All Securities Law, Franchise Law, and Take-Over Law Filings for 5/20/2018 through 5/26/2018
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- Penelope Horton
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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 WESLEYAN INVESTMENT FOUNDATION INC Number of Exemption Filings: 1 FISHERS, IN 5/21/ Not Disallowed ALLIANZ FUNDS MULTI STRATEGY TR ALLIANZGI CORE BOND FUND CLASS R6 NEW YORK, NY 5/25/ Registered ALLIANZ FUNDS MULTI STRATEGY TR ALLIANZGI CORE BOND FUND CLASS P ALLIANZ FUNDS MULTI STRATEGY TR ALLIANZGI CORE BOND FUND INSTITUTIONAL CLASS ALLIANZ FUNDS MULTI STRATEGY TR ALLIANZGI CORE PLUS BOND FUND CLASS R6 ALLIANZ FUNDS MULTI STRATEGY TR ALLIANZGI CORE PLUS BOND FUND CLASS P ALLIANZ FUNDS MULTI STRATEGY TR ALLIANZGI CORE PLUS BOND FUND INSTITUTIONAL CLASS NEW YORK, NY 5/25/ Registered NEW YORK, NY 5/25/ Registered NEW YORK, NY 5/25/ Registered NEW YORK, NY 5/25/ Registered NEW YORK, NY 5/25/ Registered Page 1 of 18
2 ALLIANZ FUNDS MULTI STRATEGY TR ALLIANZGI PREFERRED SECURITIES & INCOME FUND INSTITUTIONAL CLASS ALLIANZ FUNDS MULTI STRATEGY TR ALLIANZGI PREFERRED SECURITIES & INCOME FUND CLASS P NEW YORK, NY 5/25/ Registered NEW YORK, NY 5/25/ Registered ALLIANZ FUNDS MULTI STRATEGY TR ALLIANZGI PREFERRED SECURITIES & INCOME FUND CLASS R6 ALPS CORECOMMODITY MANAGEMENT COMPLETECOMMODITIESSM STRATEGY FUND CLASS A ALPS KOTAK INDIA GROWTH FUND CLASS A ALPS METIS GLOBAL MICRO CAP VALUE FUND CLASS A ALPS RED ROCKS LISTED PRIVATE EQUITY FUND CLASS A ALPS WMC RESEARCH VALUE FUND CLASS A CLOUGH CHINA FUND CLASS A RIVERFRONT ASSET ALLOCATION AGGRESSIVE CLASS A NEW YORK, NY 5/25/ Registered DENVER, CO 5/25/ Registered DENVER, CO 5/25/ Registered DENVER, CO 5/25/ Registered DENVER, CO 5/25/ Registered DENVER, CO 5/25/ Registered DENVER, CO 5/25/ Registered DENVER, CO 5/25/ Registered Page 2 of 18
3 RIVERFRONT ASSET ALLOCATION GROWTH CLASS A All Securities Law, Franchise Law, and Take-Over Law Filings DENVER, CO 5/25/ Registered RIVERFRONT ASSET ALLOCATION GROWTH & INCOME CLASS A RIVERFRONT ASSET ALLOCATION INCOME & GROWTH CLASS A RIVERFRONT ASSET ALLOCATION MODERATE CLASS A 2 GQG PARTNERS INTERNATIONAL OPPORTUNITIES FUND CLASS P 2 MULTI MANAGER ALTERNATIVES FUND ABSOLUTE RETURN MULTI ASSET FUND ABSOLUTE RETURN TRACKER FUND ALTERNATIVE PREMIA FUND ASIA EQUITY FUND CLASS P DENVER, CO 5/25/ Registered DENVER, CO 5/25/ Registered DENVER, CO 5/25/ Registered NEW YORK, NY 5/25/ Registered NEW YORK, NY 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered Page 3 of 18
4 BALANCED STRATEGY PORTFOLIO CHICAGO, IL 5/25/ Registered BLUE CHIP FUND BOND FUND CAPITAL GROWTH FUND CLASS P COMMODITY STRATEGY FUND CONCENTRATED GROWTH FUND CORE FIXED INCOME FUND CLASS P DYNAMIC MUNICIPAL INCOME FUND EMERGING MARKETS DEBT FUND CLASS P EMERGING MARKETS EQUITY INSIGHTS FUND CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered Page 4 of 18
5 EMERGING MARKETS EQUITY FUND CHICAGO, IL 5/25/ Registered ENHANCED DIVIDEND GLOBAL EQUITY PORTFOLIO ENHANCED INCOME FUND CLASS P EQUITY GROWTH STRATEGY PORTFOLIO EQUITY INCOME FUND CLASS P FLEXIBLE CAP FUND FOCUSED VALUE FUND CLASS P GLOBAL INCOME FUND CLASS P GLOBAL INFRASTRUCTURE FUND GLOBAL REAL ESTATE SECURITIES FUND CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered Page 5 of 18
6 GOVERNMENT INCOME FUND CHICAGO, IL 5/25/ Registered GROWTH & INCOME STRATEGY PORTFOLIO GROWTH OPPORTUNITIES FUND GROWTH STRATEGY PORTFOLIO HIGH QUALITY FLOATING RATE FUND HIGH YIELD FLOATING RATE FUND CLASS P HIGH YIELD FUND HIGH YIELD MUNICIPAL FUND CLASS P INCOME BUILDER FUND CLASS P INFLATION PROTECTED SECURITIES FUND CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered Page 6 of 18
7 INTERNATIONAL EQUITY DIVIDEND & PREMIUM FUND CHICAGO, IL 5/25/ Registered INTERNATIONAL EQUITY ESG FUND INTERNATIONAL EQUITY INCOME FUND CLASS P INTERNATIONAL EQUITY INSIGHTS FUND CLASS P INTERNATIONAL REAL ESTATE SECURITIES FUND INTERNATIONAL SMALL CAP INSIGHTS FUND CLASS P INTERNATIONAL TAX MANAGED EQUITY FUND INVESTMENT GRADE CREDIT FUND LARGE CAP GROWTH INSIGHTS FUND CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered Page 7 of 18
8 LARGE CAP VALUE FUND CLASS P CHICAGO, IL 5/25/ Registered LARGE CAP VALUE INSIGHTS FUND LOCAL EMERGING MARKETS DEBT FUND LONG SHORT CREDIT STRATEGIES FUND MANAGED FUTURES STRATEGY FUND MID CAP VALUE FUND CLASS P MLP & ENERGY FUND CLASS P MLP ENERGY INFRASTRUCTURE FUND N 11 EQUITY FUND CLASS P REAL ESTATE SECURITIES FUND CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered Page 8 of 18
9 RISING DIVIDEND GROWTH FUND All Securities Law, Franchise Law, and Take-Over Law Filings CHICAGO, IL 5/25/ Registered SATELLITE STRATEGIES PORTFOLIO SHORT DURATION GOVERNMENT FUND SHORT DURATION INCOME FUND SHORT DURATION TAX FREE FUND SHORT TERM CONSERVATIVE INCOME FUND CLASS P SMALL CAP EQUITY INSIGHTS FUND SMALL CAP GROWTH INSIGHTS FUND SMALL CAP VALUE FUND CLASS P SMALL CAP VALUE INSIGHTS FUND CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered Page 9 of 18
10 SMALL MID CAP GROWTH FUND CLASS P CHICAGO, IL 5/25/ Registered SMALL MID CAP VALUE FUND CLASS P STRATEGIC FACTOR ALLOCATION FUND STRATEGIC GROWTH FUND CLASS P STRATEGIC INCOME FUND CLASS P TACTICAL EXPOSURE FUND CLASS P TACTICAL TILT OVERLAY FUND CLASS P TAX ADVANTAGED GLOBAL EQUITY PORTFOLIO CLASS P TECHNOLOGY OPPORTUNITIES FUND CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered Page 10 of 18
11 TOTAL EMERGING MARKETS INCOME FUND CHICAGO, IL 5/25/ Registered US EQUITY DIVIDEND & PREMIUM FUND US EQUITY INSIGHTS FUND CLASS P US MORTGAGES FUND CLASS P US TAX MANAGED EQUITY FUND HARBOR FUNDS HARBOR BOND FUND RETIREMENT CLASS HARBOR FUNDS HARBOR CORE BOND FUND INSTITUTIONAL CLASS HARBOR FUNDS HARBOR CORE BOND FUND RETIREMENT CLASS HARBOR FUNDS HARBOR REAL RETURN FUND RETIREMENT CLASS ESG EMERGING MARKETS EQUITY FUND CLASS C CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/25/ Registered CHICAGO, IL 5/24/ Registered Page 11 of 18
12 ESG EMERGING MARKETS EQUITY FUND INVESTOR CHICAGO, IL 5/24/ Registered ESG EMERGING MARKETS EQUITY FUND INSTITUTIONAL ESG EMERGING MARKETS EQUITY FUND CLASS R6 ESG EMERGING MARKETS EQUITY FUND ESG EMERGING MARKETS EQUITY FUND CLASS A ESG EMERGING MARKETS EQUITY FUND CLASS R FT 7347 UTILITIES SELECT PORTFOLIO SERIES 47 FT 7349 STIFEL BEST PICKS MAY 2018 FT 7373 MUNICIPAL INCOME OPPORTUNITIES CLOSED END PORTFOLIO SERIES 49 FT 7374 TACTICAL INCOME OPPORTUNITY PORTFOLIO SERIES 5 FT 7375 GLOBAL GORILLAS PORTFOLIO SERIES 8 FT 7377 DEFENSIVE EQUITY PORTFOLIO SERIES 45 CHICAGO, IL 5/24/ Registered CHICAGO, IL 5/24/ Registered CHICAGO, IL 5/24/ Registered CHICAGO, IL 5/24/ Registered CHICAGO, IL 5/24/ Registered WHEATON, IL 5/23/ Registered WHEATON, IL 5/23/ Pending-Cleared WHEATON, IL 5/23/ Registered WHEATON, IL 5/23/ Pending-Cleared WHEATON, IL 5/23/ Pending-Cleared WHEATON, IL 5/23/ Pending-Cleared Page 12 of 18
13 FT 7378 BANKING OPPORTUNITY PORTFOLIO SERIES 30 WHEATON, IL 5/23/ Pending-Cleared FT 7379 CAPITAL STRENGTH OPPORTUNITY PORTFOLIO SERIES 5 FT 7380 DOW TARGET 10 JUNE 18 TERM FT 7381 SABRIENT DEFENSIVE EQUITY PORTFOLIO SERIES 16 FT 7388 CLOUD COMPUTING PORTFOLIO SERIES 21 FT 7389 CYBERSECURITY PORTFOLIO SERIES 12 FT 7416 LTD DURATION FIXED INCOME ETF PORTFOLIO SERIES 25 FT 7423 EQUITY CLOSED END OPPORTUNITY PORTFOLIO SERIES FT 7425 SABRIENT INTERNATIONAL OPPORTUNITY PORTFOLIO SERIES FT 7427 SENIOR LOAN & LTD DURATION OPPORTUNITIES CLOSED END PORTFOLIO SERIES 55 FT 7430 CORPORATE INVESTMENT GRADE PORTFOLIO 3 7 YEAR SERIES 4 FT 7345 DIVERSIFIED INCOME & GROWTH PORTFOLIO SUMMER 2018 SERIES WHEATON, IL 5/23/ Pending-Cleared WHEATON, IL 5/23/ Pending-Cleared WHEATON, IL 5/23/ Pending-Cleared WHEATON, IL 5/23/ Pending-Cleared WHEATON, IL 5/23/ Pending-Cleared WHEATON, IL 5/23/ Pending-Cleared WHEATON, IL 5/23/ Pending-Cleared WHEATON, IL 5/23/ Pending-Cleared WHEATON, IL 5/23/ Pending-Cleared WHEATON, IL 5/23/ Pending-Cleared WHEATON, IL 5/21/ Registered Page 13 of 18
14 FT 7346 FINANCIALS SELECT PORTFOLIO SERIES 64 WHEATON, IL 5/21/ Registered FT 7348 HEALTH CARE SELECT PORTFOLIO SERIES 50 FT 7355 TOP PICKS MAY 2018 PORTFOLIO FT 7362 TECHNOLOGY DIVIDEND POERFOLIO SERIES 26 FT 7376 SENIOR LOAN & LTD DURATION CLOSED END PORTFOLIO SERIES 81 FT 7382 MUNICIPAL INCOME SELECT CLOSED END PORTFOLIO SERIES 95 FT 7421 STRATEGIC INCOME ADVANTAGE SELECT CLOSED END PORTFOLIO SERIES 75 GUGGENHEIM DEFINED PORTFOLIOS SERIES 1762 GUGGENHEIM EMERGING MARKETS DIVIDEND STRATEGY PORTFOLIO SERIES 26 GUGGENHEIM DEFINED PORTFOLIOS SERIES 1762 UNDERVALUED TOP PICKS PORTFOLIO SERIES 17 GUGGENHEIM DEFINED PORTFOLIOS SERIES 1763 DIVIDEND STRENGTH PORTFOLIO SERIES 30 GUGGENHEIM DEFINED PORTFOLIOS SERIES 1763 NDR THEMATIC OPPORTUNITIES PORTFOLIO SERIES 4 WHEATON, IL 5/21/ Pending-Cleared WHEATON, IL 5/21/ Pending-Cleared WHEATON, IL 5/21/ Pending-Cleared WHEATON, IL 5/21/ Registered WHEATON, IL 5/21/ Pending-Cleared WHEATON, IL 5/21/ Registered LISLE, IL 5/21/ Registered LISLE, IL 5/21/ Registered LISLE, IL 5/21/ Pending-Cleared LISLE, IL 5/21/ Pending-Cleared Page 14 of 18
15 GUGGENHEIM DEFINED PORTFOLIOS SERIES 1764 TOTAL INCOME PORTFOLIO SERIES 13 LISLE, IL 5/21/ Pending-Cleared SMART TR 381 SMART TR SUSTAINABLE IMPACT INVESTING TR SERIES 12 SMART TR 382 SMART TR STRATEGIC GROWTH & INCOME TR SERIES 15 PARSIPPANY, NJ 5/21/ Registered PARSIPPANY, NJ 5/21/ Registered Number of Investment Company Filings: 142 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities ADDITIVE DEVICE INC DURHAM, NC 5/25/ Filed ARROGENE INC LOS ANGELES, CA 5/25/ Filed BANC FUND 10 LP CHICAGO, IL 5/25/ Filed BASIN INVESTORS LLC NEW YORK, NY 5/25/ Filed CIPHERLOC CORP BUDA, TX 5/25/ Filed EPOCH PROPERTIES MULTI FAMILY OPPORTUNITY FUND 5 LTD WINTER PARK, FL 5/25/ Filed FCP FUND 3 LP OMAHA, NE 5/25/ Filed NARRATIVEDX INC AUSTIN, TX 5/25/ Filed PRIVATE ADVISORS SMALL CO PRIVATE EQUITY FUND 8 LP PSQUARED US FEEDER FUND LP EVENT OPPORTUNITY SERIES RICHMOND, VA 5/25/ Filed VALLETTA, AA 5/25/ Filed Page 15 of 18
16 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities QUANTUM ENERGY PARTNERS 7 LP All Securities Law, Franchise Law, and Take-Over Law Filings HOUSTON, TX 5/25/ Filed RAVEN HRV LLC PLANO, TX 5/25/ Filed REALTY 364 LLC LEWES, DE 5/25/ Filed REALTY 365 LLC LEWES, DE 5/25/ Filed REALTY 366 LLC LEWES, DE 5/25/ Filed RS AXIADO LLC NORWALK, CT 5/25/ Filed SMARTUQ LLC MADISON, WI 5/25/ Filed VENTEC LIFE SYSTEMS INC BOTHELL, WA 5/25/ Filed WANTABLE INC MILWAUKEE, WI 5/25/ Filed Number of Regulation D Notice Filings: 19 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date RMS Franchise Group, Inc. / The Pizza Press Pro Image Franchise, LC / Pro Image Sports Hardee's Restaurants LLC / Hardee's and Hardee's/Red Burrito Hardee's Restaurants LLC / Hardee's and Hardee's/Red Burrito Hardee's Restaurants LLC / Hardee's" and "Hardee's/Red Burrito MCCOLLA ENTERPRISES LTD / Street Corner Humble Donut Holdings LLC / Humble Donut Co. Carl's Jr. Restaurants LLC / Carl's Jr. and Carl's Jr./Green Burrito Anaheim, CA 5/26/ Registered Centerville, UT 5/25/ Registered Franklin, TN 5/25/ Registered Franklin, TN 5/25/ Registered Franklin, TN 5/25/ Registered TOPEKA, KS 5/25/ Registered Oklahoma City, OK 5/25/ Registered Franklin, TN 5/25/ Registered Page 16 of 18
17 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date Carl's Jr. Restaurants LLC / Carl's Jr. and Carl's Jr./Green Burrito Atomium Inc. / Waffle Cabin Stretch Smart International Franchise, LLC / Stretch Smart Infrared Therapy JINYA FRANCHISE, INC. / JINYA Ramen Bars, JINYA, bushi by JINYA Watermill Express Franchising, LLC / Watermill Express Shred415 Franchising, LLC / Shred415 (Area Representative) Shred415 Franchising, LLC / Shred415 Five Guys Franchisor, LLC / Five Guys DaVi Nails Salon and Spa, LLC / DaVi Nails Cartridge World North America, LLC / Nevada Limited Liability Company STEAK N SHAKE ENTERPRISES, INC / Steak n Shake by Biglari Pritikin ICR LLC / Pritikin ICR, Pritikin Caribou Coffee Development Company, Inc. / Caribou Coffee Coffeehouse Cafe & Bakery Group, LLC / Apple Spice Cafe & Bakery Group, LLC / Apple Spice All Securities Law, Franchise Law, and Take-Over Law Filings EDIBLE INTERNATIONAL, LLC / EDIBLE and EDIBLE ARRANGEMENTS Tasting Station, Inc. / WineStyles Tasting Station Dealer Specialties International, Inc. / Dealer Specialties PHYSICIANS WEIGHT LOSS CENTERS OF AMERICA INC / Physicians Weight Loss Centers Number of Franchise Filings: 27 Franklin, TN 5/25/ Registered South Chittenden, VT 5/25/ Registered Birmingham, MI 5/24/ Registered Burbank, CA 5/24/ Registered Brighton, CO 5/24/ Registered Chicago, IL 5/23/ Registered Chicago, IL 5/23/ Registered Lorton, VA 5/23/ Registered West Valley City, UT 5/23/ Registered McHenry, IL 5/23/ Registered INDIANAPOLIS, IN 5/23/ Registered Clayton, MO 5/23/ Registered Minneapolis, MN 5/22/ Registered Salt Lake City, UT 5/22/ Refunded Salt Lake City, UT 5/22/ Registered WILLINGFORD, CT West Des Moines, IA 5/22/ Registered 5/21/ Registered Monroe, OH 5/21/ Registered AKRON, OH 5/21/ Registered Page 17 of 18
18 Corporate Take-Over Law Filings Made with DFI s Securities Takeover Filing Reference Number of Takeover Filings: 0 Date Page 18 of 18
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 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 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 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 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 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 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 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 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
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 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 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 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 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 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 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 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 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 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 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 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 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 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 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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All Securities Law, Franchise Law, and Take-Over Law Filings for 5/14/2017 through 5/20/2017
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,
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 11/25/2018 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
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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
All Securities Law, Franchise Law, and Take-Over Law Filings for 4/8/2018 through 4/14/2018
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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