ Pending-Cleared WHEATON, IL 2/6/ Registered WHEATON, IL 2/6/ Registered WHEATON, IL 2/6/ Registered WHEATON, IL 2/6/ Registered WHEATON, IL 2/6/ Registered Page 4 of 8
5 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities FT 6517 GLOBAL EQUITY INCOME CLOSED END PORTFOLIO SERIES 52 All Securities Law, Franchise Law, and Take-Over Law Filings WHEATON, IL 2/6/ Registered FT 6520 BALANCED INCOME EQUITY & ETF PORTFOLIO SERIES 24 FT 6521 SENIOR LOAN CLOSED END & ETF PORTFOLIO SERIES 15 FT 6524 REIT GROWTH & INCOME PLUS PORTFOLIO SERIES 29 FT 6535 LOW VOLATILITY PORTFOLIO SERFIES 6 FT 6558 SENIOR LOAN SELECT CLOSED END PORTFOLIO SERIES 24 HANCOCK JOHN FUNDS 2 HANCOCK JOHN TECHNIL OPPORTUNITIES FUND CLASS R6 HANCOCK JOHN MUNICIPAL SECURITIES TR HANCOCK JOHN HIGH YIELD MUNICIPAL BOND FUND CLASS I HANCOCK JOHN MUNICIPAL SECURITIES TR HANCOCK JOHN TAX FREE BOND FUND CLASS I MEEDER FUNDS AGGRESSIVE GROWTH FUND MEEDER FUNDS BALANCED FUND WHEATON, IL 2/6/ Registered WHEATON, IL 2/6/ Registered WHEATON, IL 2/6/ Registered WHEATON, IL 2/6/ Registered WHEATON, IL 2/6/ Registered BOSTON, MA 2/6/ Registered BOSTON, MA 2/6/ Registered BOSTON, MA 2/6/ Registered DUBLIN, OH 2/6/ Registered DUBLIN, OH 2/6/ Registered MEEDER FUNDS DIVIDEND OPPORTUNITIES FUND DUBLIN, OH 2/6/ Registered Page 5 of 8
6 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities MEEDER FUNDS DYNAMIC GROWTH FUND All Securities Law, Franchise Law, and Take-Over Law Filings DUBLIN, OH 2/6/ Registered MEEDER FUNDS GLOBAL OPPORTUNITIES FUND MEEDER FUNDS INFRASTRUCTURE FUND MEEDER FUNDS MUIRFIELD FUND DUBLIN, OH 2/6/ Registered DUBLIN, OH 2/6/ Registered DUBLIN, OH 2/6/ Registered MEEDER FUNDS QUANTEX FUND DUBLIN, OH 2/6/ Registered MEEDER FUNDS SPECTRUM FUND DUBLIN, OH 2/6/ Registered MEEDER FUNDS TOTAL RETURN BOND FUND MUTUAL FUND SERIES TR ALPHACENTRIC HEDGED MARKET OPPORTUNITY FUND CLASS I MUTUAL FUND SERIES TR ALPHACENTRIC HEDGED MARKET OPPORTUNITY FUND CLASS A SMART TR 295 SMART TR RISING INTEREST RATES HEDGE TR SERIES 8 SMART TR 296 SMART TR STRATEGIC GROWTH & INCOME TR SERIES 11 DUBLIN, OH 2/6/ Registered HAUPPAUGE, NY 2/6/ Registered HAUPPAUGE, NY 2/6/ Registered PARSIPPANY, NC 2/6/ Registered PARSIPPANY, NC 2/6/ Registered Number of Investment Company Filings: 60 Page 6 of 8
7 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities 4490 VENTURES 2 LP MADISON, WI 2/10/ Filed USEWAY MEDIA PARTNERS 2 LP MBRIDGE, MA 2/10/ Filed EVENTPLICITY INC GAINESVILLE, FL 2/10/ Filed RS LENDING INC RS PREF PROJECTS LLC SERIES C 2/10/ Filed LEWES, DE 2/10/ Filed SWITCHBACK DYNAMIC VOLATILITY FUND 1 LP WORTHINGTON, OH 2/10/ Filed WEFUNDS WEFUNDER 3 SERIES OF WEFUNDER LLC MBRIDGE, MA 2/10/ Filed CLEARLAKE IVANTI CO INVESTMENT PARTNERS LLC SANTA MONI, 2/6/ Filed MARKIT MEDIL INC CHIGO, IL 2/6/ Filed NEI 5 LLC WAUKESHA, WI 2/6/ Filed WELLESLEY PHARMACEUTILS LLC NEWTON, PA 2/6/ Filed Number of Regulation D Notice Filings: 11 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date Snap-on Tools Company LLC / Snap-on Tools BAB SYSTEMS INC / BIG APPLE BAGELS, MY FAVORITE MUFFIN Burgerim Group USA Inc. / Burgerim Zoom Franchise Company, LLC / Zoom Sewer and Drain Cleaning Kenosha, WI 2/10/ Registered DEERFIELD, IL 2/9/ Registered Encino, 2/9/ Registered Norristown, PA 2/8/ Registered Page 7 of 8
8 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date Owens Corning Remodeling Systems, LLC / Owens Corning Basement Finishing System ACE SUSHI FRANCHISE CORP / Ace Sushi Toledo, OH 2/8/ Registered Torrance, 2/7/ Registered SCJS Franchising, Inc. / Izsam Omaha, NE 2/7/ Registered ANNEX BRANDS INC / Annex Brands Commercial Center Number of Franchise Filings: 8 SAN DIEGO, 2/6/ Registered Corporate Take-Over Law Filings Made with DFI s Securities Takeover Filing Reference Number of Takeover Filings: 0 Date Page 8 of 8
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