All Securities Law, Franchise Law, and Take-Over Law Filings for 1/28/2018 through 2/3/2018
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1 CNL HEALTHCARE PROPERTIES 2 INC Securities Law Registration Filings Made with DFI s Securities ORLANDO, FL 2/2/ Registered BLACK CREEK DIVERSIFIED PROPERTY FUND INC DENVER, CO 1/29/ Pending Number of Registration Filings: 2 Securities Law Exemption Filings Made with DFI s Securities Number of Exemption Filings: 0 ADVISORS DISCIPLINED TR 1852 AEROSPACE DEFENSE OPPORTUNITIES PORTFOLIO SERIES MONUMENT, CO 2/2/ Registered ADVISORS DISCIPLINED TR 1852 COHEN & STEERS COVERED CALL & INCOME STRATEGIES CLOSED END PORTFOLIO SERIES ADVISORS DISCIPLINED TR 1852 COHEN & STEERS DYNAMIC INCOME PORTFOLIO SERIES ADVISORS DISCIPLINED TR 1852 COHEN & STEERS GLOBAL COVERED CALL & INCOME STRATEGIES CLOSED END PORTFOLIO SERIES MONUMENT, CO 2/2/ Pending-Cleared MONUMENT, CO 2/2/ Registered MONUMENT, CO 2/2/ Registered Page 1 of 15
2 ADVISORS DISCIPLINED TR 1852 TACTICAL INCOME CLOSED END PORTFOLIO SERIES MONUMENT, CO 2/2/ Registered FT 7149 DIVERSIFIED INCOME & GROWTH PORTFOLIO SPRING 2018 SERIES FT 7150 DOW TARGET 10 FEB 18 TERM FT 7161 SABRIENT DIVIDEND PORTFOLIO SERIES 22 FT 7162 MUNICIPAL INCOME CLOSED END PORTFOLIO SERIES 73 FT 7163 TACTICAL INCOME PORTFOLIO SERIES 51 FT 7164 LTD DURATION FIXED INCOME ETF PORTFOLIO SERIES 23 FT 7165 HIGH DIVIDEND EQUITY PORTFOLIO SERIES 35 FT 7166 TECHNOLOGY SELECT PORTFOLIO SERIES 68 FT 7175 EUROPEAN DEEP VALUE DIVIDEND PORTFOLIO SERIES 18 FT 7177 NASDAQ FACTOR DOGS OPPORTUNITY PORTFOLIO SERIES 2 FT 7197 SENIOR LOAN CLOSED END & ETF PORTFOLIO SERIES 21 WHEATON, IL 2/2/ Registered WHEATON, IL 2/2/ Pending-Cleared WHEATON, IL 2/2/ Registered WHEATON, IL 2/2/ Registered WHEATON, IL 2/2/ Registered WHEATON, IL 2/2/ Registered WHEATON, IL 2/2/ Pending-Cleared WHEATON, IL 2/2/ Pending-Cleared WHEATON, IL 2/2/ Pending-Cleared WHEATON, IL 2/2/ Pending-Cleared WHEATON, IL 2/2/ Registered Page 2 of 15
3 FT 7204 CONTENT LEADERS OPPORTUNITY PORTFOLIO SERIES 7 WHEATON, IL 2/2/ Pending-Cleared FT 7205 CONTENT LEADERS PORTFOLIO SERIES 8 FT 7209 INTEREST RATE HEDGE & ETF PORTFOLIO SERIES 19 HORIZON FUNDS HORIZON DEFINED RISK FUND ADVISOR CLASS WHEATON, IL 2/2/ Pending-Cleared WHEATON, IL 2/2/ Pending-Cleared MILWAUKEE, WI 2/2/ Registered INVESCO UNIT TR MUNICIPAL SERIES 1311 QUALITY MUNICIPAL INCOME TR YEAR SERIES 97 2/2/ Pending-Cleared 1850 MULTI ASSET HIGH INCOME PORTFOLIO /2/ Pending-Cleared ESG OPPORTUNITY PORTFOLIO /2/ Pending-Cleared 2/2/ Pending-Cleared 1858 US DEFENSE PORTFOLIO /2/ Pending-Cleared SMART TR 365 SMART TR E COMMERCE ECOSYSTEM TR SERIES 2 SMART TR 366 SMART TR STRATEGIC GROWTH & INCOME TR SERIES 14 BNY MELLON ABSOLUTE INSIGHT FUNDS INC BNY MELLON INSIGHT CORE PLUS FUND CLASS Y PARSIPPANY, NJ 2/2/ Pending-Cleared PARSIPPANY, NJ 2/2/ Pending-Cleared NEW YORK, NY 2/1/ Registered Page 3 of 15
4 BNY MELLON ABSOLUTE INSIGHT FUNDS INC BNY MELLON INSIGHT CORE PLUS NEW YORK, NY 2/1/ Registered BNY MELLON ABSOLUTE INSIGHT FUNDS INC BNY MELLON INSIGHT CORE PLUS FUND CLASS C BNY MELLON ABSOLUTE INSIGHT FUNDS INC BNY MELLON INSIGHT CORE PLUS FUND CLASS A NEW YORK, NY 2/1/ Registered NEW YORK, NY 2/1/ Registered 1841 POLICY OPPORTUNITIES PORTFOLIO /31/ Pending-Cleared SELECT 10 INDUSTRIAL PORTFOLIO /31/ Registered 1/31/ Pending-Cleared GLOBAL WATER PORTFOLIO /31/ Pending-Cleared 1/31/ Pending-Cleared 1/31/ Pending-Cleared 1/31/ Pending-Cleared 1859 NEW WORLD LEADERS PORTFOLIO /31/ Pending-Cleared 2 ROADS SHARED TR CONDUCTOR GLOBAL EQUITY VALUE FUND CLASS Y HAUPPAUGE, NY 1/30/ Registered Page 4 of 15
5 2 ROADS SHARED TR HANLON MANAGED INCOME FUND CLASS C HAUPPAUGE, NY 1/30/ Registered 2 ROADS SHARED TR REDWOOD SYSTEMATIC MACRO TREND SMART FUND CLASS N GUGGENHEIM DEFINED PORTFOLIOS SERIES 1715 US LOW VOLATILITY STRATEGY PORTFOLIO SERIES 22 GUGGENHEIM DEFINED PORTFOLIOS SERIES 1716 CORPORATE HIGH YIELD & INCOME PORTFOLIO OF CEFS SERIES 33 GUGGENHEIM DEFINED PORTFOLIOS SERIES 1716 NATIONAL MUNICIPAL PORTFOLIO OF CEFS SERIES 37 T ROWE RETIREMENT 2005 T ROWE RETIREMENT 2010 T ROWE RETIREMENT 2015 T ROWE RETIREMENT 2020 T ROWE RETIREMENT 2050 HAUPPAUGE, NY 1/30/ Registered LISLE, IL 1/30/ Registered LISLE, IL 1/30/ Registered LISLE, IL 1/30/ Registered ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered Page 5 of 15
6 T ROWE RETIREMENT 2020 ENFIELD, CT 1/30/ Registered T ROWE RETIREMENT 2055 T ROWE RETIREMENT 2020 T ROWE RETIREMENT 2050 T ROWE RETIREMENT 2030 T ROWE RETIREMENT 2045 T ROWE RETIREMENT 2025 T ROWE RETIREMENT 2055 T ROWE RETIREMENT 2035 T ROWE INTERNATIONAL EQUITY ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered Page 6 of 15
7 T ROWE RETIREMENT 2005 ENFIELD, CT 1/30/ Registered T ROWE RETIREMENT 2010 T ROWE RETIREMENT 2015 T ROWE RETIREMENT 2030 T ROWE RETIREMENT 2055 T ROWE RETIREMENT BALANCED T ROWE RETIREMENT 2040 T ROWE RETIREMENT BALANCED T ROWE RETIREMENT 2025 T ROWE RETIREMENT 2020 ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered Page 7 of 15
8 T ROWE RETIREMENT 2040 ENFIELD, CT 1/30/ Registered T ROWE RETIREMENT 2030 T ROWE RETIREMENT 2060 T ROWE RETIREMENT 2035 T ROWE RETIREMENT 2005 T ROWE RETIREMENT 2010 T ROWE RETIREMENT 2015 T ROWE RETIREMENT 2045 T ROWE RETIREMENT 2025 T ROWE RETIREMENT 2045 ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered Page 8 of 15
9 T ROWE RETIREMENT 2050 ENFIELD, CT 1/30/ Registered T ROWE RETIREMENT 2055 T ROWE RETIREMENT 2045 T ROWE RETIREMENT 2030 T ROWE RETIREMENT 2050 T ROWE RETIREMENT 2035 T ROWE RETIREMENT BALANCED T ROWE RETIREMENT 2040 T ROWE RETIREMENT BALANCED T ROWE RETIREMENT 2025 ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered Page 9 of 15
10 T ROWE RETIREMENT 2060 ENFIELD, CT 1/30/ Registered T ROWE RETIREMENT 2060 T ROWE RETIREMENT 2035 T ROWE RETIREMENT 2040 T ROWE RETIREMENT 2060 T ROWE RETIREMENT 2005 T ROWE RETIREMENT 2010 T ROWE RETIREMENT 2015 MUTUAL FUND SERIES TR CATALYST EXCEED DEFINED SHIELD FUND CLASS A MUTUAL FUND SERIES TR CATALYST SYSTEMATIC ALPHA ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered ENFIELD, CT 1/30/ Registered HAUPPAUGE, NY 1/30/ Registered HAUPPAUGE, NY 1/30/ Registered Page 10 of 15
11 2 NORTH STAR OPPORTUNITY HAUPPAUGE, NY 1/30/ Registered 2 ORCHARD SMALL CAP VALUE 2 ORCHARD SMALL CAP VALUE FUND CLASS N LADENBURG AGGRESSIVE GROWTH POWER DIVIDEND MID CAP INDEX FUND CLASS C POWER DIVIDEND MID CAP INDEX FUND CLASS A POWER DIVIDEND MID CAP INDEX POWER FLOATING RATE INDEX FUND CLASS A POWER FLOATING RATE INDEX POWER MOMENTUM INDEX FUND CLASS C VIRTUS EQUITY TR VIRTUS KAR CAPITAL GROWTH FUND CLASS R6 HAUPPAUGE, NY 1/30/ Registered HAUPPAUGE, NY 1/30/ Registered HAUPPAUGE, NY 1/30/ Registered HAUPPAUGE, NY 1/30/ Registered HAUPPAUGE, NY 1/30/ Registered HAUPPAUGE, NY 1/30/ Registered HAUPPAUGE, NY 1/30/ Registered HAUPPAUGE, NY 1/30/ Registered HAUPPAUGE, NY 1/30/ Registered GREENFIELD, MA 1/30/ Registered Page 11 of 15
12 VIRTUS EQUITY TR VIRTUS KAR MID CAP CORE FUND CLASS R6 All Securities Law, Franchise Law, and Take-Over Law Filings GREENFIELD, MA 1/30/ Registered VIRTUS EQUITY TR VIRTUS KAR MID CAP GROWTH FUND CLASS R6 VIRTUS EQUITY TR VIRTUS KAR SMALL CAP GROWTH FUND CLASS R6 VIRTUS EQUITY TR VIRTUS RAMPART ENHANCED CORE EQUITY FUND CLASS R6 VIRTUS OPPORTUNITIES TR VIRTUS DUFF & PHELPS GLOBAL INFRASTRUCTURE FUND CLASS R6 VIRTUS OPPORTUNITIES TR VIRTUS VONTOBEL GLOBAL OPPORTUNITIES FUND CLASS R6 ADVISORS SERIES TR SCHARF FUND R6 CLASS OPPENHEIMER INTEGRITY FUNDS OPPENHEIMER PREFERRED SECURITIES & INCOME FUND CLASS A OPPENHEIMER INTEGRITY FUNDS OPPENHEIMER PREFERRED SECURITIES & INCOME OPPENHEIMER INTEGRITY FUNDS OPPENHEIMER PREFERRED SECURITIES & INCOME FUND CLASS Y PIONEER SERIES TR V PIONEER CORPORATE HIGH YIELD FUND CLASS A GREENFIELD, MA 1/30/ Registered GREENFIELD, MA 1/30/ Registered GREENFIELD, MA 1/30/ Registered GREENFIELD, MA 1/30/ Registered GREENFIELD, MA 1/30/ Registered MILWAUKEE, WI 1/29/ Registered DENVER, CO 1/29/ Registered DENVER, CO 1/29/ Registered DENVER, CO 1/29/ Registered BOSTON, MA 1/29/ Registered Page 12 of 15
13 PIONEER SERIES TR V PIONEER CORPORATE HIGH YIELD FUND CLASS Y BOSTON, MA 1/29/ Registered PIONEER SERIES TR V PIONEER CORPORATE HIGH YIELD FUND CLASS C PRUDENTIAL INVESTMENT PORTFOLIOS 18 PRUDENTIAL JENNISON MLP FUND CLASS Q PRUDENTIAL SECTOR FUNDS INC PRUDENTIAL JENNISON FINANCIAL SERVICES FUND CLASS Q PRUDENTIAL SECTOR FUNDS INC PRUDENTIAL JENNISON UTILITY FUND CLASS Q SMART TR 364 SMART TR ARGUS MODERN INNOVATORS TR SERIES 2 BOSTON, MA 1/29/ Registered NEWARK, NJ 1/29/ Registered NEWARK, NJ 1/29/ Registered NEWARK, NJ 1/29/ Registered PARSIPPANY, NC 1/29/ Registered Number of Investment Company Filings: 128 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities CHATHAM ASSET PRIVATE DEBT & STRATEGIC CAPITAL FUND LP CHATHAM, NJ 2/2/ Filed CO MULTIFAMILY PORTFOLIO 3 DST OAK BROOK, IL 2/2/ Filed CRP 1 ROLL UP LLC NEW YORK, NY 2/2/ Filed DEVONSHIRE REIT 2 INC DILION TECHNOLOGIES INC WHITEHOUSE, OH NEWPORT NEWS, VA 2/2/ Filed 2/2/ Filed Page 13 of 15
14 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities GENERATION IM FUND PLC GENERATION IM ASIA FUND DUBLIN, AA 2/2/ Filed LIFE ASSETS TR SA COMPARTMENT 7 LUXEMBOURG, AA 2/2/ Filed MIDDLETON MSG INVESTORS LLC NORTHBROOK, IL 2/2/ Filed PRISA 2 LP MADISON, NJ 2/2/ Filed RED & BLUE SS ANNEX FUND LP SECURIS 2 FUND SPC SEGREGATED PORTFOLIO 14 PHILADELPHIA, PA GRAND CAYMAN, AA 2/2/ Filed 2/2/ Filed SPRING HILLS HOLDINGS LLC EDISON, NJ 2/2/ Filed TISSUE DIFFERENTIATION INTELLIGENCE LLC DELRAY BEACH, FL 2/2/ Filed VOTERCIRCLE INC LOS ALTOS HILLS, CA 2/2/ Filed ZELUS 3040 LLC CHANDLER, AZ 2/2/ Filed LODGING OPPORTUNITY FUND REAL ESTATE INVESTMENT TR FARGO, ND 1/30/ Filed MEDIBEACON INC SAINT LOUIS, MO 1/30/ Filed DR IN THE KITCHEN LLC MEDICINE LAKE, MN Number of Regulation D Notice Filings: 18 1/29/ Filed Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date Choice Hotels International, Inc. / WoodSpring Suites Exercise Coach USA, LLC / Exercise Coach Rockville, MD 2/2/ Registered Lake Zurich, IL 2/2/ Registered Page 14 of 15
15 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date Culinary Management Services, Inc. / Falbo Bros Pizzeria Metal Supermarkets Franchising America Inc. / Metal Supermarkets ABM Franchising Group, LLC / TEGG ABM Franchising Group, LLC / Linc Service BFK Franchise Company LLC / Bricks 4 Kidz, Bricks 4 Biz Number of Franchise Filings: 7 Burnsville, MN 2/1/ Registered Mississauga, ON 1/30/ Registered Canonsburg, PA 1/30/ Registered Canonsburg, PA 1/30/ Registered St. Augustine, FL 1/29/ Registered Corporate Take-Over Law Filings Made with DFI s Securities Takeover Filing Reference Number of Takeover Filings: 0 Date Page 15 of 15
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 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 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
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
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
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 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
All Securities Law, Franchise Law, and Take-Over Law Filings for 1/14/2018 through 1/20/2018
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 8/27/2017 through 9/2/2017
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
All Securities Law, Franchise Law, and Take-Over Law Filings for 8/6/2017 through 8/12/2017
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 1/1/2017 through 1/7/2017
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 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
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
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 1/15/2017 through 1/21/2017
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
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
All Securities Law, Franchise Law, and Take-Over Law Filings for 12/16/2018 through 12/22/2018
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
All Securities Law, Franchise Law, and Take-Over Law Filings for 9/30/2018 through 10/6/2018
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 5/20/2018 through 5/26/2018
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 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 9/23/2018 through 9/29/2018
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 8/20/2017 through 8/26/2017
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
All Securities Law, Franchise Law, and Take-Over Law Filings for 6/10/2018 through 6/16/2018
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
All Securities Law, Franchise Law, and Take-Over Law Filings for 7/1/2018 through 7/7/2018
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 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 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
All Securities Law, Franchise Law, and Take-Over Law Filings for 11/25/2018 through 12/1/2018
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 2/4/2018 through 2/10/2018
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
All Securities Law, Franchise Law, and Take-Over Law Filings for 8/26/2018 through 9/1/2018
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
All Securities Law, Franchise Law, and Take-Over Law Filings for 7/8/2018 through 7/14/2018
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
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 5/21/2017 through 5/27/2017
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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All Securities Law, Franchise Law, and Take-Over Law Filings Securities Law Registration Filings Made with DFI s Securities UNITED METHODIST DEVELOPMENT FUND Number of Registration Filings: 1 PHILADELPHIA,
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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 FORWARD COMMUNITY INVESTMENTS INC Number of
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